NOTICE

NO RECOMMENDATIONS PRESENTED HEREIN REPRESENT THE POLICY OF THE JUDICIAL CONFERENCE 

UNLESS APPROVED BY THE CONFERENCE ITSELF.

Agenda E-19 (Summary)

Rules

September 2023

SUMMARY OF THE

REPORT OF THE JUDICIAL CONFERENCE

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

The Committee on Rules of Practice and Procedure recommends that the Judicial 

Conference:

1. Approve the proposed amendments to Appellate Rules 32, 35, and 40, and the 

Appendix of Length Limits as set forth in Appendix A, and transmit them to the 

Supreme Court for consideration with a recommendation that they be adopted 

by the Court and transmitted to Congress in accordance with the law...................... pp. 2-3

2. a. Approve the proposed Restyled Bankruptcy Rules and proposed 

amendments to Bankruptcy Rules 1007, 4004, 5009, 7001, and 9006, 

and new Rule 8023.1, as set forth in Appendix B, and transmit them 

to the Supreme Court for consideration with a recommendation that

they be adopted by the Court and transmitted to Congress in accordance 

with the law

b. Approve, contingent on the approval of the above-noted amendments to 

Bankruptcy Rule 1007, the abrogation of Bankruptcy Official Form 

423, effective in all bankruptcy proceedings commenced 

after December 1, 2024, and, insofar as just and practicable, all proceedings 

pending on December 1, 2024; and

c. Approve, effective December 1, 2023, the proposed amendment to 

Bankruptcy Official Form 410A, as set forth in Appendix B, for use in all 

bankruptcy proceedings commenced after the effective date and, insofar 

as just and practicable, all proceedings pending on the effective date .......... pp. 5-9

3. Approve the proposed amendment to Civil Rule 12(a), as set forth in 

Appendix C, and transmit it to the Supreme Court for consideration with a 

recommendation that it be adopted by the Court and transmitted to Congress in 

accordance with the law......................................................................................... pp. 12-13

4. Approve the proposed amendments to Evidence Rules 613, 801, 804, and 1006, 

and new Rule 107, as set forth in Appendix D, and transmit them to the 

Supreme Court for consideration with a recommendation that they be adopted 

by the Court and transmitted to Congress in accordance with the law.................. pp. 17-19
Rules Summary - Page 2

The remainder of the report is submitted for the record and includes the following for the 

information of the Judicial Conference:

 Federal Rules of Appellate Procedure ....................................................................... pp. 2-5

 Federal Rules of Bankruptcy Procedure .................................................................. pp. 5-12

 Federal Rules of Civil Procedure........................................................................... pp. 12-16

 Federal Rules of Criminal Procedure..................................................................... pp. 16-17

 Federal Rules of Evidence ..................................................................................... pp. 17-20

 Judiciary Strategic Planning ..........................................................................................p. 20
NOTICE

NO RECOMMENDATIONS PRESENTED HEREIN REPRESENT THE POLICY OF THE JUDICIAL CONFERENCE 

UNLESS APPROVED BY THE CONFERENCE ITSELF.

Agenda E-19

Rules

September 2023 

REPORT OF THE JUDICIAL CONFERENCE

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

TO THE CHIEF JUSTICE OF THE UNITED STATES AND MEMBERS OF THE 

JUDICIAL CONFERENCE OF THE UNITED STATES:

The Committee on Rules of Practice and Procedure (Standing Committee or Committee) 

met on June 6, 2023. All members participated. 

Representing the advisory committees were Judge Jay S. Bybee (9th Cir.), chair, and 

Professor Edward Hartnett, Reporter, Advisory Committee on Appellate Rules; Judge Rebecca 

Buehler Connelly (Bankr. W.D. Va.), chair, Professor S. Elizabeth Gibson, Reporter, and 

Professor Laura B. Bartell, Associate Reporter, Advisory Committee on Bankruptcy Rules; 

Judge Robin L. Rosenberg (S.D. Fla.), chair, Professor Richard L. Marcus, Reporter, Professor 

Andrew Bradt, Associate Reporter, and Professor Edward Cooper, consultant, Advisory 

Committee on Civil Rules; Judge James C. Dever III (E.D.N.C.), chair, Professor Sara Sun 

Beale, Reporter, and Professor Nancy J. King, Associate Reporter, Advisory Committee on 

Criminal Rules; and Judge Patrick J. Schiltz (D. Minn.), chair, Professor Daniel J. Capra, 

Reporter, and Professor Liesa Richter, consultant, Advisory Committee on Evidence Rules.

Also participating in the meeting were Professor Catherine T. Struve, the Standing 

Committee’s Reporter; Professor Daniel R. Coquillette, Professor Bryan A. Garner, and 

Professor Joseph Kimble, consultants to the Standing Committee; H. Thomas Byron III, the 

Standing Committee’s Secretary; Allison A. Bruff, Bridget M. Healy, and Scott Myers, Rules 

Committee Staff Counsel; Christopher Ian Pryby, Law Clerk to the Standing Committee; 
Rules - Page 2 

John S. Cooke, Director, and Dr. Tim Reagan, Senior Research Associate, Federal Judicial 

Center; and Elizabeth J. Shapiro, Deputy Director, Federal Programs Branch, Civil Division, 

Department of Justice, on behalf of Deputy Attorney General Lisa O. Monaco. 

In addition to its general business, including a review of the status of pending rule 

amendments in different stages of the Rules Enabling Act process, and pending legislation 

affecting the rules, the Standing Committee received and responded to reports from the five 

advisory committees. The Committee also received an update on the coordinated work among 

the Appellate, Bankruptcy, Civil, and Criminal Rules Committees to consider two suggestions 

affecting all four Advisory Committees—suggestions to allow expanded access to electronic 

filing by pro se litigants and to modify the presumptive deadlines for electronic filing. An 

additional update concerned the start of coordinated work among the Bankruptcy, Civil, and 

Criminal Rules Committees to evaluate a proposal to adopt a unified standard for admission to 

the bar of federal district and bankruptcy courts. Finally, the Standing Committee approved a 

brief report regarding judiciary strategic planning. 

FEDERAL RULES OF APPELLATE PROCEDURE

Rules Recommended for Approval and Transmission 

The Advisory Committee on Appellate Rules recommended for final approval proposed 

amendments to Appellate Rules 32, 35, and 40, and the Appendix of Length Limits. The 

Standing Committee unanimously approved the Advisory Committee’s recommendations. 

Rule 32 (Form of Briefs, Appendices, and Other Papers), Rule 35 (En Banc Determination), 

Rule 40 (Petition for Panel Rehearing), and Appendix of Length Limits 

 The Advisory Committee completed a comprehensive review of the rules governing 

panel and en banc rehearing, resulting in proposed amendments transferring the content of 

Rule 35 to Rule 40, bringing together in one place the relevant provisions dealing with rehearing. 

The proposed amendments to Rule 40 would clarify the distinct criteria for rehearing en banc 
Rules - Page 3 

and panel rehearing, and would eliminate redundancy. Rule 32 and the Appendix of Length 

Limits would be amended to reflect the transfer of the contents of Rule 35 to Rule 40. The 

proposed amendments were published in August 2022. The Advisory Committee reviewed the 

public comments and made no changes.

Recommendation: That the Judicial Conference approve the proposed 

amendments to Appellate Rules 32, 35, and 40, and the Appendix of Length 

Limits as set forth in Appendix A, and transmit them to the Supreme Court for 

consideration with a recommendation that they be adopted by the Court and 

transmitted to Congress in accordance with the law. 

Rules Approved for Publication and Comment 

 The Advisory Committee on Appellate Rules submitted proposed amendments to Rule 6 

(Appeal in a Bankruptcy Case) and Rule 39 (Costs on Appeal) with a recommendation that they 

be published for public comment in August 2023. The Standing Committee unanimously 

approved the Advisory Committee’s recommendation.

Rule 6 (Appeal in a Bankruptcy Case) 

 The proposed amendments to Appellate Rule 6 would clarify the treatment of appeals in 

bankruptcy cases. A proposed amendment to Appellate Rule 6(a) would account for the fact that 

the time limits for certain post-judgment motions that reset the time to take an appeal from a 

district court to a court of appeals are different when the district court was exercising bankruptcy 

jurisdiction under 28 U.S.C. § 1334 than when it was exercising original jurisdiction under other 

statutory grants. The proposed committee note provides a table showing which Bankruptcy Rule 

governs each relevant type of post-judgment motion and the time allowed under the current 

version of the applicable Bankruptcy Rule. Proposed amendments to Appellate Rule 6(c) would 

address direct appeals in bankruptcy cases, which are governed by 28 U.S.C. § 158(d)(2). The 

Advisory Committee determined that Rule 6(c)’s current reliance on Rule 5 (Appeal by 

Permission) was misplaced and that there is considerable confusion in applying the Appellate 
Rules - Page 4 

Rules to direct appeals. For that reason, the proposed amendments to Rule 6(c) would address 

direct appeals in a largely self-contained way. Finally, the proposed amendments also provide 

more detailed guidance for litigants about initial procedural steps once authorization is granted 

for a direct appeal to the court of appeals. 

Rule 39 (Costs) 

The proposed amendments to Rule 39 would clarify the distinction between (1) the court 

of appeals deciding which parties must bear the costs and, if appropriate, in what percentages 

and (2) the court of appeals or the district court (or the clerk of either) calculating and taxing the 

dollar amount of costs upon the proper party or parties. In addition, the proposed amendments 

would codify the holding in City of San Antonio v. Hotels.com, L.P., 141 S. Ct. 1628 (2021)—

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

appeals and the costs taxable in the district court— and would provide a clearer procedure to ask 

the court of appeals to reconsider the allocation of costs. Finally, the proposed amendments 

would make Rule 39’s structure more parallel by adding a list of the costs taxable in the court of 

appeals to the current rule, which lists only the costs taxable in the district court.

Information Items

The Advisory Committee met on March 29, 2023. In addition to the proposals noted 

above, the Advisory Committee discussed several other matters. The Advisory Committee has 

been considering potential amendments to Rule 29 (Brief of an Amicus Curiae) for several years 

and considered possible amendments requiring the disclosure by amici curiae of information 

about contributions by parties and nonparties. In addition, the Advisory Committee completed a 

draft of amended Form 4 to create a more streamlined and less intrusive form to use when 

seeking to proceed in forma pauperis. Because the Rules of the Supreme Court require litigants 

to use the same form, the draft has been provided to the Clerk of the Supreme Court for review. 
Rules - Page 5 

Finally, the Advisory Committee discussed new suggestions, including a suggestion regarding 

the redaction of Social Security numbers in court filings, a suggestion for a possible new rule 

regarding intervention on appeal, a suggestion regarding third-party litigation funding, and a 

suggestion to follow the Supreme Court’s lead in permitting the filing of amicus briefs without 

requiring the consent of the parties or the permission of the court. 

FEDERAL RULES OF BANKRUPTCY PROCEDURE

Rules and Forms Recommended for Approval and Transmission 

The Advisory Committee on Bankruptcy Rules recommended for final approval the 

following proposals: the proposed Restyled Bankruptcy Rules;1

 proposed amendments to 

Bankruptcy Rules 1007, 4004, 5009, 7001, and 9006; new Rule 8023.1;2 the abrogation of 

Official Form 423; and a proposed amendment to Bankruptcy Official Form 410A. The 

Standing Committee unanimously approved the Advisory Committee’s recommendation. 

Restyled Rules Parts I–IX (the 1000–9000 series of Bankruptcy Rules)

The Bankruptcy Rules are the fifth and final set of national procedural rules to be 

restyled. The Restyled Bankruptcy Rules were published for comment over several years in 

three sets: the 1000–2000 series of rules were published in August 2020, the 3000–6000 series in 

August 2021, and the final set, the 7000–9000 series, in August 2022. After each publication 

period, the Advisory Committee on Bankruptcy Rules carefully considered the comments 

received and made recommendations for final approval based on the same general drafting 

1

The Restyled Bankruptcy Rules are at Appendix B, pages 1-454. They are in side-by-side format 

with the existing unstyled version of each rule on the left and the proposed restyled version shown on the 

right. The unstyled left-side versions of the following rules reflect pending rule changes currently on 

track to take effect December 1, 2023, absent contrary action by Congress: Amended Rules 3011, 8003, 

9006, and new Rule 9038. 

2

The proposed substantive changes to Bankruptcy Rules 1007, 4004, 5009, 7001, and 9006, and 

new Rule 8023.1 are set out separately and begin at Appendix B, page 455. The changes, underlining and 

strikeout, are shown against the proposed restyled versions of those rules. 
Rules - Page 6

guidelines and principles used in restyling the Appellate, Criminal, Civil, and Evidence Rules, as

outlined below. The Restyled Bankruptcy Rules as a whole, including the revisions based on 

public comments and a final, comprehensive review, are now being recommended for final 

approval.

General Guidelines. Guidance in drafting, usage, and style was provided by Bryan A. 

Garner, Guidelines for Drafting and Editing Court Rules, Administrative Office of the United 

States Courts (1996), and Bryan A. Garner, Dictionary of Modern Legal Usage (2d ed. 1995). 

See also Joseph Kimble, Guiding Principles for Restyling the Federal Rules of Civil Procedure, 

Mich. Bar J., Sept. 2005, at 56 and Mich. Bar J., Oct. 2005, at 52; Joseph Kimble, Lessons in 

Drafting from the New Federal Rules of Civil Procedure, 12 Scribes J. Legal Writing 25 

(2008-2009). 

Formatting Changes. Many of the changes in the restyled Bankruptcy Rules result from 

using consistent formatting to achieve clearer presentations. The rules are broken down into 

constituent parts, using progressively indented subparagraphs with headings and substituting 

vertical for horizontal lists. “Hanging indents” are used throughout. These formatting changes 

make the structure of the rules clearer and make the restyled rules easier to read and understand 

even when the words are not changed.

Changes to Reduce Inconsistent, Ambiguous, Redundant, Repetitive, or Archaic Words. 

The restyled rules reduce the use of inconsistent terms that say the same thing in different ways. 

Because different words are presumed to have different meanings, such inconsistencies can 

result in confusion. The restyled rules reduce inconsistencies by using the same words to express 

the same meaning. The restyled rules also minimize the use of inherently ambiguous words, as 

well as redundant “intensifiers”—expressions that attempt to add emphasis but instead state the 

obvious and create negative implications for other rules. The absence of intensifiers in the 
Rules - Page 7 

restyled rules does not change their substantive meaning. The restyled rules also remove words 

and concepts that are outdated or redundant. 

Rule Numbers. The restyled rules keep the same numbers to minimize the effect on 

research. Subdivisions have been rearranged within some rules to achieve greater clarity and 

simplicity.

No Substantive Change. The style changes to the rules are intended to make no changes 

in substantive meaning. The Advisory Committee made special efforts to reject any purported 

style improvement that might result in a substantive change in the application of a rule. The 

Advisory Committee also declined to modify “sacred phrases”―those that have become so 

familiar in practice that to alter them would be unduly disruptive to practice and expectations. 

One example is “meeting of creditors,” a term that is widely used and well understood in 

bankruptcy practice. 

Rules Enacted by Congress. Where Congress has enacted a rule by statute, in particular 

Rule 2002(n) (Bankruptcy Amendments and Federal Judgeship Act of 1984, Pub. L.

No. 98-353, 98 Stat. 333, 357), Rule 3001(g) (Bankruptcy Amendments and Federal Judgeship 

Act of 1984, Pub. L. No. 98-353, 98 Stat. 333, 361), and Rule 7004(b) and (h) (Bankruptcy 

Reform Act of 1994, Pub. L. No. 103-394, 108 Stat. 4106, 4118), the Advisory Committee has 

not restyled the rule.

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

related amendments to Rules 4004 (Grant or Denial of Discharge), 5009 (Closing Chapter 7, 

Chapter 12, Chapter 13, and Chapter 15 Cases; Order Declaring Lien Satisfied), and 9006 

(Computing and Extending Time; Time for Motion Papers), and abrogation of Official Form 423 

(Certification About a Financial Management Course) 

 The amendments to Rule 1007(b)(7) delete the directive to file a statement on Official 

Form 423 (Certification About a Financial Management Course) and make filing the course 

certificate itself the exclusive means showing that the debtor has taken a postpetition course in 
Rules - Page 8 

personal financial management. References in other parts of Rule 1007 and in Rules 4004, 5009, 

and 9006 to the “statement” required by Rule 1007(b)(7) are changed to refer to a “certificate.” 

Because Official Form 423 is no longer necessary, the Advisory Committee recommends that it 

be abrogated. 

Rule 7001 (Scope of Rules of Part VII) 

The amendment to Rule 7001(a) creates an exception for certain turnover proceedings 

under § 542(a) of the Code. An individual debtor may need an order requiring the prompt return 

by a third party of tangible personal property—such as an automobile or tools of the trade—in 

order to produce income to fund a plan or to regain the use of exempt property. As noted by 

Justice Sonia Sotomayor in her concurrence in City of Chicago v. Fulton, 141 S. Ct. 585, 592–95 

(2021), the procedures applicable to adversary proceedings can be unnecessarily time-consuming 

in such a situation. Instead, the proposed amendment allows the debtor to seek turnover of such 

property by motion under § 542(a), and the procedures of Rule 9014 would apply. 3

Rule 8023.1 (Substitution of Parties) 

New Rule 8023.1 is modeled on Appellate Rule 43. Neither Appellate Rule 43 nor 

Civil Rule 25 applies to parties in bankruptcy appeals to the district court or bankruptcy appellate 

panel. This new rule is intended to fill that gap by providing consistent rules (in connection with 

such appeals) for the substitution of parties upon death or for any other reason. 

Official Form 410A (Proof of Claim, Attachment A) 

Part 3 of Form 410A is amended to provide for separate itemization of principal due and 

interest due. Because under Bankruptcy Code § 1322(e) the amount necessary to cure a default 

3

As noted by Justice Sotomayor, “Because adversary proceedings require more process, they take 

more time. Of the turnover proceedings filed after July 2019 and concluding before June 2020, the 

average case was pending for over 100 days [citation omitted]. One hundred days is a long time to wait 

for a creditor to return your car, especially when you need that car to get to work so you can earn an 

income and make your bankruptcy-plan payments.” Fulton, 141 S. Ct. at 594. 
Rules - Page 9 

is “determined in accordance with the underlying agreement and applicable nonbankruptcy law,” 

it may be necessary for a debtor who is curing arrearages under § 1325(a)(5) to know which 

portion of the total arrearages is principal and which is interest.

Recommendation: That the Judicial Conference:

a. Approve the proposed Restyled Bankruptcy Rules and proposed 

amendments to Bankruptcy Rules 1007, 4004, 5009, 7001, and 9006, and 

new Rule 8023.1, as set forth in Appendix B, and transmit them to the 

Supreme Court for consideration with a recommendation that they be 

adopted by the Court and transmitted to Congress in accordance with the 

law; 

b. Approve, contingent on the approval of the above-noted amendments to 

Bankruptcy Rule 1007, the abrogation of Bankruptcy Official Form 423, 

effective in all bankruptcy proceedings commenced after 

December 1, 2024, and, insofar as just and practicable, all proceedings 

pending on December 1, 2024; and

c. Approve, effective December 1, 2023, the proposed amendment to 

Bankruptcy Official Form 410A, as set forth in Appendix B, for use in all 

bankruptcy proceedings commenced after the effective date and, insofar as 

just and practicable, all proceedings pending on the effective date. 

Rules and Forms Approved for Publication and Comment 

The Advisory Committee on Bankruptcy Rules submitted proposed amendments to 

Rules 3002.1 and 8006 and proposed six new Official Forms related to the Rule 3002.1 

amendments, Official Forms 410C13-M1, 410C13-M1R, 410C13-N, 410C13-NR, 410C13-M2, 

and 410C13-M2R, with a recommendation that they be published for public comment. The 

Standing Committee unanimously approved the Advisory Committee’s recommendation with 

one change, discussed below, to Rule 3002.1. 

Rule 3002.1 (Notice Relating to Claims Secured by Security Interest in the Debtor’s Principal 

Residence)

In response to suggestions submitted by the National Association of Chapter Thirteen 

Trustees and the American Bankruptcy Institute’s Commission on Consumer Bankruptcy, the 

Advisory Committee proposed amendments to Rule 3002.1 that were published for comment 
Rules - Page 10

in 2021. The proposed amendments—intended to encourage a greater degree of compliance with 

the rule’s provisions—included a new midcase assessment of the mortgage claim’s status in 

order to give the debtor time to cure any postpetition defaults that may have occurred, new 

provisions concerning the effective date of late payment-change notices, and requirements 

concerning notice of payment changes for a home equity line of credit (“HELOC”). 

Additionally, the proposed amendments would have changed the assessment of the status of the 

mortgage at the end of a chapter 13 case from a notice to a motion procedure that would result in 

a binding order.

There were 27 comments submitted in response to the proposed amendments. Many of 

them identified concerns about the midcase review and end-of-case procedures. The comments

led the Advisory Committee to recommend several changes to the rule as published. Among 

those changes, the provision for giving only annual notices of HELOC changes is made optional. 

The proposed midcase review procedure is also made optional, can be sought at any time during 

the case, is done by motion rather than by notice, and can be initiated either by the debtor or the 

trustee, not just the trustee as initially proposed. Changes are also made to the end-of-case

procedures in response to the comments, including initiating the process by notice rather than by 

motion from the case trustee.

In addition to the changes discussed above, the Advisory Committee also recommended 

changes to current Rule 3002.1(i) (which would become Rule 3002.1(h)) to clarify the scope of 

relief that a court may grant if a claimholder fails to provide any information required under the 

rule. Following concerns raised during the Standing Committee meeting, the Advisory 

Committee chair withdrew one aspect of those proposed changes to allow for further 

consideration and possible resubmission at a later time.
Rules - Page 11

Because the changes to the originally published amendments are substantial, and further 

public input would be beneficial, the Advisory Committee sought republication of the new 

proposed amendments to Rule 3002.1. After the Advisory Committee chair withdrew the 

portion of the proposed amendments noted in the preceding paragraph concerning current 

Rule 3002.1(i), the Standing Committee unanimously approved for publication the remainder of 

the proposed amendments to Rule 3002.1. 

Rule 8006 (Certifying a Direct Appeal to the Court of Appeals) 

The proposed amendment to Rule 8006(g) would clarify that any party to an appeal from 

a bankruptcy court (not merely the appellant) may request that a court of appeals authorize a 

direct appeal (if the requirements for such an appeal have otherwise been met). There is no 

obligation to file such a request if no party wants the court of appeals to authorize a direct 

appeal.

Official Forms Related to Proposed Amendments to Rule 3002.1 

• Official Form 410C13-M1 (Motion Under Rule 3002.1(f)(1) to Determine the Status of 

the Mortgage Claim),

• Official Form 410C13-M1R (Response to [Trustee’s/Debtor’s] Motion Under 

Rule 3002.1(f)(1) to Determine the Status of the Mortgage Claim), 

• Official Form 410C13-N (Trustee’s Notice of Payments Made),

• Official Form 410C13-NR (Response to Trustee’s Notice of Payments Made),

• Official Form 410C13-M2 (Motion Under Rule 3002.1(g)(4) to Determine Final Cure 

and Payment of Mortgage Claim), 

• Official Form 410C13-M2R (Response to [Trustee’s/Debtor’s] Motion to Determine 

Final Cure and Payment of the Mortgage Claim) 

 The proposed amendments to Rule 3002.1 that were published for comment in 2021 

called for five Official Forms to implement the proposed procedures. As a result of its 

recommendation to republish proposed Rule 3002.1, and the substantial changes to the proposed 
Rules - Page 12

procedures, the Advisory Committee now seeks publication of six proposed implementing 

Official Forms.

Information Items

The Advisory Committee met on March 30, 2023. In addition to the recommendations 

discussed above, the Advisory Committee gave preliminary consideration to a suggestion to 

require redaction of the entire Social Security number from filings in bankruptcy, a new 

suggestion to adopt national rules addressing electronic debtor signatures, changes to the timing 

of clerk notices of a debtor’s failure to file the certificate showing completion of a personal 

financial management course, and a rule amendment that would require the debtor to disclose 

certain assets obtained after the petition date.

FEDERAL RULES OF CIVIL PROCEDURE

Rule Recommended for Approval and Transmission 

 The Advisory Committee on Civil Rules recommended for final approval proposed 

amendments to Civil Rule 12(a). The Standing Committee unanimously approved the Advisory 

Committee’s recommendation.

Rule 12 (Defenses and Objections: When and How Presented; Motion for Judgment on the 

Pleadings; Consolidating Motions; Waiving Defenses; Pretrial Hearing) 

 Rule 12(a) prescribes the time to serve responsive pleadings. Paragraph (1) provides the 

general response time, but recognizes that a federal statute setting a different time governs. In 

contrast, neither paragraph (2) (which sets a 60-day response time for the United States, its 

agencies, and its officers or employees sued in an official capacity) nor paragraph (3) (which sets 

a 60-day response time for United States officers or employees sued in an individual capacity for 

acts or omissions in connection with federal duties) recognizes the possibility of conflicting 

statutory response times. 
Rules - Page 13

The current language could be read to suggest unintended preemption of statutory time 

directives. While it is not clear whether any statutes inconsistent with paragraph (3) exist, there 

are statutes setting shorter times than the 60 days provided by paragraph (2); one example is the 

Freedom of Information Act. The current rule fails to reflect the Advisory Committee’s intent to 

defer to different response times set by statute. Thus, the current language could be mistakenly 

interpreted as a deliberate choice by the Advisory Committee that the response times set in 

paragraphs (2) and (3) are intended to supersede inconsistent statutory provisions, especially 

because paragraph (1) includes specific language deferring to different periods established by 

statute.

The Advisory Committee determined that an amendment to Rule 12(a) is necessary to 

explicitly extend to paragraphs (2) and (3) the recognition now set forth in paragraph 

(1)---namely, that a different response time set by statute supersedes the response times set by 

those rules. After public comment, the Advisory Committee recommended final approval of the 

rule as published.

Recommendation: That the Judicial Conference approve the proposed 

amendment to Civil Rule 12(a), as set forth in Appendix C, and transmit it to the 

Supreme Court for consideration with a recommendation that it be adopted by the 

Court and transmitted to Congress in accordance with the law.

Rules Approved for Publication and Comment

The Advisory Committee submitted proposed amendments to Rules 16(b)(3) 

(Pretrial Conferences; Scheduling; Management) and 26(f)(3) (Duty to Disclose; General 

Provisions Governing Discovery) and proposed new Rule 16.1 (Multidistrict Litigation) with a 

recommendation that they be published for public comment in August 2023. The Standing 

Committee unanimously approved the Advisory Committee’s recommendations.
Rules - Page 14

Rules 16(b)(3) (Pretrial Conferences; Scheduling; Management) and 26(f)(3) (Duty to Disclose; 

General Provisions Governing Discovery) 

The proposed amendments would call for early identification of a method to comply with 

Rule 26(b)(5)(A)’s requirement that producing parties describe materials withheld on grounds of 

privilege or as trial-preparation materials. Specifically, the proposed amendment to 

Rule 26(f)(3)(D) would require the parties to address in their discovery plan the timing and 

method for complying with Rule 26(b)(5)(A). The proposed amendment to Rule 16(b)(3) would 

provide that the court may address the timing and method of such compliance in its scheduling 

order. During the January 2023 Standing Committee meeting, members expressed differing 

views concerning the length of, and level of detail in, the committee notes that would accompany 

the proposed amendments. The Advisory Committee subsequently reexamined the notes in light 

of that discussion, and at the June 2023 Standing Committee meeting, the Advisory Committee 

presented shortened notes to accompany the proposed amendments. 

New Rule 16.1 (Multidistrict Litigation) 

Proposed new Rule 16.1 is designed to provide a framework for the initial management 

of multidistrict litigation (MDL) proceedings, which the Civil Rules do not expressly address. 

After several years of work by its MDL Subcommittee, extensive discussions with interested bar 

groups, and consideration of multiple drafts, the Advisory Committee unanimously 

recommended that new Rule 16.1 be published for public comment. 

Rule 16.1(a) recognizes that the transferee judge regularly schedules an initial MDL 

management conference soon after transfer. An initial MDL management conference allows for 

early attention to matters identified in Rule 16.1(c), which may be of great value to the transferee 

judge and the parties. Because not all MDL proceedings present the same type of management 

challenges, there may be some MDL proceedings in which no initial management conference is 
Rules - Page 15

needed, so proposed new Rule 16.1(a) says that the transferee court “should” (not “must”) 

schedule such a conference.

Rule 16.1(b) recognizes that the transferee judge may designate coordinating

counsel---before the appointment of leadership counsel—for the initial MDL conference. The 

court may appoint coordinating counsel to ensure effective and coordinated discussion and to 

provide an informative report.

Rule 16.1(c) encourages the court to order the parties to submit a report prior to the initial 

MDL conference. The court may order that the report address, inter alia, any matter under 

Rules 16.1(c)(1)–(12) or Rule 16. The rule provides a series of prompts for the court to consider, 

identifying matters that are often important to the management of MDL proceedings, including

(1) whether to appoint leadership counsel; (2) previously entered scheduling or other orders; 

(3) principal factual and legal issues; (4) exchange of information about factual bases for claims 

and defenses; (5) consolidated pleadings; (6) a discovery plan; (7) pretrial motions; (8) additional 

management conferences; (9) settlement; (10) new actions in the MDL proceeding; (11) related 

actions in other courts; and (12) referral of matters to a magistrate judge or master.

Rule 16.1(d) provides for an initial MDL management order, which the court should 

enter after the initial MDL management conference. The order should address matters the court 

designates under Rule 16.1(c) and may address other matters in the court’s discretion. This order 

controls the MDL proceedings until modified.

Information Items

The Advisory Committee met on March 28, 2023. In addition to the matters discussed 

above, the Advisory Committee discussed various information items, including potential 

amendments to Rule 7.1 (Disclosure Requirement) regarding disclosure of possible grounds for 

recusal, Rule 23 (Class Actions) regarding awards to class representatives in class actions and 
Rules - Page 16

the superiority requirement for class certification, Rule 28 (Persons Before Whom Depositions 

May Be Taken) regarding cross-border discovery, Rule 41(a) (Dismissal of Actions) regarding 

the dismissal of some but not all claims or parties, and Rule 45(b)(1) (Subpoena) regarding 

methods for serving a subpoena. The Advisory Committee also discussed issues related to 

sealed filings, the standards for in forma pauperis status, and the mandatory initial discovery 

pilot project.

FEDERAL RULES OF CRIMINAL PROCEDURE

Information Items

The Advisory Committee on Criminal Rules met on April 20, 2023. The Advisory 

Committee considered several information items.

The Advisory Committee continues to consider a New York City Bar Association

suggestion concerning Rule 17 (Subpoena). On issues related to third-party subpoenas, the 

Advisory Committee has heard from a number of experienced attorneys, including defense 

lawyers in private practice, federal defenders, and representatives of the Department of Justice. 

Through its Rule 17 Subcommittee, the Advisory Committee has collected information from 

experts regarding the Stored Communications Act and other issues relating to materials held 

online, as well as issues affecting banks and other financial service entities.

A new proposal from the American College of Trial Lawyers would allow the defendant 

to waive trial by jury without the government’s consent. The Advisory Committee discussed this 

proposal and its previous consideration of this issue in connection with deliberations over new 

Criminal Rule 62 (part of the set of proposed rules—currently on track to take effect 

December 1, 2023, absent contrary action by Congress—that resulted from the CARES Act 

directive that rules be considered to address future emergencies).
Rules - Page 17

Finally, the Advisory Committee voted to remove two items from its study agenda: a 

suggestion to clarify Rule 11(a)(2), which governs conditional pleas, and a suggestion to amend 

Rule 11(a)(1) to provide for a plea of not guilty by reason of insanity. 

FEDERAL RULES OF EVIDENCE

Rules Recommended for Approval and Transmission 

 The Advisory Committee on Evidence Rules recommended for final approval proposed 

amendments to Evidence Rules 613, 801, 804, and 1006, and new Evidence Rule 107. The 

Standing Committee unanimously approved the Advisory Committee’s recommendations with 

minor changes to the text of Rules 107, 804, and 1006, and minor changes to the committee 

notes accompanying Rules 107, 801, 804, and 1006. 

New Rule 107 (Illustrative Aids) 

The distinction between “demonstrative evidence” (admitted into evidence and used 

substantively to prove disputed issues at trial) and “illustrative aids” (not admitted into evidence 

but used solely to assist the trier of fact in understanding evidence) is sometimes a difficult one 

to draw, and the standards for allowing the use of an illustrative aid are not made clear in the 

case law, in part because there is no specific rule that sets any standards. The proposed 

amendment, originally published for public comment as a new subsection of Rule 611, would 

provide standards for illustrative aids, allowing them to be used at trial after the court balances 

the utility of the aid against the risk of unfair prejudice, confusion, and delay. Following 

publication in August 2022, the Advisory Committee determined that the contents of the rule 

were better contained in a new Rule 107 rather than a new subsection of Rule 611, reasoning that 

Article VI is about witnesses, and illustrative aids are often used outside the context of witness 

testimony. In addition, the Advisory Committee determined to remove the notice requirement 

from the published version of the proposed amendment and to extend the rule to cover opening 
Rules - Page 18

and closing statements. Finally, the Advisory Committee changed the proposed amendments to 

provide that illustrative aids can be used unless the negative factors “substantially” outweigh the 

educative value of the aid, to make clear that illustrative aids are not evidence, and to refer to 

Rule 1006 for summaries of voluminous evidence. 

Rule 613 (Witness’s Prior Statement) 

The proposed amendment would provide that extrinsic evidence of a prior inconsistent 

statement is not admissible until the witness is given an opportunity to explain or deny the 

statement. To allow flexibility, the amended rule would give the court the discretion to dispense 

with the requirement. The proposed amendment would bring the courts into uniformity, and 

would adopt the approach that treats the witness fairly and promotes efficiency. 

Rule 801 (Definitions That Apply to This Article; Exclusions from Hearsay) 

 The proposed amendment to Rule 801(d)(2) would resolve the dispute in the courts about 

the admissibility of statements by the predecessor-in-interest of a party-opponent, providing that 

such a hearsay statement would be admissible against the declarant’s successor-in-interest. The 

Advisory Committee reasoned that admissibility is fair when the successor-in-interest is standing 

in the shoes of the declarant because the declarant is in substance the party-opponent. 

Rule 804 (Exceptions to the Rule Against Hearsay—When the Declarant Is Unavailable as a 

Witness) 

 Rule 804(b)(3) provides a hearsay exception for declarations against interest. In a 

criminal case in which a declaration against penal interest is offered, the rule requires that the 

proponent provide “corroborating circumstances that clearly indicate the trustworthiness” of the 

statement. There is a dispute in the courts about the meaning of the “corroborating 

circumstances” requirement. The proposed amendments to Rule 804(b)(3) would require that, in 

assessing whether a statement is supported by corroborating circumstances, the court must 

consider not only the totality of the circumstances under which the statement was made, but also 
Rules - Page 19

any evidence supporting or undermining it. This proposed amendment would help maintain 

consistency with the 2019 amendment to Rule 807, which requires courts to look at 

corroborating evidence, if any, in determining whether a hearsay statement is sufficiently 

trustworthy under the residual exception. 

Rule 1006 (Summaries to Prove Content) 

The proposed amendments to Rule 1006 would fit together with the proposed new 

Rule 107 on illustrative aids. The proposed rule amendment and new rule would serve to 

distinguish a summary of voluminous evidence (which summary is itself evidence and is 

governed by Rule 1006) from a summary that is designed to help the trier of fact understand 

admissible evidence (which summary is not itself evidence and would be governed by new 

Rule 107). The proposed amendment to Rule 1006 would also clarify that a Rule 1006 summary 

is admissible whether or not the underlying evidence has been admitted. 

Recommendation: That the Judicial Conference approve the proposed 

amendments to Evidence Rules 613, 801, 804, and 1006, and new Rule 107, as set 

forth in Appendix D, and transmit them to the Supreme Court for consideration 

with a recommendation that they be adopted by the Court and transmitted to 

Congress in accordance with the law. 

Information Items

The Advisory Committee on Evidence Rules met on April 28, 2023. In addition to the 

matters discussed above, the Advisory Committee discussed possible amendments to add a new 

subdivision to Rule 611 (Mode and Order of Examining Witnesses and Presenting Evidence) to 

address permitting jurors to submit questions for witnesses. Proposed amendments setting forth 

the minimum safeguards that should be applied if a trial court decided to allow jurors to submit 

questions for witnesses were under consideration for some time, but doubts about the practice of 

allowing jurors to submit questions for witnesses led the Advisory Committee to table any 

possible proposed amendments. The Advisory Committee referred the issue to the committee 
Rules - Page 20

updating the Benchbook for U.S. District Court Judges, and it is being considered for inclusion 

in the Benchbook.

JUDICIARY STRATEGIC PLANNING

The Standing Committee approved a brief report on the strategic initiatives that the 

Committee is pursuing to implement the Strategic Plan for the Federal Judiciary. The 

Committee’s views were communicated to Chief Judge Scott Coogler (N.D. Ala.), judiciary 

planning coordinator.

Respectfully submitted,

John D. Bates, Chair

Paul Barbadoro

Elizabeth J. Cabraser

Robert J. Giuffra, Jr.

William J. Kayatta, Jr.

Carolyn B. Kuhl

Troy A. McKenzie 

Patricia Ann Millett

Lisa O. Monaco

Andrew J. Pincus

Gene E.K. Pratter

D. Brooks Smith

Kosta Stojilkovic

Jennifer G. Zipps

Appendix A – Federal Rules of Appellate Procedure (proposed amendments and supporting 

report excerpt)

Appendix B – Federal Rules of Bankruptcy Procedure and Official Bankruptcy Form (proposed 

amendments and supporting report excerpt)

Appendix C – Federal Rules of Civil Procedure (proposed amendment and supporting report 

excerpt)

Appendix D – Federal Rules of Evidence (proposed amendments and supporting report excerpt)
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF APPELLATE PROCEDURE1

1 Rule 32. Form of Briefs, Appendices, and Other 

2 Papers

3 * * * * *

4 (g) Certificate of Compliance.

5 (1) Briefs and Papers That Require a

6 Certificate. A brief submitted under Rules

7 28.1(e)(2), 29(b)(4), or 32(a)(7)(B)—and a

8 paper submitted under Rules 5(c)(1),

9 21(d)(1), 27(d)(2)(A), 27(d)(2)(C),

10 35(b)(2)(A), or 40(b)(1) 40(d)(3)(A)—must

11 include a certificate by the attorney, or an

12 unrepresented party, that the document

13 complies with the type-volume limitation.

14 The person preparing the certificate may rely

1

 New material is underlined; matter to be omitted is 

lined through. 

Agenda E-19 (Appendix A) 

Rules 

September 2023

Rules Appendix A-1
2 FEDERAL RULES OF APPELLATE PROCEDURE 

15 on the word or line count of the word16 processing system used to prepare the 

17 document. The certificate must state the 

18 number of words—or the number of lines of 

19 monospaced type—in the document. 

20 (2) Acceptable Form. Form 6 in the Appendix 

21 of Forms meets the requirements for a 

22 certificate of compliance. 

Committee Note 

 Changes to subdivision (g) reflect the consolidation 

of Rules 35 and 40. 

 

Rules Appendix A-2
FEDERAL RULES OF APPELLATE PROCEDURE 3 

1 Rule 35. En Banc Determination

2 (Transferred to Rule 40) 

3 (a) When Hearing or Rehearing En Banc May Be 

4 Ordered. A majority of the circuit judges who are in 

5 regular active service and who are not disqualified 

6 may order that an appeal or other proceeding be 

7 heard or reheard by the court of appeals en banc. An 

8 en banc hearing or rehearing is not favored and 

9 ordinarily will not be ordered unless:

10 (1) en banc consideration is necessary to 

11 secure or maintain uniformity of the 

12 court’s decisions; or 

13 (2) the proceeding involves a question of 

14 exceptional importance. 

15 (b) Petition for Hearing or Rehearing En 

16 Banc. A party may petition for a hearing or 

17 rehearing en banc. 

18 (1) The petition must begin with a 

19 statement that either: 

Rules Appendix A-3
4 FEDERAL RULES OF APPELLATE PROCEDURE 

20 (A) the panel decision conflicts 

21 with a decision of the United 

22 States Supreme Court or of 

23 the court to which the petition 

24 is addressed (with citation to 

25 the conflicting case or cases) 

26 and consideration by the full 

27 court is therefore necessary to 

28 secure and maintain 

29 uniformity of the court’s 

30 decisions; or 

31 (B) the proceeding involves one 

32 or more questions of 

33 exceptional importance, each 

34 of which must be concisely 

35 stated; for example, a petition 

36 may assert that a proceeding 

37 presents a question of 

Rules Appendix A-4
FEDERAL RULES OF APPELLATE PROCEDURE 5 

38 exceptional importance if it 

39 involves an issue on which the 

40 panel decision conflicts with 

41 the authoritative decisions of 

42 other United States Courts of 

43 Appeals that have addressed 

44 the issue. 

45 (2) Except by the court’s permission: 

46 (A) a petition for an en banc 

47 hearing or rehearing produced 

48 using a computer must not 

49 exceed 3,900 words; and 

50 (B) a handwritten or typewritten 

51 petition for an en banc hearing 

52 or rehearing must not exceed 

53 15 pages. 

54 (3) For purposes of the limits in Rule 

55 35(b)(2), if a party files both a 

Rules Appendix A-5
6 FEDERAL RULES OF APPELLATE PROCEDURE 

56 petition for panel rehearing and a 

57 petition for rehearing en banc, they 

58 are considered a single document 

59 even if they are filed separately, 

60 unless separate filing is required by 

61 local rule. 

62 (c) Time for Petition for Hearing or 

63 Rehearing En Banc. A petition that an 

64 appeal be heard initially en banc must be filed 

65 by the date when the appellee’s brief is due. 

66 A petition for a rehearing en banc must be 

67 filed within the time prescribed by Rule 40 

68 for filing a petition for rehearing. 

69 (d) Number of Copies. The number of copies to 

70 be filed must be prescribed by local rule and 

71 may be altered by order in a particular case. 

72 (e) Response. No response may be filed to a 

73 petition for an en banc consideration unless 

Rules Appendix A-6
FEDERAL RULES OF APPELLATE PROCEDURE 7 

74 the court orders a response. The length limits 

75 in Rule 35(b)(2) apply to a response. 

76 (f) Call for a Vote. A vote need not be taken to 

77 determine whether the case will be heard or 

78 reheard en banc unless a judge calls for a 

79 vote. 

Committee Note 

 For the convenience of parties and counsel, the 

amendment addresses panel rehearing and rehearing en banc 

together in a single rule, consolidating what had been 

separate, overlapping, and duplicative provisions of Rule 35 

(hearing and rehearing en banc) and Rule 40 (panel 

rehearing). The contents of Rule 35 are transferred to 

Rule 40, which is expanded to address both panel rehearing 

and en banc determination. 

Rules Appendix A-7
8 FEDERAL RULES OF APPELLATE PROCEDURE 

1 Rule 40. Petition for Panel Rehearing; En Banc 

2 Determination 

3 (a) Time to File; Contents; Response; Action by the 

4 Court if Granted. A Party’s Options. A party may 

5 seek rehearing of a decision through a petition for 

6 panel rehearing, a petition for rehearing en banc, or 

7 both. Unless a local rule provides otherwise, a party 

8 seeking both forms of rehearing must file the 

9 petitions as a single document. Panel rehearing is the 

10 ordinary means of reconsidering a panel decision; 

11 rehearing en banc is not favored. 

12 (1) Time. Unless the time is shortened or 

13 extended by order or local rule, a petition for 

14 panel rehearing may be filed within 14 days 

15 after entry of judgment. But in a civil case, 

16 unless an order shortens or extends the time, 

17 the petition may be filed by any party within 

18 45 days after entry of judgment if one of the 

19 parties is: 

Rules Appendix A-8
FEDERAL RULES OF APPELLATE PROCEDURE 9 

20 (A) the United States; 

21 (B) a United States agency; 

22 (C) a United States officer or employee 

23 sued in an official capacity; or 

24 (D) a current or former United States 

25 officer or employee sued in an 

26 individual capacity for an act or 

27 omission occurring in connection 

28 with duties performed on the United 

29 States’ behalf — including all 

30 instances in which the United States 

31 represents that person when the court 

32 of appeals’ judgment is entered or 

33 files the petition for that person. 

34 (2) Contents. The petition must state with 

35 particularity each point of law or fact that the 

36 petitioner believes the court has overlooked 

37 or misapprehended and must argue in support 

Rules Appendix A-9
10 FEDERAL RULES OF APPELLATE PROCEDURE 

38 of the petition. Oral argument is not 

39 permitted. 

40 (3) Response. Unless the court requests, no 

41 response to a petition for panel rehearing is 

42 permitted. Ordinarily, rehearing will not be 

43 granted in the absence of such a request. If a 

44 response is requested, the requirements of 

45 Rule 40(b) apply to the response. 

46 (4) Action by the Court. If a petition for panel 

47 rehearing is granted, the court may do any of 

48 the following: 

49 (A) make a final disposition of the case 

50 without reargument; 

51 (B) restore the case to the calendar for 

52 reargument or resubmission; or 

53 (C) issue any other appropriate order. 

54 (b) Form of Petition; Length. Content of a Petition. 

55 The petition must comply in form with Rule 32. 

Rules Appendix A-10
FEDERAL RULES OF APPELLATE PROCEDURE 11 

56 Copies must be served and filed as Rule 31 

57 prescribes. Except by the court’s permission: 

58 (1) a petition for panel rehearing produced using 

59 a computer must not exceed 3,900 words; and 

60 Petition for Panel Rehearing. A petition for 

61 panel rehearing must: 

62 (A) state with particularity each point of 

63 law or fact that the petitioner believes 

64 the court has overlooked or 

65 misapprehended; and 

66 (B) argue in support of the petition. 

67 (2) a handwritten or typewritten petition for 

68 panel rehearing must not exceed 15 pages.

69 Petition for Rehearing En Banc. A petition 

70 for rehearing en banc must begin with a 

71 statement that: 

72 (A) the panel decision conflicts with a 

73 decision of the court to which the 

Rules Appendix A-11
12 FEDERAL RULES OF APPELLATE PROCEDURE 

74 petition is addressed (with citation to 

75 the conflicting case or cases) and the 

76 full court’s consideration is therefore 

77 necessary to secure or maintain 

78 uniformity of the court’s decisions; 

79 (B) the panel decision conflicts with a 

80 decision of the United States Supreme 

81 Court (with citation to the conflicting 

82 case or cases); 

83 (C) the panel decision conflicts with an 

84 authoritative decision of another 

85 United States court of appeals (with 

86 citation to the conflicting case or 

87 cases); or 

88 (D) the proceeding involves one or more 

89 questions of exceptional importance, 

90 each concisely stated. 

Rules Appendix A-12
FEDERAL RULES OF APPELLATE PROCEDURE 13 

91 (c) When Rehearing En Banc May Be Ordered. On 

92 their own or in response to a party’s petition, a 

93 majority of the circuit judges who are in regular 

94 active service and who are not disqualified may order 

95 that an appeal or other proceeding be reheard en 

96 banc. Unless a judge calls for a vote, a vote need not 

97 be taken to determine whether the case will be so 

98 reheard. Rehearing en banc is not favored and 

99 ordinarily will be allowed only if one of the criteria 

100 in Rule 40(b)(2)(A)-(D) is met. 

101 (d) Time to File; Form; Length; Response; Oral 

102 Argument. 

103 (1) Time. Unless the time is shortened or 

104 extended by order or local rule, any 

105 petition for panel rehearing or 

106 rehearing en banc must be filed 

107 within 14 days after judgment is 

108 entered—or, if the panel later amends 

Rules Appendix A-13
14 FEDERAL RULES OF APPELLATE PROCEDURE 

109 its decision (on rehearing or 

110 otherwise), within 14 days after the 

111 amended decision is entered. But in a 

112 civil case, unless an order shortens or 

113 extends the time, the petition may be 

114 filed by any party within 45 days after 

115 entry of judgment or of an amended 

116 decision if one of the parties is: 

117 (A) the United States; 

118 (B) a United States agency; 

119 (C) a United States officer or 

120 employee sued in an official 

121 capacity; or 

122 (D) a current or former United 

123 States officer or employee 

124 sued in an individual capacity 

125 for an act or omission 

126 occurring in connection with 

Rules Appendix A-14
FEDERAL RULES OF APPELLATE PROCEDURE 15 

127 duties performed on the 

128 United States’ behalf—

129 including all instances in 

130 which the United States 

131 represents that person when 

132 the court of appeals’ judgment 

133 is entered or files that person’s 

134 petition. 

135 (2) Form of the Petition. The petition 

136 must comply in form with Rule 32. 

137 Copies must be filed and served as 

138 Rule 31 prescribes, except that the 

139 number of filed copies may be 

140 prescribed by local rule or altered by 

141 order in a particular case. 

142 (3) Length. Unless the court or a local 

143 rule allows otherwise, the petition (or 

144 a single document containing a 

Rules Appendix A-15
16 FEDERAL RULES OF APPELLATE PROCEDURE 

145 petition for panel rehearing and a 

146 petition for rehearing en banc) must 

147 not exceed: 

148 (A) 3,900 words if produced using 

149 a computer; or 

150 (B) 15 pages if handwritten or 

151 typewritten. 

152 (4) Response. Unless the court so 

153 requests, no response to the petition is 

154 permitted. Ordinarily, the petition 

155 will not be granted without such a 

156 request. If a response is requested, the 

157 requirements of Rule 40(d)(2)-(3) 

158 apply to the response. 

159 (5) Oral Argument. Oral argument on 

160 whether to grant the petition is not 

161 permitted. 

Rules Appendix A-16
FEDERAL RULES OF APPELLATE PROCEDURE 17 

162 (e) If a Petition Is Granted. If a petition for 

163 panel rehearing or rehearing en banc is 

164 granted, the court may: 

165 (1) dispose of the case without further 

166 briefing or argument; 

167 (2) order additional briefing or argument; 

168 or 

169 (3) issue any other appropriate order. 

170 (f) Panel’s Authority After a Petition for 

171 Rehearing En Banc. The filing of a petition 

172 for rehearing en banc does not limit the 

173 panel’s authority to take action described in 

174 Rule 40(e). 

175 (g) Initial Hearing En Banc. On its own or in 

176 response to a party’s petition, a court may 

177 hear an appeal or other proceeding initially en 

178 banc. A party’s petition must be filed no later 

179 than the date when its principal brief is due. 

Rules Appendix A-17
18 FEDERAL RULES OF APPELLATE PROCEDURE 

180 The provisions of Rule 40(b)(2), (c), and 

181 (d)(2)-(5) apply to an initial hearing en banc. 

182 But initial hearing en banc is not favored and 

183 ordinarily will not be ordered. 

Committee Note 

For the convenience of parties and counsel, the 

amendment addresses panel rehearing and rehearing en banc 

together in a single rule, consolidating what had been 

separate, overlapping, and duplicative provisions of Rule 35 

(hearing and rehearing en banc) and Rule 40 (panel 

rehearing). The contents of Rule 35 are transferred to Rule 

40, which is expanded to address both panel rehearing and 

en banc determination. 

Subdivision (a). The amendment makes clear that 

parties may seek panel rehearing, rehearing en banc, or both. 

It emphasizes that rehearing en banc is not favored and that 

rehearing by the panel is the ordinary means of reconsidering 

a panel decision. This description of panel rehearing is by no 

means designed to encourage petitions for panel rehearing or 

to suggest that they should in any way be routine, but merely 

to stress the extraordinary nature of rehearing en banc. 

Furthermore, the amendment’s discussion of rehearing 

petitions is not intended to diminish the court’s existing 

power to order rehearing sua sponte, without any petition 

having been filed. The amendment also preserves a party’s 

ability to seek both forms of rehearing, requiring that both 

petitions be filed as a single document, but preserving the 

court’s power (previously found in Rule 35(b)(3)) to provide 

otherwise by local rule. 

Rules Appendix A-18
FEDERAL RULES OF APPELLATE PROCEDURE 19 

Subdivision (b). Panel rehearing and rehearing en 

banc are designed to deal with different circumstances. The 

amendment clarifies the distinction by contrasting the 

required content of a petition for panel rehearing (preserved 

from Rule 40(a)(2)) with that of a petition for rehearing en 

banc (preserved from Rule 35(b)(1)). 

Subdivision (c). The amendment preserves the 

existing criteria and voting protocols for ordering rehearing 

en banc, including that no vote need be taken unless a judge 

calls for a vote (previously found in Rule 35(a) and (f)). 

Subdivision (d). The amendment establishes 

uniform time, form, and length requirements for petitions for 

panel rehearing and rehearing en banc, as well as uniform 

provisions for responses to the petition and oral argument. 

Time. The amended Rule 40(d)(1) preserves the 

existing time limit, after the initial entry of judgment, for 

filing a petition for panel rehearing (previously found in 

Rule 40(a)(1)) or a petition for rehearing en banc (previously 

found in Rule 35(c)). It adds new language extending the 

same time limit to a petition filed after a panel amends its 

decision, on rehearing or otherwise. 

Form of the Petition. The amended Rule 40(d)(2) 

preserves the existing form, service, and filing requirements 

for a petition for panel rehearing (previously found in Rule 

40(b)), and it extends these same requirements to a petition 

for rehearing en banc. The amended rule also preserves the 

court’s existing power (previously found in Rule 35(d)) to 

determine the required number of copies of a petition for 

rehearing en banc by local rule or by order in a particular 

case, and it extends this power to petitions for panel 

rehearing. 

Rules Appendix A-19
20 FEDERAL RULES OF APPELLATE PROCEDURE 

Length. The amended Rule 40(d)(3) preserves the 

existing length requirements for a petition for panel 

rehearing (previously found in Rule 40(b)) and for a petition 

for rehearing en banc (previously found in Rule 35(b)(2)). It 

also preserves the court’s power (previously found in Rule 

35(b)(3)) to provide by local rule for other length limits on 

combined petitions filed as a single document, and it extends 

this authority to petitions generally. 

Response. The amended Rule 40(d)(4) preserves the 

existing requirements for a response to a petition for panel 

rehearing (previously found in Rule 40(a)(3)) or to a petition 

for rehearing en banc (previously found in Rule 35(e)). 

Unsolicited responses to rehearing petitions remain 

prohibited, and the length and form requirements for 

petitions and responses remain identical. The amended rule 

also extends to rehearing en banc the existing statement 

(previously found in Rule 40(a)(3)) that a petition for panel 

rehearing will ordinarily not be granted without a request for 

a response. The use of the word “ordinarily” recognizes that 

there may be circumstances where the need for rehearing is 

sufficiently clear to the court that no response is needed. But 

before granting rehearing without requesting a response, the 

court should consider that a response might raise points 

relevant to whether rehearing is warranted or appropriate 

that could otherwise be overlooked. For example, a 

responding party may point out that an argument raised in a 

rehearing petition had been waived or forfeited, or it might 

point to other relevant aspects of the record that had not 

previously been brought specifically to the court’s attention. 

Oral argument. The amended Rule 40(d)(5) extends 

to rehearing en banc the existing prohibition (previously 

found in Rule 40(a)(2)) on oral argument on whether to grant 

a petition for panel rehearing. 

Rules Appendix A-20
FEDERAL RULES OF APPELLATE PROCEDURE 21 

Subdivision (e). The amendment clarifies the 

existing provisions empowering a court to act after granting 

a petition for panel rehearing (previously found in Rule 

40(a)(4)), extending these provisions to rehearing en banc as 

well. The amended language alerts counsel that, if a petition 

is granted, the court might call for additional briefing or 

argument, or it might decide the case without additional 

briefing or argument. Cf. Supreme Court Rule 16.1 (advising 

counsel that an order disposing of a petition for certiorari 

“may be a summary disposition on the merits”). 

 

Subdivision (f). The amendment adds a new 

provision concerning the authority of a panel to act while a 

petition for rehearing en banc is pending. 

Sometimes, a panel may conclude that it can fix the 

problem identified in a petition for rehearing en banc by, for 

example, amending its decision. The amendment makes 

clear that the panel is free to do so, and that the filing of a 

petition for rehearing en banc does not limit the panel’s 

authority. 

A party, however, may not agree that the panel’s 

action has fixed the problem, or a party may think that the 

panel has created a new problem. If the panel amends its 

decision while a petition for rehearing en banc is pending, 

the en banc petition remains pending until its disposition by 

the court, and the amended Rule 40(d)(1) specifies the time 

during which a new rehearing petition may be filed from the 

amended decision. In some cases, however, there may be 

reasons not to allow further delay. In such cases, the court 

might shorten the time for filing a new petition under the 

amended Rule 40(d)(1), or it might shorten the time for 

issuance of the mandate or might order the immediate 

issuance of the mandate under Rule 41. In addition, in some 

cases, it may be clear that any additional petition for panel 

Rules Appendix A-21
22 FEDERAL RULES OF APPELLATE PROCEDURE 

rehearing would be futile and would serve only to delay the 

proceedings. In such cases, the court might use Rule 2 to 

suspend the ability to file a new petition for panel rehearing. 

Before doing so, however, the court ought to consider the 

difficulty of predicting what a party filing a new petition 

might say. 

Subdivision (g). The amended Rule 40 largely 

preserves the existing requirements concerning the rarely 

invoked initial hearing en banc (previously found in Rule 

35). The time for filing a petition for initial hearing en banc 

(previously found in Rule 35(c)) is shortened, for an 

appellant, to the time for filing its principal brief. The other 

requirements and voting protocols, which were identical as 

to hearing and rehearing en banc, are incorporated by 

reference. The amendment adds new language to remind 

parties that initial hearing en banc is not favored and 

ordinarily will not be ordered. 

Rules Appendix A-22
Appendix: 

Length Limits Stated in the 

Federal Rules of Appellate Procedure

This chart summarizes the length limits stated in the Federal Rules of Appellate Procedure. 

Please refer to the rules for precise requirements, and bear in mind the following: 

• In computing these limits, you can exclude the items listed in Rule 32(f). 

• If you use a word limit or a line limit (other than the word limit in Rule 28(j)), you 

must file the certificate required by Rule 32(g). 

• For the limits in Rules 5, 21, 27, 35, and 40: 

* * * * * 

Rule Document type Word 

limit 

Page 

limit 

Line 

limit 

* * * * * 

Rehearing 

and en banc 

filings 

35(b)(2) 

& 40(b) 

40(d)(3) 

• Petition for initial hearing en 

banc 

• Petition for panel rehearing; 

petition for rehearing en banc 

• Response if requested by the 

court 

3,900 15 Not 

applicable 

Rules Appendix A-23
Excerpt from the May 11, 2023 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 

JOHN D. BATES 

CHAIR 

H. THOMAS BYRON III 

SECRETARY 

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE 

APPELLATE RULES 

REBECCA B. CONNELLY 

BANKRUPTCY RULES 

ROBIN L. ROSENBERG 

CIVIL RULES 

JAMES C. DEVER III 

CRIMINAL RULES 

PATRICK J. SCHILTZ 

EVIDENCE RULES 

MEMORANDUM 

TO: Hon. John D. Bates, Chair 

 Committee on Rules of Practice and Procedure 

FROM: Judge Jay Bybee, Chair 

 Advisory Committee on Appellate Rules 

RE: Report of the Advisory Committee on Appellate Rules 

DATE: May 11, 2023 

_____________________________________________________________________________ 

I. Introduction 

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

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

The Advisory Committee seeks final approval of proposed amendments to 

Rules 35 and 40 dealing with rehearing, along with conforming amendments to Rule 

32 and the Appendix on Length Limits. (Part II of this report.) 

* * * * *

Rules Appendix A-24
Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

II. Action Item for Final Approval—Rules 35 and 40 (18-AP-A) 

The Advisory Committee began a comprehensive review of Rule 35, dealing 

with hearing and rehearing en banc, and Rule 40, dealing with panel rehearing, in 

the spring of 2018. In the spring of 2021, the Advisory Committee approved a modest 

set of proposed changes to those Rules and asked the Standing Committee to publish 

them for public comment. At the June 2021 meeting of the Standing Committee, 

however, members of the Standing Committee asked about several provisions of those 

Rules. The Advisory Committee’s defense of most of the questioned provisions was 

that they were in the existing Rules and that the Advisory Committee was attempting 

to minimize the changes proposed. 

The Standing Committee remanded the matter to the Advisory Committee 

with instructions to take a freer hand in improving the Rules. The Advisory 

Committee did so, producing proposed amendments transferring the content of Rule 

35 to Rule 40, thereby bringing together in one place the relevant provisions dealing 

with rehearing. These proposed amendments clarify the distinct criteria for rehearing 

en banc and panel rehearing and eliminate much redundancy. 

In January of 2022, the Standing Committee approved the comprehensive 

revision for publication, and in June of 2022, it also approved a minor correction for 

publication. The comprehensive revision, as corrected, was published in the summer 

of 2022 and accompanies this report. The Advisory Committee reviewed the public 

comments and unanimously recommends final approval without change. 

The Advisory Committee received five formal comments. Three comments 

broadly critique basic aspects of en banc process. They object that rehearing en banc 

should be widely available, should not be disfavored, and that oral argument should 

be allowed on the question whether to grant a petition. 

Two other comments are more substantial. First, a comment submitted by J. 

Krell expresses concern that the published Rule would allow a second bite at the apple 

after a panel decision is amended, no matter how minor the amendment. This 

comment suggests that a court of appeals should be allowed, without invoking Rule 

2, to order that no further petitions for rehearing will be entertained, perhaps with a 

caution that this should only be done if the amendment is so minor that any 

subsequent petition would be obviously frivolous or dilatory. 

One of the earliest concerns with which this project started was that courts 

were inappropriately foreclosing subsequent petitions. The Advisory Committee 

decided not to broadly endorse the very power that was the target of concern in the 

first place. At earlier stages in this multi-year process, the Advisory Committee 

struggled with the issue of drawing a line between the kinds of amendments that 

would permit a new petition and those that would not. It was never comfortable with 

a place to draw the line and decided, as the committee note explains, to rely on the 

Rules Appendix A-25
Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

ability of a court to easily deny frivolous petitions, to shorten the time to file a petition 

or the time to issue the mandate, and, when necessary, to invoke Rule 2. The good 

sense of litigants and counsel will prevent most rehearing petitions when the 

amendment to the panel decision is trivial, particularly with the stringent criteria for 

both forms of rehearing specified together in the amended rule. Courts can readily 

reject frivolous rehearing petitions without calling for a response, and no vote need 

be taken on a petition for rehearing en banc unless a judge calls for one. 

The Advisory Committee considered the possibility that a party might abuse 

the rule to gain additional time to seek certiorari. But it concluded that this is a 

remote risk. The time to seek certiorari is already 90 days and can be extended an 

additional 60 days by a Circuit Justice. A more substantial concern is that a party 

who secured an injunction in the trial court but saw that injunction vacated by the 

court of appeals might seek to delay issuance of the mandate to have the benefit of 

the injunction as long as possible. But the ability to shorten the time to issue the 

mandate takes care of this problem. 

The rule as amended would not foreclose a court from ordering that no further 

petitions for rehearing will be entertained; it remains subject to the power to suspend 

the rules under Rule 2. But the subcommittee hopes that the need to suspend the 

rules to bar petitions for rehearing will lead courts of appeals to think twice about 

doing so, bearing in mind the difficulty of knowing what a party might have to say 

about an amended decision. 

Second, a comment submitted by the National Association of Criminal Defense 

Lawyers, which supports the overall proposal, suggests that the same local flexibility 

written into 40(d)(3) dealing with length limits and 40(d)(1) dealing with time limits 

should also be written into 40(d)(2) dealing with the form of the petition. 

The Advisory Committee concluded that this change is unnecessary. While 

Rule 32(a) requires that a brief bear a cover, Rule 32(c)(2) governs other papers, 

“including a petition for panel rehearing and a petition for hearing or rehearing en 

banc,” and specifically states that a “cover is not necessary if the caption and 

signature page of the paper together contain the information required by Rule 

32(a)(2).” Rule 32(c)(2)(A). In addition, Rule 32(e) explicitly permits local variation. 

Thus while amended Rule 40(d)(2) does not itself contain a local option provision, the 

rule that it incorporates—Rule 32(a)—does contain one. 

 For these reasons, the Advisory Committee unanimously recommends final 

approval of these amendments as published. 

The following is to be added after the text of Rule 32 and its Committee Note 

as published: 

Rules Appendix A-26
Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

Changes Made After Publication and Comment

None. 

The following is to be added after the text of Rule 35 and its Committee Note 

as published: 

Changes Made After Publication and Comment

None. 

Summary of Public Comment

See Rule 40.

The following is to be added after the text of Rule 40 and its Committee Note 

as published:

Changes Made After Publication and Comment

None. 

Summary of Public Comment

Claudi Barber (AP-2022-0001-0003): The rule should not provide 

that rehearing en banc is not favored. Petitions for rehearing should be 

freely granted when something unjust appears in the record. 

Andrew Straw (AP-2022-0001-0004): There should be no 

discretion. Every petition for en banc review should have a merits 

decision. 

Anonymous (AP-2022-0001-0008): It is somewhat unprofessional 

for an appellate court to determine that a certain type of hearing is 

unfavorable. It would be prudent to allow oral argument on whether or 

not to grant a petition. 

J. Krell (AP-2021-0001-0005): The proposed amendments are 

minor and largely unobjectionable. Combining Rules 35 and 40 seems 

appropriate given the degree to which petitions for panel rehearing and 

for rehearing en banc have become intertwined, and others seem 

reasonable. But the rules should codify the practice of the 

simultaneously amending the opinion, denying rehearing en banc, and 

ordering that no further petitions for panel or en banc rehearing will be 

entertained, perhaps a caution that this should be done only if the 

amendment is so minor that any subsequent petition would be obviously 

frivolous or dilatory. 

Rules Appendix A-27
Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

National Association of Criminal Defense Lawyers (AP-2022-

0001-0009): The NACDL supports the proposed amendments, with one 

suggestion for improvement. Local flexibility regarding the physical 

presentation of rehearing petitions should be permitted, similar to the 

local flexibility for length and time limits. 

* * * * * 

Rules Appendix A-28
(1000 Series) 

PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF BANKRUPTCY PROCEDURE 

1000 Series 

Agenda E-19 (Appendix B) 

Rules 

September 2023

Rules Appendix B-1
(1000 Series) 2

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 

Official 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) Titles. 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. 

Committee Note 

The Bankruptcy Rules are the fifth set of national procedural rules to be restyled. The restyled 

Rules of Appellate Procedure took effect in 1998. The restyled Rules of Criminal Procedure took 

effect in 2002. The restyled Rules of Civil Procedure took effect in 2007. The restyled Rules of 

Evidence took effect in 2011. The restyled Bankruptcy Rules apply the same general drafting 

guidelines and principles used in restyling the Appellate, Criminal, Civil, and Evidence Rules. 

General Guidelines. Guidance in drafting, usage, and style was provided by Bryan A. Garner, 

Guidelines for Drafting and Editing Court Rules, Administrative Office of the United States Courts 

(1996) and Bryan A. Garner, Dictionary of Modern Legal Usage (2d ed. 1995). See also Joseph Kimble, 

Guiding Principles for Restyling the Civil Rules, in Preliminary Draft of Proposed Style Revision of the 

Federal Rules of Civil Procedure, at Mich. Bar J., Sept. 2005, at 56 and Mich. Bar J., Oct. 2005, at 

52; Joseph Kimble, Lessons in Drafting from the New Federal Rules of Civil Procedure, 12 Scribes J. Legal 

Writing 25 (2008-2009). 

Formatting Changes. Many of the changes in the restyled Bankruptcy Rules result from using 

format to achieve clearer presentations. The rules are broken down into constituent parts, using 

progressively indented subparagraphs with headings and substituting vertical for horizontal lists. 

Rules Appendix B-2
(1000 Series) 3

“Hanging indents” are used throughout. These formatting changes make the structure of the rules 

graphic and make the restyled rules easier to read and understand even when the words are not 

changed. 

Changes to Reduce Inconsistent, Ambiguous, Redundant, Repetitive, or Archaic Words. The 

restyled rules reduce the use of inconsistent terms that say the same thing in different ways. 

Because different words are presumed to have different meanings, such inconsistencies can result 

in confusion. The restyled rules reduce inconsistencies by using the same words to express the 

same meaning. The restyled rules also minimize the use of inherently ambiguous words. The 

restyled rules minimize the use of redundant “intensifiers.” These are expressions that attempt to 

add emphasis, but instead state the obvious and create negative implications for other rules. The 

absence of intensifiers in the restyled rules does not change their substantive meaning. The restyled 

rules also remove words and concepts that are outdated or redundant. 

Rule Numbers. The restyled rules keep the same numbers to minimize the effect on research. 

Subdivisions have been rearranged within some rules to achieve greater clarity and simplicity. 

No Substantive Change. The style changes to the rules are intended to make no changes in 

substantive meaning. The Committee made special efforts to reject any purported style 

improvement that might result in a substantive change in the application of a rule. The Committee 

also declined to modify “sacred phrases”―those that have become so familiar in practice that to 

alter them would be unduly disruptive to practice and expectations. An example in the Bankruptcy 

Rules would be “meeting of creditors.” 

Legislative Rules. In those cases in which Congress enacted a rule by statute, in particular Rule 

2002(n) (Bankruptcy Amendments and Federal Judgeship Act of 1984, Pub. L. No. 98-353, 98 

Stat. 333, 357), Rule 3001(g) (98 Stat. at 361), and Rule 7004(b) and (h) (Bankruptcy Reform Act 

of 1994, Pub. L. No. 103-394, 108 Stat. 4106, 4118), the Committee has not restyled the rule. 

Rules Appendix B-3
(1000 Series) 4

ORIGINAL REVISION 

PART I—COMMENCEMENT OF 

CASE; PROCEEDINGS RELATING 

TO PETITION AND ORDER FOR 

RELIEF

PART I. COMMENCING A 

BANKRUPTCY CASE; THE PETITION, 

THE ORDER FOR RELIEF, AND 

RELATED MATTERS

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. 

Committee Note 

The language of Rule 1002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-4
(1000 Series) 5

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. 

Committee Note 

The language of Rule 1003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

Rules Appendix B-5
(1000 Series) 6

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-6
(1000 Series) 7

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 a copy of 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. 

Committee Note 

The language of Rule 1004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-7
(1000 Series) 8

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. 

Committee Note 

The language of Rule 1004.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-8
(1000 Series) 9

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 against, by, or 

regarding the debtor is pending. 

(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 file a motion challenging 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 litigation pending in the 

United States in which the debtor was 

a party when the petition was filed; and 

 any other entity as the court orders. 

Committee Note 

The language of Rule 1004.2 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-9
(1000 Series) 10

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 case number (if known). 

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 the Debtor. A 

petition not filed by the debtor must 

include all names that the petitioner knows 

have been used by the debtor. 

Committee Note 

The language of Rule 1005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-10
(1000 Series) 11

 

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 the filing 

fee. In this rule “filing fee” means: 

(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 of installments (not to exceed 

4), the amount of each one, and 

payment dates. 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. 

Rules Appendix B-11
(1000 Series) 12

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). 

Committee Note 

The language of Rule 1006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-12
(1000 Series) 13

ORIGINAL REVISION

Rule 1007. Lists, Schedules, 

Statements, and Other Documents; 

Time Limits 

Rule 1007. Lists, Schedules, 

Statements, and Other Documents; 

Time to File1

(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 

(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 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 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. 

1 The rule as set out here shows only the restyling changes. A separate substantive amendment to Rule 1007 is set 

out (along with these style changes) infra at Rules Appendix B-455. 

Rules Appendix B-13
(1000 Series) 14

ORIGINAL REVISION

holder, and the last known address or 

place of business of each holder. 

 (4) Chapter 15 Case. In addition to 

the documents required under § 1515 of 

the Code, a foreign representative filing 

a petition for recognition under chapter 

15 shall file with the petition: (A) a 

corporate ownership statement 

containing the information described in 

Rule 7007.1; and (B) unless the court 

orders otherwise, a list containing the 

names and addresses of all persons or 

bodies authorized to administer foreign 

proceedings of the debtor, all parties to 

litigation pending in the United States in 

which the debtor is a party at the time of 

the 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. 

(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 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 entities against whom 

provisional relief is sought 

under § 1519; and 

(iii) all parties to litigation 

pending in the United States 

in which the debtor was a 

party when the petition was 

filed. 

(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. 

Rules Appendix B-14
(1000 Series) 15

ORIGINAL REVISION

(b) SCHEDULES, STATEMENTS, 

AND OTHER DOCUMENTS 

REQUIRED. 

 (1) Except in a chapter 9 

municipality case, the debtor, unless 

the court orders otherwise, shall file 

the following schedules, statements, 

and other documents, prepared as 

prescribed by the appropriate 

Official Forms, if any: 

(A) schedules of assets 

and liabilities; 

(B) a schedule of current 

income and expenditures; 

(C) a schedule of 

executory contracts and unexpired 

leases; 

(D) a statement of 

financial affairs; 

(E) copies of all payment 

advices or other evidence of 

payment, if any, received by the 

debtor from an employer within 60 

days before the filing of the petition, 

with redaction of all but the last four 

digits of the debtor’s social-security 

number or individual 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 

(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) 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 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 

Rules Appendix B-15
(1000 Series) 16

ORIGINAL REVISION

served on the trustee and the creditors 

named in the statement on or before 

the filing of the statement. 

 (3) Unless the United States 

trustee has determined that the credit 

counseling requirement of § 109(h) 

does not apply in the district, an 

individual debtor must file a statement 

of compliance with the credit 

counseling requirement, prepared as 

prescribed by the appropriate Official 

Form which must include one of the 

following: 

(A) an attached certificate 

and debt repayment plan, if any, 

required by § 521(b); 

(B) a statement that the 

debtor has received the credit 

counseling briefing required by 

§ 109(h)(1) but does not have the 

certificate required by § 521(b); 

(C) a certification under 

§ 109(h)(3); or 

(D) a request for a 

determination by the court under 

§ 109(h)(4). 

(4) Unless § 707(b)(2)(D) 

applies, an individual debtor in a 

chapter 7 case shall file a statement of 

current monthly income prepared as 

prescribed by the appropriate Official 

Form, and, if the current monthly 

income exceeds the median family 

income for the applicable state and 

household size, the information, 

including calculations, required by 

§ 707(b), prepared as prescribed by the 

appropriate Official Form. 

(5) An individual debtor in a 

chapter 11 case (unless under 

subchapter V) shall file a statement of 

current monthly income, prepared as 

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 

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 (unless under Subchapter V) 

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). 

Rules Appendix B-16
(1000 Series) 17

ORIGINAL REVISION

prescribed by the appropriate Official 

Form. 

 (6) A debtor in a chapter 13 case 

shall file a statement of current monthly 

income, prepared as prescribed by the 

appropriate Official Form, and, if the 

current monthly income exceeds the 

median family income for the applicable 

state and household size, a calculation 

of disposable income made in 

accordance with § 1325(b)(3), prepared 

as prescribed by the appropriate Official 

Form. 

(7) 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). 

(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) 

applies—must file a statement that 

such a course has been completed 

(Form 423). 

(8) Limitation on a 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). 

Rules Appendix B-17
(1000 Series) 18

ORIGINAL REVISION

(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 

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), 

(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 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, no later than the date the 

last payment is made under the 

plan or the date a motion for a 

discharge is filed under 

§ 1141(d)(5)(B) or § 1328(b). 

Rules Appendix B-18
(1000 Series) 19

ORIGINAL REVISION

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. 

(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 

 any trustee, examiner, and other 

party as the court orders. 

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. 

Rules Appendix B-19
(1000 Series) 20

ORIGINAL REVISION

(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 the list required by (a). If a proposed 

plan requires real estate assessments 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). 

Rules Appendix B-20
(1000 Series) 21

ORIGINAL REVISION

(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 verified 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. This duty to file a 

supplemental schedule continues even 

(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 

but does not apply to property acquired 

after an order is entered: 

(1) confirming a Chapter 11 plan (other 

than one confirmed under § 1191(b)); 

or 

(2) discharging the debtor in a Chapter 12 

case, a Chapter 13 case, or a case 

Rules Appendix B-21
(1000 Series) 22

ORIGINAL REVISION

after the case is closed, except for 

property acquired after an order is 

entered: 

 (1) confirming a chapter 11 plan 

(other than one confirmed under § 

1191(b)); or 

 (2) discharging the debtor in a 

chapter 12 case, a chapter 13 case, or a 

case under subchapter V of chapter 11 

in which the plan is confirmed under 

§ 1191(b). 

under Subchapter V of Chapter 11 in 

which the plan is confirmed under 

§ 1191(b). 

(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 listed holder. 

(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 a party in 

interest’s motion 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. 

Rules Appendix B-22
(1000 Series) 23

ORIGINAL REVISION

(k) PREPARATION OF LIST, 

SCHEDULES, OR STATEMENTS 

ON DEFAULT OF DEBTOR. If a 

list, schedule, or statement, other than 

a statement of intention, is not 

prepared and filed as required by this 

rule, the court may order the trustee, a 

petitioning creditor, committee, or 

other party to prepare and file any of 

these papers within a time fixed by the 

court. The court may approve 

reimbursement of the cost incurred in 

complying with such an order as an 

administrative expense. 

(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: 

(1) that the trustee, a petitioning creditor, 

a committee, or other party 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 also 

include the name, address, and legal 

relationship of anyone on whom process 

would be served in an adversary proceeding 

against that person under Rule 7004(b)(2). 

Committee Note 

The language of Rule 1007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-23
(1000 Series) 24

ORIGINAL REVISION

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. 

Committee Note 

The language of Rule 1008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-24
(1000 Series) 25

ORIGINAL REVISION

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 a party in 

interest’s motion 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 thereby. 

(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) Amending a Statement of SocialSecurity 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 verified 

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. 

Rules Appendix B-25
(1000 Series) 26

ORIGINAL REVISION

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

or (c) of this rule. 

Committee Note 

The language of Rule 1009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-26
(1000 Series) 27

ORIGINAL REVISION

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 under this rule. 

(b) CORPORATE OWNERSHIP 

STATEMENT. Each petitioner that is 

a corporation shall file with the 

involuntary petition a corporate 

ownership statement containing the 

information described in Rule 7007.1. 

(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. 

Committee Note 

The language of Rule 1010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-27
(1000 Series) 28

ORIGINAL REVISION

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) Limitation on Asserting a 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. 

Rules Appendix B-28
(1000 Series) 29

ORIGINAL REVISION

(f) CORPORATE OWNERSHIP 

STATEMENT. If the entity 

responding to the involuntary petition 

is a corporation, the entity shall file 

with its first appearance, pleading, 

motion, response, or other request 

addressed to the court a corporate 

ownership statement containing the 

information described in Rule 7007.1. 

(f) 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, 

or response, or other first request to the 

court. 

Committee Note 

The language of Rule 1011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-29
(1000 Series) 30

ORIGINAL REVISION

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, 

or response, or other first request to the 

court. 

Committee Note 

The language of Rule 1012 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-30
(1000 Series) 31

ORIGINAL REVISION

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] 

Committee Note 

The language of Rule 1013 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-31
(1000 Series) 32

ORIGINAL REVISION

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) Petition 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 

convenience of the parties. The court 

may do so: 

(A) on its own or on a party in 

interest’s timely motion; and 

(B) only after a hearing on notice to 

the petitioner, United States 

trustee, and other entities as the 

court orders. 

(2) Petition 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. 

Rules Appendix B-32
(1000 Series) 33

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 

where 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 

convenience of the parties. 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 in 

the district where the first petition is 

filed may order the parties to the laterfiled cases not to proceed further until 

the motion is decided. 

Committee Note 

The language of Rule 1014 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-33
(1000 Series) 34

ORIGINAL REVISION

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 that are regarding or 

brought by or against the same debtor and 

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 

Rules Appendix B-34
(1000 Series) 35

ORIGINAL REVISION

(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. 

Committee Note 

The language of Rule 1015 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-35
(1000 Series) 36

ORIGINAL REVISION

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 permit it to 

continue if further administration is 

possible and is in the parties’ best interests. 

If the case continues, it must proceed and 

be concluded in the same manner as 

though the death or incompetency had not 

occurred. 

Committee Note 

The language of Rule 1016 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-36
(1000 Series) 37

ORIGINAL REVISION

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—In General. 

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 on the petitioner’s 

motion, for want of prosecution or other 

cause, or by the parties’ consent. For the 

purpose of the notice, a debtor who has 

not already filed a list of creditors and 

their addresses must do so before the 

deadline set by the court. 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. 

Rules Appendix B-37
(1000 Series) 38

ORIGINAL REVISION

(c) DISMISSAL OF VOLUNTARY 

CHAPTER 7 OR CHAPTER 13 

CASE FOR FAILURE TO TIMELY 

FILE LIST OF CREDITORS, 

SCHEDULES, AND STATEMENT 

OF FINANCIAL AFFAIRS. The court 

may dismiss a voluntary chapter 7 or 

chapter 13 case under § 707(a)(3) or 

§ 1307(c)(9) after a hearing on notice 

served by the United States trustee on 

the debtor, the trustee, and any other 

entities as the court directs. 

(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 

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. 

(e) Dismissing an Individual Debtor’s 

Chapter 7 Case for Abuse or 

Converting It 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 a Motion; Content. 

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 

Rules Appendix B-38
(1000 Series) 39

ORIGINAL REVISION

(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. 

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. 

(3) Hearing on the Court’s Own 

Motion; Serving Notice. 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 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. The 

notice date becomes the date of the 

conversion order in applying § 

348(c) or Rule 1019. The clerk must 

promptly send a copy of the notice 

to the United States trustee. 

Rules Appendix B-39
(1000 Series) 40

Committee Note 

The language of Rule 1017 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-40
(1000 Series) 41

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 order—apply to the 

following: 

(1) a proceeding that contests either an 

involuntary petition or a Chapter 15 

petition for recognition; and 

(2) a proceeding to vacate an order for 

relief. 

(b) References to an “Adversary 

Proceeding.” Any reference to an 

“adversary proceeding” 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. 

Committee Note 

The language of Rule 1018 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-41
(1000 Series) 42

ORIGINAL REVISION

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 

comply with Rule 1007 as if an order 

for relief had been entered on an 

involuntary petition on the date of the 

entry of the order directing that the case 

continue under chapter 7. 

(B) If a statement of intention is 

required, it shall be filed within 30 days 

after entry of the order of conversion or 

before the first date set for the meeting 

of creditors, whichever is earlier. The 

court may grant an extension of time for 

cause only on written motion filed, or 

oral request made during a hearing, 

before the time has expired. Notice of 

an extension shall be given to the United 

States trustee and to any committee, 

trustee, or other party as the court may 

direct. 

(a) Filing Various Documents; Filing a 

Statement of Intention. 

(1) Lists, Inventories, Schedules, 

Statements of Financial Affairs.

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. 

Rules Appendix B-42
(1000 Series) 43

ORIGINAL REVISION

 (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, 

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. 

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

Motion, a Proof of Claim, a Complaint 

Objecting to Discharge, or a 

Complaint to Determine 

Dischargeability. 

(1) When a New Time Begins. When a 

case is converted to Chapter 7, a new 

time begins under Rule 1017, 3002, 

4004, or 4007 to file: 

(A) a motion under § 707(b) or (c); 

(B) a proof of claim; 

(C) a complaint objecting to 

discharge; or 

(D) a complaint to determine whether 

a specific debt may be discharged. 

(2) When a New Time Does Not 

Begin. No new time 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 Time to Object to a Claimed 

Exemption. When a case is converted 

to Chapter 7, a new time 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. 

Rules Appendix B-43
(1000 Series) 44

ORIGINAL REVISION

 (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 

property of the estate in the possession 

or control of the debtor in possession 

or trustee. 

(d) Turning Over Documents 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—must promptly turn over to the 

Chapter 7 trustee all documents 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 

(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 

Rules Appendix B-44
(1000 Series) 45

ORIGINAL REVISION

case, shall file a schedule of unpaid debts 

incurred after the filing of the petition 

and before conversion of the case, 

including the name and address of each 

holder of a claim; and 

(ii) the trustee, not later 

than 30 days after conversion of the 

case, shall file and transmit to the United 

States trustee a final report and account; 

(C) Conversion After 

Confirmation of a Plan. Unless the court 

orders otherwise, if a chapter 11, 

chapter 12, or chapter 13 case is 

converted to chapter 7 after 

confirmation of a plan, the debtor shall 

file: 

(i) a schedule of property 

not listed in the final report and account 

acquired after the filing of the petition 

but before conversion, except if the case 

is converted from chapter 13 to chapter 

7 and § 348(f)(2) does not apply; 

(ii) a schedule of unpaid 

debts not listed in the final report and 

account incurred after confirmation but 

before the conversion; and 

(iii) a schedule of executory 

contracts and unexpired leases entered 

into or assumed after the filing of the 

petition but before conversion. 

(D) Transmission to United 

States Trustee. The clerk shall forthwith 

transmit to the United States trustee a 

copy of every schedule filed pursuant to 

Rule 1019(5). 

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 

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). 

Rules Appendix B-45
(1000 Series) 46

ORIGINAL REVISION

 (6) Postpetition Claims; Preconversion 

Administrative Expenses; Notice. A request 

for payment of an administrative 

expense incurred before conversion of 

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

the Code if it is filed before conversion 

or a time fixed by the court. If the 

request is filed by a governmental unit, it 

is timely if it is filed before conversion 

or within the later of a time fixed by the 

court or 180 days after the date of the 

conversion. A claim of a kind specified 

in § 348(d) may be filed in accordance 

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

the filing of the schedule of unpaid 

debts incurred after commencement of 

the case and before conversion, the 

clerk, or some other person as the court 

may direct, shall give notice to those 

entities listed on the schedule of the 

time for filing a request for payment of 

an administrative expense and, unless a 

notice of insufficient assets to pay a 

dividend is mailed in accordance with 

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

of a kind specified in § 348(d). 

(f) Preconversion Administrative 

Expenses; Postpetition Claims. 

(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. Such 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 

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). 

Committee Note 

The language of Rule 1019 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-46
(1000 Series) 47

ORIGINAL REVISION

Rule 1020. Chapter 11 

Reorganization Case for Small 

Business Debtors 

Rule 1020. Designating a Chapter 11 

Debtor as a Small Business Debtor 

(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 and, if so, 

whether the debtor elects to have 

subchapter V of chapter 11 apply. 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 and, if so, whether the debtor 

elects to have subchapter V of chapter 

11 apply. The status of the case as a 

small business case or a case under 

subchapter V of chapter 11 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 and, if so, whether the debtor elects 

to have Subchapter V of Chapter 11 apply. 

In an involuntary Chapter 11 case, the 

debtor must provide the same information 

in a statement filed within 14 days after the 

order for relief. The case must proceed in 

accordance with the debtor’s statement, 

unless and until the court issues an order 

finding that the statement is incorrect. 

(b) OBJECTING TO 

DESIGNATION. 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. 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. 

Rules Appendix B-47
(1000 Series) 

ORIGINAL REVISION

(c) 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; the creditors 

included on the list filed under 

Rule 1007(d) or, if a committee has been 

appointed under § 1102(a)(3), the 

committee or its authorized agent; and 

any other entity as the court directs. 

(c) 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; 

 the creditors included on the list filed 

under Rule 1007(d)—or if a committee 

has been appointed under § 1102(a)(3), 

the committee or its authorized agent; 

and 

 any other entity as the court orders. 

Committee Note

The language of Rule 1020 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-48
(1000 Series) 49

ORIGINAL REVISION

Rule 1021. Health Care 

Business Case 

Rule 1021. Designating a Chapter 7, 

9, or 11 Case as a Health Care 

Business Case 

(a) HEALTH CARE BUSINESS 

DESIGNATION. Unless the court 

orders otherwise, if a petition in a case 

under chapter 7, chapter 9, or chapter 

11 states that the debtor is a health care 

business, the case shall proceed as a case 

in which the debtor is a health care 

business. 

(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. 

Committee Note 

The language of Rule 1021 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-49
(2000 Series) 

PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF BANKRUPTCY PROCEDURE 

2000 Series 

Rules Appendix B-50
(2000 Series) 2 

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. 

Rules Appendix B-51
(2000 Series) 3 

ORIGINAL REVISION

(d) TURNOVER AND REPORT. 

Following qualification of the trustee 

selected under § 702 of the Code, the 

interim trustee, unless otherwise 

ordered, shall (1) forthwith deliver to 

the trustee all the records and 

property of the estate in possession 

or subject to control of the interim 

trustee and, (2) within 30 days 

thereafter file a final report and 

account. 

(d) The Interim Trustee’s Final Report. 

Unless the court orders otherwise, after 

the 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. 

Committee Note 

The language of Rule 2001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-52
(2000 Series) 4 

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 

given; 

(4) a hearing on a motion to dismiss a 

Chapter 7, 11, or 12 case or to 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; 

Rules Appendix B-53
(2000 Series) 5 

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 proposed 

modification to 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 a proof of claim under 

Rule 3003(c); 

(8) the time to file an objection 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 an objection and the 

time of the 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 an objection to—and 

the time of the hearing to consider 

whether to confirm—a Chapter 9 or 

11 plan; and 

(3) the time of the hearing to consider 

whether to confirm a Chapter 13 plan. 

Rules Appendix B-54
(2000 Series) 6 

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 a 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) a general description of the 

property; 

(B) the time and place of any public 

sale; 

(C) the terms and conditions of any 

private sale; 

(D) the time to file objections; and 

(E) for a proposed sale or lease of 

personally identifiable 

information under § 363(b)(1), a 

statement 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. 

Rules Appendix B-55
(2000 Series) 7 

ORIGINAL REVISION

(d) NOTICE TO EQUITY SECURITY 

HOLDERS. In a chapter 11 

reorganization case, unless otherwise 

ordered by the court, the clerk, or some 

other person as the court may direct, 

shall in the manner and form directed by 

the court give notice to all equity 

security holders of (1) the order for 

relief; (2) any meeting of equity security 

holders held pursuant to § 341 of the 

Code; (3) the hearing on the proposed 

sale of all or substantially all of the 

debtor’s assets; (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. 

(d) Notice to Equity Security Holders in a 

Chapter 11 Case. Unless the court orders 

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 an objection to—and 

the time of the hearing to consider 

whether to approve—a disclosure 

statement; 

(6) the time to file an objection 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) Giving 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. 

Rules Appendix B-56
(2000 Series) 8 

ORIGINAL REVISION

(f) OTHER NOTICES. Except as 

provided in subdivision (l) of this rule, 

the clerk, or some other person as the 

court may direct, shall give the debtor, 

all creditors, and indenture trustees 

notice by mail of: 

(1) the order for relief; 

(2) the dismissal or the 

conversion of the case to another 

chapter, or the suspension of 

proceedings under § 305; 

(3) the time allowed for filing 

claims pursuant to Rule 3002; 

(4) the time fixed for filing a 

complaint objecting to the debtor’s 

discharge pursuant to § 727 of the Code 

as provided in Rule 4004; 

(5) the time fixed for filing a 

complaint to determine the 

dischargeability of a debt pursuant to 

§ 523 of the Code as provided in Rule 

4007; 

(6) the waiver, denial, or 

revocation of a discharge as provided in 

Rule 4006; 

(7) entry of an order confirming 

a chapter 9, 11, 12, or 13 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) 

(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 

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, 12 or 13 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). 

Rules Appendix B-57
(2000 Series) 9 

ORIGINAL REVISION

shall be given in accordance with Rule 

3017(d). 

(2) Notice of the Time to Accept or 

Reject a Plan. Notice of the time to 

accept or reject a plan under 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 

(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.

This paragraph (3) applies 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 

Rules Appendix B-58
(2000 Series) 10 

ORIGINAL REVISION

address of a legal representative of an 

infant or incompetent person, and a 

person other than that representative 

files a request or proof of claim 

designating a name and mailing address 

that differs from the name and address 

of the representative included in the list 

or schedule, unless the court orders 

otherwise, notices under Rule 2002 shall 

be mailed to the representative included 

in the list or schedules and to the name 

and address designated in the request or 

proof of claim. 

(4) Notwithstanding Rule 

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

provider may agree that when the notice 

provider is directed by the court to give 

a notice, the notice provider shall give 

the notice to the entity in the manner 

agreed to and at the address or addresses 

the entity supplies to the notice 

provider. That address is conclusively 

presumed to be a proper address for the 

notice. The notice provider’s failure to 

use the supplied address does not 

invalidate any notice that is otherwise 

effective under applicable law. 

(5) A creditor may treat a notice 

as not having been brought to the 

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

only if, prior to issuance of the notice, 

the creditor has filed a statement that 

designates the name and address of the 

person or organizational subdivision of 

the creditor responsible for receiving 

notices under the Code, and that 

describes the procedures established by 

the creditor to cause such notices to be 

delivered to the designated person or 

subdivision. 

than that representative files a 

request or proof of claim designating 

a different name and mailing 

address. Unless the court orders 

otherwise, the notice must be mailed 

to the designated address of: 

(A) the representative; and 

(B) the person filing the request 

or proof of claim. 

(4) Using an Address Agreed to 

Between an Entity and a Notice 

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

when the court orders that notice be 

given, the notice 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. 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. 

Rules Appendix B-59
(2000 Series) 11 

ORIGINAL REVISION

(h) NOTICES TO CREDITORS 

WHOSE CLAIMS ARE FILED. 

 (1) Voluntary Case. In a voluntary 

chapter 7 case, chapter 12 case, or 

chapter 13 case, after 70 days following 

the order for relief under that chapter or 

the date of the order converting the case 

to chapter 12 or chapter 13, the court 

may direct that all notices required by 

subdivision (a) of this rule be mailed 

only to: 

 the debtor; 

 the trustee; 

 all indenture trustees; 

 creditors that hold claims 

for which proofs of claim 

have been filed; and 

 creditors, if any, that are 

still permitted to file 

claims because an 

extension was granted 

under Rule 3002(c)(1) or 

(c)(2). 

 (2) Involuntary Case. In an 

involuntary chapter 7 case, after 90 days 

following the order for relief under that 

chapter, the court may direct that all 

notices required by subdivision (a) of 

this rule be mailed only to: 

 the debtor; 

 the trustee; 

 all indenture trustees; 

 creditors that hold claims 

for which proofs of claim 

have been filed; and 

 creditors, if any, that are 

still permitted to file 

claims because an 

extension was granted 

(h) Notice to Creditors Who Filed 

Proofs of Claim in a Chapter 7, 12, 

or 13 Case. 

(1) Voluntary Case. This paragraph (1) 

applies in a voluntary Chapter 7 case, 

or in a Chapter 12 or 13 case. After 70 

days following the order for relief 

under that chapter or the date of the 

order converting the case to Chapter 

12 or 13, the court may direct 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 are still permitted to 

file proofs of claim because they 

have received an extension of time 

under Rule 3002(c)(1) or (2). 

 (2) Involuntary Case. In an 

involuntary chapter 7 case, 

after 90 days following the 

order for relief , the court may 

order that all notices required 

by (a) be mailed only to those 

entities listed in (1). 

(3) When 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). 

Rules Appendix B-60
(2000 Series) 12 

ORIGINAL REVISION

under Rule 3002(c)(1) or 

(c)(2). 

 (3) Insufficient Assets. In a case 

where notice of insufficient assets to pay 

a dividend has been given to creditors 

under subdivision (e) of this rule, after 

90 days following the mailing of a notice 

of the time for filing claims under 

Rule 3002(c)(5), the court may direct 

that notices be mailed only to the 

entities specified in the preceding 

sentence. 

(i) NOTICES TO COMMITTEES. 

Copies of all notices required to be 

mailed pursuant to this rule shall be 

mailed to the committees elected under 

§ 705 or appointed under § 1102 of the 

Code or to their authorized agents. 

Notwithstanding the foregoing 

subdivisions, the court may order that 

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

and (6) of this rule be transmitted to the 

United States trustee and be mailed only 

to the committees elected under § 705 

or appointed under § 1102 of the Code 

or to their authorized agents and to the 

creditors and equity security holders 

who serve on the trustee or debtor in 

possession and file a request that all 

notices be mailed to them. A committee 

appointed under § 1114 shall receive 

copies of all notices required by 

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

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

court may direct. 

(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 

(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. 

Rules Appendix B-61
(2000 Series) 13 

ORIGINAL REVISION

(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 in which the documents 

disclose 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 United States department, 

agency, or instrumentality through 

which the debtor became indebted; or 

(5) in a case in which the filed documents 

disclose a stock interest of the United 

States, to the Secretary of the Treasury 

at Washington, D.C. 

Rules Appendix B-62
(2000 Series) 14 

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), (a)(9), (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)–(9), (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 that (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. 

Rules Appendix B-63
(2000 Series) 15 

ORIGINAL REVISION

(n) CAPTION. The caption of every 

notice given under this rule shall comply 

with Rule 1005. The caption of every 

notice required to be given by the debtor 

to a creditor shall include the 

information required to be in the notice 

by § 342(c) of the Code. 

(n) Notice of an Order for Relief in a 

Consumer Case. 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. 

(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 

(p) Notice to a Creditor with a 

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 

Rules Appendix B-64
(2000 Series) 16 

ORIGINAL REVISION

a creditor with a foreign address shall be 

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 an 

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) Content of the Notice. The notice 

must: 

(A) state whether the petition seeks 

recognition as a foreign main 

proceeding or a foreign nonmain 

proceeding; and 

(B) include a copy of the petition and 

any other document the court 

specifies. 

Rules Appendix B-65
(2000 Series) 17 

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. 

(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). 

Committee Note 

The language of most provisions in Rule 2002 have been amended as part of the general restyling 

of the Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. In (f) the phrase 

“or some other person as the court may direct” has not been restyled because it was enacted by 

Congress, P.L. 98-91, 97 Stat. 607, § 2 (1983). Rule 2002(n) has not been restyled because it was 

also enacted by Congress, P.L. 98-353, 98 Stat. 357, § 114 (1984). That subsection was erroneously 

redesignated as subdivision (o) in 2008, and amended to modify its time period from 20 to 21 days 

in 2009. Because the Bankruptcy Rules Enabling Act, 28 U.S.C. § 2075, provides no authority to 

modify statutory language, the subdivision is now returned to the language used by Congress. 

 

Rules Appendix B-66
(2000 Series) 18 

ORIGINAL REVISION

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. Except as provided in 

§ 341(e), 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.

Rules Appendix B-67
(2000 Series) 19 

ORIGINAL REVISION

(b) ORDER OF MEETING. 

 (1) Meeting of Creditors. The United 

States trustee shall preside at the meeting 

of creditors. The business of the meeting 

shall include the examination of the 

debtor under oath and, in a chapter 7 

liquidation case, may include the election 

of a creditors’ committee and, if the case 

is not under subchapter V of chapter 7, 

the election of a trustee. The presiding 

officer shall have the authority to 

administer oaths. 

(2) Meeting of Equity Security 

Holders. If the United States trustee 

convenes a meeting of equity security 

holders pursuant to § 341(b) of the 

Code, the United States trustee shall fix 

a date for the meeting and shall preside. 

(3) Right To Vote. In a chapter 7 

liquidation case, a creditor is entitled to 

vote at a meeting if, at or before the 

meeting, the creditor has filed a proof of 

claim or a writing setting forth facts 

evidencing a right to vote pursuant to 

§ 702(a) of the Code unless objection is 

made to the claim or the proof of claim 

is insufficient on its face. A creditor of a 

partnership may file a proof of claim or 

writing evidencing a right to vote for the 

trustee for the estate of the general 

partner notwithstanding that a trustee 

for the estate of the partnership has 

previously qualified. In the event of an 

objection to the amount or allowability 

of a claim for the purpose of voting, 

unless the court orders otherwise, the 

United States trustee shall tabulate the 

votes for each alternative presented by 

the dispute and, if resolution of such 

dispute is necessary to determine the 

result of the election, the tabulations for 

each alternative shall be reported to the 

court. 

(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 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 

Rules Appendix B-68
(2000 Series) 20 

ORIGINAL REVISION

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 

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. 

(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. 

Rules Appendix B-69
(2000 Series) 21 

ORIGINAL REVISION

(2) Disputed Election. If the 

election is disputed, the United States 

trustee shall promptly file a report 

stating that the election is disputed, 

informing the court of the nature of the 

dispute, and listing the name and 

address of any candidate elected under 

any alternative presented by the dispute. 

No later than the date on which the 

report is filed, the United States trustee 

shall mail a copy of the report to any 

party in interest that has made a request 

to receive a copy of the report. Pending 

disposition by the court of a disputed 

election for trustee, the interim trustee 

shall continue in office. Unless a 

motion for the resolution of the dispute 

is filed no later than 14 days after the 

United States trustee files a report of a 

disputed election for trustee, the 

interim trustee shall serve as trustee in 

the case. 

(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 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 continues in office. 

Unless a motion to resolve the 

dispute is filed within 14 days 

after the report is filed, the 

interim trustee serves 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. 

Rules Appendix B-70
(2000 Series) 22 

ORIGINAL REVISION

(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 

estate’s administration. 

Committee Note 

The language of Rule 2003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-71
(2000 Series) 23 

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 a party in interest’s 

motion, 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 OR 

ELECTRONICALLY STORED 

INFORMATION. The attendance of 

an entity for examination and for the 

production of documents or 

electronically stored information, 

(c) Compelling Attendance and the 

Production of Documents or 

Electronically Stored Information. 

Regardless of the district where the 

examination will be conducted, an entity 

may be compelled under Rule 9016 to 

attend and produce documents or 

electronically stored information. An 

Rules Appendix B-72
(2000 Series) 24 

ORIGINAL REVISION

whether the examination is to be 

conducted within or without the district 

in which the case is pending, may be 

compelled as provided in Rule 9016 for 

the attendance of a witness at a hearing 

or trial. As an officer of the court, an 

attorney may issue and sign a subpoena 

on behalf of the court where the case is 

pending if the attorney is admitted to 

practice in that court. 

attorney may issue and sign a subpoena on 

behalf of the court where the case is 

pending if the attorney is admitted to 

practice in that court. 

(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 who 

is required to appear for examination 

more than 100 miles from the debtor’s 

residence must be tendered a mileage 

fee. The fee need cover only the 

distance exceeding 100 miles from the 

nearer of where the debtor resides: 

(A) when the first petition was filed; 

or 

(B) when the examination takes place. 

Committee Note 

The language of Rule 2004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-73
(2000 Series) 25 

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 

a party in interest’s motion 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) the 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 

(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 

Rules Appendix B-74
(2000 Series) 26 

ORIGINAL REVISION

and removed in accordance with the 

following rules: 

(1) If the debtor is taken into 

custody under the order at a place less 

than 100 miles from the place of issue of 

the order, the debtor shall be brought 

forthwith before the court that issued 

the order. 

(2) If the debtor is taken into 

custody under the order at a place 100 

miles or more from the place of issue of 

the order, the debtor shall be brought 

without unnecessary delay before the 

nearest available United States 

magistrate judge, bankruptcy judge, or 

district judge. If, after hearing, the 

magistrate judge, bankruptcy judge, or 

district judge finds that an order has 

issued under this rule and that the 

person in custody is the debtor, or if the 

person in custody waives a hearing, the 

magistrate judge, bankruptcy judge, or 

district judge shall order removal, and 

the person in custody shall be released 

on conditions ensuring prompt 

appearance before the court that issued 

the order to compel the attendance. 

(c) CONDITIONS OF RELEASE. In 

determining what conditions will 

reasonably assure attendance or 

obedience under subdivision (a) of this 

rule or appearance under subdivision (b) 

of this rule, the court shall be governed 

by the relevant provisions and policies 

of title 18 U.S.C. § 3142. 

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. 

(4) Conditions of Release. The relevant 

provisions and policies of 18 U.S.C. 

§ 3142 govern the court’s 

determination of what conditions will 

reasonably assure attendance and 

obedience under this Rule 2005. 

Committee Note 

The language of Rule 2005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-75
(2000 Series) 27 

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 where: 

Rules Appendix B-76
(2000 Series) 28 

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: 

Rules Appendix B-77
(2000 Series) 29 

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)(2) or 

(c)(3); 

(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 

Rules Appendix B-78
(2000 Series) 30 

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: 

(A) pay any consideration related to 

voting the proxy; or 

(B) share with any entity (except a 

member or regular associate of 

the proxyholder’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; 

(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 

Rules Appendix B-79
(2000 Series) 31 

ORIGINAL REVISION

proxyholder is a committee, a 

statement signed and verified by each 

member disclosing the amount and 

source of any consideration paid or to 

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 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 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. 

Committee Note 

The language of Rule 2006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-80
(2000 Series) 32 

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 

lists and statements required by 

(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 where: 

(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 reporting the 

voting creditors’ names and the 

amounts of their claims are 

available for inspection; 

(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 

(4) the committee’s organization was in 

Rules Appendix B-81
(2000 Series) 33 

ORIGINAL REVISION

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.

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. 

Committee Note 

The language of Rule 2007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-82
(2000 Series) 34 

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 

Rules Appendix B-83
(2000 Series) 35 

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: 

 the debtor; 

 creditors; 

 any other party in interest; 

 their respective attorneys and 

accountants; 

 the United States trustee; or 

 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 

candidate, setting forth the 

candidate’s connections with any 

entity listed in (A)(i)–(vi). No later 

than the date on which the report 

is filed, the United States trustee 

must mail a copy 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 

Rules Appendix B-84
(2000 Series) 36 

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)(i)–(vi); 

(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)(i)–

(vi). 

Committee Note 

The language of Rule 2007.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-85
(2000 Series) 37 

ORIGINAL REVISION

Rule 2007.2. Appointment of Patient 

Care Ombudsman in a Health Care 

Business Case 

Rule 2007.2. Appointing a Patient- Care 

Ombudsman in a Health Care Business 

Case 

(a) ORDER TO APPOINT PATIENT 

CARE OMBUDSMAN. In a chapter 7, 

chapter 9, or chapter 11 case in which 

the debtor is a health care business, the 

court shall order the appointment of a 

patient care ombudsman under § 333 of 

the Code, unless the court, on motion of 

the United States trustee or a party in 

interest filed no later than 21 days after 

the commencement of the case or 

within another time fixed by the court, 

finds that the appointment of a patient 

care ombudsman is not necessary under 

the specific circumstances of the case 

for the protection of patients. 

(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 one 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) Deferring the 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; 

Rules Appendix B-86
(2000 Series) 38 

ORIGINAL REVISION

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

(5) the attorneys and accountants of 

those in (1)–(4); 

(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). 

Committee Note 

The language of Rule 2007.2 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-87
(2000 Series) 39 

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 considered 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 

considered to have rejected the office. 

Committee Note 

The language of Rule 2008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-88
(2000 Series) 40 

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 or subchapter V of chapter 11 

of the Code. 

(a) Creditors’ Right to Elect a Single 

Trustee. Except in a case under 

Subchapter V of Chapter 7 or Subchapter 

V of Chapter 11, 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 or subchapter V of chapter 11 

of the Code. 

(b) Creditors’ Right to Elect a Separate 

Trustee. Except in a case under 

Subchapter V of Chapter 7 or Subchapter 

V of Chapter 11, 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 or is required by the Code, 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. 

(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 or the 

Code requires 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. 

Rules Appendix B-89
(2000 Series) 41 

ORIGINAL REVISION

(4) Chapter 13 Individual’s Debt 

Adjustment Cases. The United States 

trustee may appoint one or more 

trustees for estates being jointly 

administered in chapter 13 cases. 

(d) POTENTIAL CONFLICTS OF 

INTEREST. On a showing that 

creditors or equity security holders of 

the different estates will be prejudiced 

by conflicts of interest of a common 

trustee who has been elected or 

appointed, the court shall order the 

selection of separate trustees for estates 

being jointly administered. 

(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. 

Committee Note 

The language of Rule 2009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-90
(2000 Series) 42 

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 

multiple cases; or 

(2) multiple trustees who qualify 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 

United States’ name on a trustee’s bond for 

the use of the entity injured by the trustee’s 

breach of the condition. 

Committee Note 

The language of Rule 2010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-91
(2000 Series) 43 

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 to prove that a debtor 

is a debtor in possession or that a trustee 

has qualified, the clerk may so certify. 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. 

Committee Note 

The language of Rule 2011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-92
(2000 Series) 44 

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 (other than under 

subchapter V), or the debtor is removed 

as debtor in possession in a chapter 12 

case or in a case under subchapter V of 

chapter 11, the trustee is substituted 

automatically for the debtor in 

possession as a party in any pending 

action, proceeding, or matter. 

(a) Substituting a Trustee. The trustee is 

automatically substituted for the debtor in 

possession as a party in any pending action, 

proceeding, or matter if: 

(1) the trustee is appointed in a Chapter 

11 case (other than under Subchapter 

V); or 

(2) the debtor is removed as debtor in 

possession in a Chapter 12 case or in a 

case under Subchapter V of Chapter 

11. 

(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. If 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. 

Committee Note 

The language of Rule 2012 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-93
(2000 Series) 45 

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. 

(1) Required Items. 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: 

(A) include the case name and number, 

the name of the individual or firm 

receiving the fee, and the amount 

awarded; 

(B) be maintained chronologically; and 

(C) be kept current and open for public 

examination without charge. 

(2) Meaning of “Trustee.” As used in 

this rule, “trustee” 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. 

Committee Note 

The language of Rule 2013 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-94
(2000 Series) 46 

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 need 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. 

Rules Appendix B-95
(2000 Series) 47 

ORIGINAL REVISION

(3) Verified Statement of the Person to 

Be Employed. 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. 

Committee Note 

The language of Rule 2014 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-96
(2000 Series) 48 

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 (other than under 

subchapter V), 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; 

(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 (other 

than under Subchapter V), 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 it: 

(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 

Rules Appendix B-97
(2000 Series) 49 

ORIGINAL REVISION

(5) in a chapter 11 reorganization 

case (other than under subchapter V), 

on or before the last day of the month 

after each calendar quarter during which 

there is a duty to pay fees under 28 

U.S.C. § 1930(a)(6), file and transmit to 

the United States trustee a statement of 

any disbursements made during that 

quarter and of any fees payable under 

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

and 

(6) in a chapter 11 small business 

case, unless the court, for cause, sets 

another reporting interval, file and 

transmit to the United States trustee for 

each calendar month after the order for 

relief, on the appropriate Official Form, 

the report required by § 308. If the 

order for relief is within the first 15 days 

of a calendar month, a report shall be 

filed for the portion of the month that 

follows the order for relief. If the order 

for relief is after the 15th day of a 

calendar month, the period for the 

remainder of the month shall be 

included in the report for the next 

calendar month. Each report shall be 

filed no later than 21 days after the last 

day of the calendar month following the 

month covered by the report. The 

obligation to file reports under this 

subparagraph terminates on the 

effective date of the plan, or conversion 

or dismissal of the case. 

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 (other than 

under Subchapter V), 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—with the following 

adjustments: 

 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; or 

 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. 

Rules Appendix B-98
(2000 Series) 50 

ORIGINAL REVISION

(b) TRUSTEE, DEBTOR IN 

POSSESSION, AND DEBTOR IN A 

CASE UNDER SUBCHAPTER V OF 

CHAPTER 11. In a case under 

subchapter V of chapter 11, the debtor 

in possession shall perform the duties 

prescribed in (a)(2)–(4) and, if the court 

directs, shall file and transmit to the 

United States trustee a complete 

inventory of the debtor’s property 

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 subdivision (b). The 

debtor shall perform the duties 

prescribed in (a)(6). 

(b) Trustee, Debtor in Possession, and 

Debtor in a Case Under Subchapter V of 

Chapter 11. In a case under Subchapter V 

of Chapter 11, the debtor in possession 

must perform the duties prescribed in 

(a)(2)–(4) and, if the court orders, must 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. The 

debtor must perform the duties prescribed 

in (a)(6). 

(c) CHAPTER 12 TRUSTEE AND 

DEBTOR IN POSSESSION. In a 

chapter 12 family farmer’s debt 

adjustment case, the debtor in 

possession shall perform the duties 

prescribed in clauses (2)–(4) of 

subdivision (a) of this rule and, if 

the court directs, shall file and 

transmit to the United States trustee 

a complete inventory of the 

property of the debtor within the 

time fixed by the court. If the 

debtor is removed as debtor in 

possession, the trustee shall perform 

the duties of the debtor in 

possession prescribed in this 

subdivision (c). 

(c) 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) 

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. 

(d) 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 

(d) 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 

Rules Appendix B-99
(2000 Series) 51 

ORIGINAL REVISION

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. 

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). 

(e) FOREIGN REPRESENTATIVE. 

In a case in which the court has granted 

recognition of a foreign proceeding 

under chapter 15, the foreign 

representative shall file any notice 

required under § 1518 of the Code 

within 14 days after the date when the 

representative becomes aware of the 

subsequent information. 

(e) 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 later 

information. 

(f) TRANSMISSION OF REPORTS. In 

a chapter 11 case the court may direct that 

copies or summaries of annual reports 

and copies or summaries of other reports 

shall be mailed to the creditors, equity 

security holders, and indenture trustees. 

The court may also direct the publication 

of summaries of any such reports. A copy 

of every report or summary mailed or 

published pursuant to this subdivision 

shall be transmitted to the United States 

trustee. 

(f) 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 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. 

Committee Note 

The language of Rule 2015 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-100
(2000 Series) 52 

ORIGINAL REVISION

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 

health-care 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) Content 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 in writing, 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. 

Rules Appendix B-101
(2000 Series) 53 

ORIGINAL REVISION

(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. Rule 

9014 governs a patient-care 

ombudsman’s motion under § 333(c) 

to review confidential patient records. 

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 in 

order to provide information 

about the patient’s health care; 

and 

(C) be sent to the United States 

trustee, subject to applicable 

nonbankruptcy law concerning 

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. 

Committee Note 

The language of Rule 2015.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-102
(2000 Series) 54 

ORIGINAL REVISION

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 in 

order to provide information about the 

patient’s health care. 

The notice is subject to applicable 

nonbankruptcy law concerning patient privacy. 

Committee Note 

The language of Rule 2015.2 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-103
(2000 Series) 55 

ORIGINAL REVISION

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; Content 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 a 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. 

Rules Appendix B-104
(2000 Series) 56 

ORIGINAL REVISION

(c) PRESUMPTION OF 

SUBSTANTIAL OR CONTROLLING 

INTEREST; JUDICIAL 

DETERMINATION. For purposes of 

this rule, an entity of which the estate 

controls or owns at least a 20 percent 

interest, shall be presumed to be an 

entity in which the estate has a 

substantial or controlling interest. An 

entity in which the estate controls or 

owns less than a 20 percent interest shall 

be presumed not to be an entity in 

which the estate has a substantial or 

controlling interest. Upon motion, the 

entity, any holder of an interest therein, 

the United States trustee, or any other 

party in interest may seek to rebut either 

presumption, and the court shall, after 

notice and a hearing, determine whether 

the estate’s interest in the entity is 

substantial or controlling. 

(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. 

(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. 

Rules Appendix B-105
(2000 Series) 57 

ORIGINAL REVISION

(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 

requirements of subdivision (a). 

(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). 

Committee Note 

The language of Rule 2015.3 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-106
(2000 Series) 58 

ORIGINAL REVISION

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. If an entity seeks from 

the estate interim or final 

compensation for services or 

reimbursement of necessary 

expenses, the entity must file an 

application showing: 

(A) in detail the amounts requested 

and the services rendered, time 

spent, 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; 

(E) 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 

(F) the particulars of any 

compensation sharing or 

agreement or understanding to 

share, except with a member or 

regular associate of a law or 

accounting firm. 

(2) Application for Services Rendered 

or to be Rendered by an 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. 

Rules Appendix B-107
(2000 Series) 59 

ORIGINAL REVISION

(3) Copy to the 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. 

(1) Basic Requirements. 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: 

(A) show whether the attorney has 

shared or agreed to share 

compensation with any other 

entity; and 

(B) if so, the particulars of any sharing 

or agreement to share, except 

with a member or regular 

associate of the attorney’s law 

firm. 

(2) Supplemental Statement. 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. 

Rules Appendix B-108
(2000 Series) 60 

ORIGINAL REVISION

(c) DISCLOSURE OF 

COMPENSATION PAID OR 

PROMISED TO BANKRUPTCY 

PETITION PREPARER. Before a 

petition is filed, every bankruptcy petition 

preparer for a debtor shall deliver to the 

debtor, the declaration under penalty of 

perjury required by § 110(h)(2). The 

declaration shall disclose any fee, and the 

source of any fee, received from or on 

behalf of the debtor within 12 months of 

the filing of the case and all unpaid fees 

charged to the debtor. The declaration 

shall also describe the services performed 

and documents prepared or caused to be 

prepared by the bankruptcy petition 

preparer. The declaration shall be filed 

with the petition. The petition preparer 

shall file a supplemental statement within 

14 days after any payment or agreement 

not previously disclosed. 

(c) Disclosing Compensation Paid or 

Promised to a Bankruptcy-Petition 

Preparer. 

(1) Basic Requirements. Before a 

petition is filed, every bankruptcypetition 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 

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. 

Committee Note 

The language of Rule 2016 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-109
(2000 Series) 61 

ORIGINAL REVISION

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 in Contemplation of Filing a 

Petition or Before the Order for Relief.

On a party in interest’s motion, 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 whether the payment or transfer is 

made, or to be made, directly or indirectly, 

if the payment, transfer, or agreement is for 

services related to the case. 

Committee Note 

The language of Rule 2017 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-110
(2000 Series) 62 

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 in 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 in any 

matter 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 exercising that 

right may not appeal any judgment, order, 

or decree related to the plan. 

Rules Appendix B-111
(2000 Series) 63 

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 documents on 

entities permitted to intervene or be heard 

under this Rule 2018. 

Committee Note 

The language of Rule 2018 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-112
(2000 Series) 64 

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; 

Rules Appendix B-113
(2000 Series) 65 

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; 

Rules Appendix B-114
(2000 Series) 66 

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 Statement. 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. 

Rules Appendix B-115
(2000 Series) 67 

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. 

Committee Note 

The language of Rule 2019 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-116
(2000 Series) 68 

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. 

Committee Note 

The language of Rule 2020 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-117
(3000 Series) 

PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF BANKRUPTCY PROCEDURE 

3000 Series 

Rules Appendix B-118
(3000 Series) 2 

ORIGINAL REVISION

PART III—CLAIMS AND 

DISTRIBUTION TO CREDITORS 

AND EQUITY INTEREST 

HOLDERS; PLANS 

PART III. CLAIMS; PLANS; 

DISTRIBUTIONS TO CREDITORS 

AND EQUITY SECURITY HOLDERS 

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

(a) FORM AND CONTENT. A proof 

of claim is a written statement setting 

forth a creditor’s claim. A proof of 

claim shall conform substantially to the 

appropriate Official Form. 

(a) Definition and Form. A proof of claim is 

a written statement of a creditor’s claim. It 

must substantially conform to Form 410. 

(b) WHO MAY EXECUTE. A proof of 

claim shall be executed by the creditor 

or the creditor’s authorized agent except 

as provided in Rules 3004 and 3005. 

(b) Who May Sign a Proof of Claim. Only a 

creditor or the creditor’s agent may sign a 

proof of claim—except as provided in 

Rules 3004 and 3005. 

(c) SUPPORTING INFORMATION. 

(1) Claim Based on a Writing. 

Except for a claim governed by 

paragraph (3) of this subdivision, when a 

claim, or an interest in property of the 

debtor securing the claim, is based on a 

writing, a copy of the writing shall be 

filed with the proof of claim. If the 

writing has been lost or destroyed, a 

statement of the circumstances of the 

loss or destruction shall be filed with the 

claim. 

(2) Additional Requirements in an 

Individual Debtor Case; Sanctions for Failure 

to Comply. In a case in which the debtor 

is an individual: 

(A) If, in addition to its 

principal amount, a claim includes 

interest, fees, expenses, or other charges 

incurred before the petition was filed, an 

itemized statement of the interest, fees, 

expenses, or charges shall be filed with 

the proof of claim. 

(B) If a security interest 

is claimed in the debtor’s property, a 

statement of the amount necessary to 

cure any default as of the date of the 

(c) Required Supporting Information. 

(1) Claim or Interest Based on a 

Writing. If a claim or an interest in the 

debtor’s property securing the claim is 

based on a writing, the creditor must 

file a copy with the proof of claim—

except for a claim based on a 

consumer-credit agreement under (4). 

If the writing has been lost or 

destroyed, a statement explaining the 

loss or destruction must be filed with 

the claim. 

(2) Additional Information in an 

Individual Debtor’s Case. If the 

debtor is an individual, the creditor 

must file with the proof of claim:

(A) an itemized statement of the 

principal amount and any 

interest, fees, expenses, or other 

charges incurred before the 

petition was filed; 

(B) for any claimed security interest in 

the debtor’s property, the amount 

needed to cure any default as of 

the date the petition was filed; and 

Rules Appendix B-119
(3000 Series) 3 

ORIGINAL REVISION

petition shall be filed with the proof of 

claim. 

(C) If a security interest 

is claimed in property that is the debtor’s 

principal residence, the attachment 

prescribed by the appropriate Official 

Form shall be filed with the proof of 

claim. If an escrow account has been 

established in connection with the claim, 

an escrow account statement prepared 

as of the date the petition was filed and 

in a form consistent with applicable 

nonbankruptcy law shall be filed with 

the attachment to the proof of claim. 

(D) If the holder of a 

claim fails to provide any information 

required by this subdivision (c), the 

court may, after notice and hearing, take 

either or both of the following actions: 

(i) preclude the 

holder from presenting the omitted 

information, in any form, as evidence in 

any contested matter or adversary 

proceeding in the case, unless the court 

determines that the failure was 

substantially justified or is harmless; or 

(ii) award other 

appropriate relief, including reasonable 

expenses and attorney’s fees caused by 

the failure. 

(3) Claim Based on an Open-End or 

Revolving Consumer Credit Agreement. 

(A) When a claim is 

based on an open-end or revolving 

consumer credit agreement—except one 

for which a security interest is claimed in 

the debtor’s real property—a statement 

shall be filed with the proof of claim, 

including all of the following 

information that applies to the account: 

(i) the name of 

the entity from whom the creditor 

(C) for any claimed security interest in 

the debtor’s principal residence: 

(i) Form 410A; and 

(ii) if there is an escrow account 

connected with the claim, an 

escrow-account statement, 

prepared as of the date the 

petition was filed, that is 

consistent in form with 

applicable nonbankruptcy 

law. 

(3) Sanctions in an Individual-Debtor 

Case. If the debtor is an individual 

and a claim holder fails to provide 

any information required by (1) or 

(2), the court may, after notice and a 

hearing, take one or both of these 

actions: 

(A) preclude the holder from 

presenting the information in any 

form as evidence in any contested 

matter or adversary proceeding in 

the case—unless the court 

determines that the failure is 

substantially justified or is 

harmless; and 

(B) award other appropriate relief, 

including reasonable expenses and 

attorney’s fees caused by the 

failure. 

(4) Claim Based on an Open-End or 

Revolving Consumer-Credit 

Agreement. 

(A) Required Statement. Except when the 

claim is secured by an interest in 

the debtor’s real property, a proof 

of claim for a claim based on an 

open-end or revolving consumercredit agreement must be 

accompanied by a statement that 

Rules Appendix B-120
(3000 Series) 4 

ORIGINAL REVISION

purchased the account; 

(ii) the name of 

the entity to whom the debt was owed at 

the time of an account holder’s last 

transaction on the account; 

(iii) the date of 

an account holder’s last transaction; 

(iv) the date of 

the last payment on the account; and 

(v) the date on 

which the account was charged to profit 

and loss. 

(B) On written request 

by a party in interest, the holder of a 

claim based on an open-end or revolving 

consumer credit agreement shall, within 

30 days after the request is sent, provide 

the requesting party a copy of the 

writing specified in paragraph (1) of this 

subdivision. 

shows the following information 

about the credit account: 

(i) the name of the entity from 

whom the creditor purchased 

the account; 

(ii) the name of the entity to 

whom the debt was owed at 

the time of an account 

holder’s last transaction on 

the account; 

(iii) the date of that last 

transaction; 

(iv) the date of the last payment 

on the account; and 

(v) the date that the account was 

charged to profit and loss. 

(B) Copy to a Party in Interest. On a party 

in interest’s written request, the 

creditor must send a copy of the 

writing described in (1) to that 

party within 30 days after the 

request is sent. 

(d) EVIDENCE OF PERFECTION 

OF SECURITY INTEREST. If a 

security interest in property of the 

debtor is claimed, the proof of claim 

shall be accompanied by evidence that 

the security interest has been perfected. 

(d) Claim Based on a Security Interest in 

the Debtor’s Property. If a creditor claims 

a security interest in the debtor’s property, 

the proof of claim must be accompanied by 

evidence that the security interest has been 

perfected.

(e) TRANSFERRED CLAIM. 

(1) Transfer of Claim Other Than for 

Security Before Proof Filed. If a claim has 

been transferred other than for security 

before proof of the claim has been filed, 

the proof of claim may be filed only by 

the transferee or an indenture trustee. 

(2) Transfer of Claim Other than for 

Security after Proof Filed. If a claim other 

than one based on a publicly traded 

note, bond, or debenture has been 

transferred other than for security after 

(e) Transferred Claim. 

(1) Claim Transferred Before a Proof of 

Claim Is Filed. Unless the transfer 

was made for security, if a claim was 

transferred before a proof of claim is 

filed, only the transferee or an 

indenture trustee may file a proof of 

claim. 

Rules Appendix B-121
(3000 Series) 5 

ORIGINAL REVISION

the proof of claim has been filed, 

evidence of the transfer shall be filed by 

the transferee. The clerk shall 

immediately notify the alleged transferor 

by mail of the filing of the evidence of 

transfer and that objection thereto, if 

any, must be filed within 21 days of the 

mailing of the notice or within any 

additional time allowed by the court. If 

the alleged transferor files a timely 

objection and the court finds, after 

notice and a hearing, that the claim has 

been transferred other than for security, 

it shall enter an order substituting the 

transferee for the transferor. If a timely 

objection is not filed by the alleged 

transferor, the transferee shall be 

substituted for the transferor. 

(3) Transfer of Claim for Security 

Before Proof Filed. If a claim other than 

one based on a publicly traded note, 

bond, or debenture has been transferred 

for security before proof of the claim 

has been filed, the transferor or 

transferee or both may file a proof of 

claim for the full amount. The proof 

shall be supported by a statement setting 

forth the terms of the transfer. If either 

the transferor or the transferee files a 

proof of claim, the clerk shall 

immediately notify the other by mail of 

the right to join in the filed claim. If 

both transferor and transferee file 

proofs of the same claim, the proofs 

shall be consolidated. If the transferor or 

transferee does not file an agreement 

regarding its relative rights respecting 

voting of the claim, payment of 

dividends thereon, or participation in 

the administration of the estate, on 

motion by a party in interest and after 

notice and a hearing, the court shall 

enter such orders respecting these 

matters as may be appropriate. 

(4) Transfer of Claim for Security 

(2) Claim Transferred After a Proof of 

Claim Was Filed. 

(A) Filing Evidence of the Transfer. Unless 

the transfer was made for security, 

the transferee of a claim that was 

transferred after a proof of claim 

is filed must file evidence of the 

transfer—except for a claim based 

on a publicly traded note, bond, 

or debenture. 

(B) Notice of the Filing and the Time for 

Objecting. The clerk must 

immediately notify the alleged 

transferor, by mail, that evidence 

of the transfer has been filed and 

that the alleged transferor has 21 

days after the notice is mailed to 

file an objection. The court may 

extend the time to file it. 

(C) Hearing on an Objection; Substituting 

the Transferee. If, on timely objection 

by the alleged transferor and after 

notice and a hearing, the court 

finds that the claim was transferred 

other than for security, the court 

must substitute the transferee for 

the transferor. If the alleged 

transferor does not file a timely 

objection, the transferee must be 

substituted for the transferor. 

(3) Claim Transferred for Security 

Before a Proof of Claim Is 

Filed.

(A) Right to File a Proof of Claim. If a 

claim (except one based on a 

publicly traded note, bond, or 

debenture) was transferred for 

security before the proof of claim 

is filed, either the transferor or 

transferee (or both) may file a 

proof of claim for the full amount. 

The proof of claim must include a 

Rules Appendix B-122
(3000 Series) 6 

ORIGINAL REVISION

after Proof Filed. If a claim other than one 

based on a publicly traded note, bond, 

or debenture has been transferred for 

security after the proof of claim has 

been filed, evidence of the terms of the 

transfer shall be filed by the transferee. 

The clerk shall immediately notify the 

alleged transferor by mail of the filing of 

the evidence of transfer and that 

objection thereto, if any, must be filed 

within 21 days of the mailing of the 

notice or within any additional time 

allowed by the court. If a timely 

objection is filed by the alleged 

transferor, the court, after notice and a 

hearing, shall determine whether the 

claim has been transferred for security. 

If the transferor or transferee does not 

file an agreement regarding its relative 

rights respecting voting of the claim, 

payment of dividends thereon, or 

participation in the administration of the 

estate, on motion by a party in interest 

and after notice and a hearing, the court 

shall enter such orders respecting these 

matters as may be appropriate. 

(5) Service of Objection or Motion; 

Notice of Hearing. A copy of an objection 

filed pursuant to paragraph (2) or (4) or 

a motion filed pursuant to paragraph (3) 

or (4) of this subdivision together with a 

notice of a hearing shall be mailed or 

otherwise delivered to the transferor or 

transferee, whichever is appropriate, at 

least 30 days prior to the hearing. 

statement setting forth the terms 

of the transfer. 

(B) Notice of a Right to Join in a Proof of 

Claim; Consolidating Proofs. If either 

the transferor or transferee files a 

proof of claim, the clerk must, by 

mail, immediately notify the other 

of the right to join in the claim. If 

both file proofs of the same claim, 

the claims must be consolidated. 

(C) Failure to File an Agreement About the 

Rights of the Transferor and Transferee. 

On a party in interest’s motion and 

after notice and a hearing, the 

court must issue appropriate orders 

regarding the rights of the 

transferor and transferee if either 

one fails to file an agreement on 

voting the claim, receiving 

dividends on it, or participating in 

the estate’s administration. 

(4) Claim Transferred for Security After 

a Proof of Claim Was Filed. 

(A) Filing Evidence of the Transfer. If a 

claim (except one based on a 

publicly traded note, bond, or 

debenture) was transferred for 

security after a proof of claim was 

filed, the transferee must file a 

statement setting forth the terms 

of the transfer. 

(B) Notice of the Filing and the Time for 

Objecting. The clerk must 

immediately notify the alleged 

transferor, by mail, that evidence 

of the transfer has been filed and 

that the alleged transferor has 21 

days after the notice is mailed to 

file an objection. The court may 

extend the time to file it. 

(C) Hearing on an Objection. If the alleged 

transferor files a timely objection, 

Rules Appendix B-123
(3000 Series) 7 

ORIGINAL REVISION

the court must, after notice and a 

hearing, determine whether the 

transfer was for security. 

(D) Failure to File an Agreement About the 

Rights of the Transferor and Transferee.

On a party in interest’s motion and 

after notice and a hearing, the 

court must issue appropriate orders 

regarding the rights of the 

transferor and transferee if either 

one fails to file an agreement on 

voting the claim, receiving 

dividends on it, or participating in 

the estate’s administration. 

(5) Serving an Objection or Motion; 

Notice of a Hearing. At least 30 days 

before a hearing, a copy of any 

objection filed under (2) or (4) or any 

motion filed under (3) or (4) must be 

mailed or delivered to either the 

transferor or transferee as appropriate, 

together with notice of the hearing. 

(f) EVIDENTIARY EFFECT. A proof 

of claim executed and filed in 

accordance with these rules shall 

constitute prima facie evidence of the 

validity and amount of the claim. 

(f) Proof of Claim as Prima Facie 

Evidence of a Claim and Its Amount. 

A proof of claim signed and filed in 

accordance with these rules is prima facie 

evidence of the claim’s validity and 

amount. 

(g) To the extent not inconsistent with 

the United States Warehouse Act or 

applicable State law, a warehouse 

receipt, scale ticket, or similar document 

of the type routinely issued as evidence 

of title by a grain storage facility, as 

defined in section 557 of title 11, shall 

constitute prima facie evidence of the 

validity and amount of a claim of 

ownership of a quantity of grain. 

(g) Proving the Ownership and Quantity of 

Grain. To the extent not inconsistent with 

the United States Warehouse Act or 

applicable State law, a warehouse receipt, 

scale ticket, or similar document of the type 

routinely issued as evidence of title by a 

grain storage facility, as defined in section 

557 of title 11, shall constitute prima facie 

evidence of the validity and amount of a 

claim of ownership of a quantity of grain. 

Committee Note 

The language of most provisions in Rule 3001 have been amended as part of the general restyling 

of the Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. Rule 3001(g) has 

not been restyled (except to add a title) because it was enacted by Congress, P.L. 98-353, 98 Stat. 

Rules Appendix B-124
(3000 Series) 8 

361, Sec. 354 (1984). The Bankruptcy Rules Enabling Act, 28 U.S.C. § 2075, provides no authority 

to modify statutory language. 

Rules Appendix B-125
(3000 Series) 9 

ORIGINAL REVISION

Rule 3002. Filing Proof of Claim or 

Interest 

Rule 3002. Filing a Proof of Claim or 

Interest 

(a) NECESSITY FOR FILING. A 

secured creditor, unsecured creditor, or 

equity security holder must file a proof 

of claim or interest for the claim or 

interest to be allowed, except as 

provided in Rules 1019(3), 3003, 3004, 

and 3005. A lien that secures a claim 

against the debtor is not void due only 

to the failure of any entity to file a proof 

of claim. 

(a) Need to File. Unless Rule 1019(c), 3003, 

3004, or 3005 provides otherwise, every 

creditor must file a proof of claim—and an 

equity security holder must file a proof of 

interest—for the claim or interest to be 

allowed. A lien that secures a claim is not 

void solely because an entity failed to file a 

proof of claim. 

(b) PLACE OF FILING. A proof of 

claim or interest shall be filed in 

accordance with Rule 5005. 

(b) Where to File. The proof of claim or 

interest must be filed in the district where 

the case is pending and in accordance with 

Rule 5005. 

(c) TIME FOR FILING. In a voluntary 

chapter 7 case, chapter 12 case, or 

chapter 13 case, a proof of claim is 

timely filed if it is filed not later than 70 

days after the order for relief under that 

chapter or the date of the order of 

conversion to a case under chapter 12 or 

chapter 13. In an involuntary chapter 7 

case, a proof of claim is timely filed if it 

is filed not later than 90 days after the 

order for relief under that chapter is 

entered. But in all these cases, the 

following exceptions apply: 

(1) A proof of claim filed by a 

governmental unit, other than for a 

claim resulting from a tax return filed 

under § 1308, is timely filed if it is filed 

not later than 180 days after the date of 

the order for relief. A proof of claim 

filed by a governmental unit for a claim 

resulting from a tax return filed under 

§ 1308 is timely filed if it is filed no later 

than 180 days after the date of the order 

for relief or 60 days after the date of the 

filing of the tax return. The court may, 

for cause, enlarge the time for a 

governmental unit to file a proof of 

(c) Time to File. In a voluntary Chapter 7 

case or in a Chapter 12 or 13 case, the 

proof of claim is timely if filed within 70 

days after the order for relief or entry of an 

order converting the case to Chapter 12 or 

13. In an involuntary Chapter 7 case, a 

proof of claim is timely if filed within 90 

days after the order for relief is entered. 

These exceptions apply in all cases: 

(1) Governmental Unit. A governmental 

unit’s proof of claim is timely if filed 

within 180 days after the order for 

relief. But a proof of claim resulting 

from a tax return filed under § 1308 is 

timely if filed within 180 days after the 

order for relief or within 60 days after 

the tax return is filed. On motion filed 

by a governmental unit before the time 

expires and for cause, the court may 

extend the time to file a proof of claim. 

(2) Infant or Incompetent Person. In 

the interests of justice, the court 

may extend the time for an infant or 

incompetent person—or a 

representative of either—to file a 

Rules Appendix B-126
(3000 Series) 10 

ORIGINAL REVISION

claim only upon motion of the 

governmental unit made before 

expiration of the period for filing a 

timely proof of claim. 

(2) In the interest of justice and 

if it will not unduly delay the 

administration of the case, the court may 

extend the time for filing a proof of 

claim by an infant or incompetent 

person or the representative of either. 

(3) An unsecured claim which 

arises in favor of an entity or becomes 

allowable as a result of a judgment may 

be filed within 30 days after the 

judgment becomes final if the judgment 

is for the recovery of money or property 

from that entity or denies or avoids the 

entity’s interest in property. If the 

judgment imposes a liability which is not 

satisfied, or a duty which is not 

performed within such period or such 

further time as the court may permit, the 

claim shall not be allowed. 

(4) A claim arising from the 

rejection of an executory contract or 

unexpired lease of the debtor may be 

filed within such time as the court may 

direct. 

(5) If notice of insufficient assets 

to pay a dividend was given to creditors 

under Rule 2002(e), and subsequently 

the trustee notifies the court that 

payment of a dividend appears possible, 

the clerk shall give at least 90 days’ 

notice by mail to creditors of that fact 

and of the date by which proofs of claim 

must be filed. 

(6) On motion filed by a creditor 

before or after the expiration of the time 

to file a proof of claim, the court may 

extend the time by not more than 60 

days from the date of the order granting 

the motion. The motion may be granted 

if the court finds that the notice was 

insufficient under the circumstances to 

give the creditor a reasonable time to file 

proof of claim, but only if the 

extension will not unduly delay case 

administration. 

(3) Unsecured Claim That Arises from 

a Judgment. This paragraph (3) 

applies if an unsecured claim arises in 

favor of an entity or becomes 

allowable because of a judgment to 

recover money or property from that 

entity or a judgment that denies or 

avoids the entity’s interest in property. 

The claim may be filed within 30 days 

after the judgment becomes final. But 

the claim must not be allowed if the 

judgment imposes a liability that is not 

satisfied—or a duty that is not 

performed—within the 30 days or any 

additional time set by the court. 

(4) Claim Arising from a Rejected 

Executory Contract or Unexpired 

Lease. A proof of claim for a claim 

that arises from a rejected executory 

contract or an unexpired lease may be 

filed within the time set by the court. 

(5) Notice That Assets May Be 

Available to Pay a Dividend. The 

clerk must, by mail, give at least 90 

days’ notice to creditors that a dividend 

payment appears possible and that 

proofs of claim must be filed by the 

date set forth in the notice if: 

(A) a notice of insufficient assets 

to pay a dividend had been 

given under Rule 2002(e); and 

(B) the trustee later notifies the court 

that a dividend appears possible. 

(6) Claim Secured by a Security 

Interest in the Debtor’s Principal 

Residence. A proof of a claim 

secured by a security interest in the 

debtor’s principal residence is timely 

filed if:

Rules Appendix B-127
(3000 Series) 11 

ORIGINAL REVISION

a proof of claim. 

(7) A proof of claim filed by the 

holder of a claim that is secured by a 

security interest in the debtor’s 

principal residence is timely filed if: 

(A) the proof of claim, 

together with the attachments required 

by Rule 3001(c)(2)(C), is filed not later 

than 70 days after the order for relief is 

entered; and 

(B) any attachments 

required by Rule 3001(c)(1) and (d) are 

filed as a supplement to the holder’s 

claim not later than 120 days after the 

order for relief is entered. 

(A) the proof of claim and attachments 

required by Rule 3001(c)(2)(C) are 

filed within 70 days after the order 

for relief; and 

(B) the attachments required by 

Rule 3001(c)(1) and (d) are filed as a 

supplement to the holder’s claim 

within 120 days after the order for 

relief. 

 (7) Extending the Time to File. On a 

creditor’s motion filed before or 

after the time to file a proof of 

claim has expired, the court may 

extend the time to file by no more 

than 60 days from the date of its 

order. The motion may be granted 

if the court finds that the notice was 

insufficient to give the creditor a 

reasonable time to file. 

Committee Note

The language of Rule 3002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-128
(3000 Series) 12 

ORIGINAL REVISION

Rule 3002.1. Notice Relating to 

Claims Secured by Security Interest 

in the Debtor’s Principal Residence 

Rule 3002.1. Notice Relating to 

Claims Secured by a Security Interest 

in the Debtor’s Principal Residence in 

a Chapter 13 Case 

(a) IN GENERAL. This rule applies in a 

chapter 13 case to claims (1) that are 

secured by a security interest in the 

debtor’s principal residence, and (2) for 

which the plan provides that either the 

trustee or the debtor will make 

contractual installment payments. Unless 

the court orders otherwise, the notice 

requirements of this rule cease to apply 

when an order terminating or annulling 

the automatic stay becomes effective 

with respect to the residence that 

secures the claim. 

(a) In General. This rule applies in a 

Chapter 13 case to a claim that is secured 

by a security interest in the debtor’s 

principal residence and for which the plan 

provides for the trustee or debtor to 

make contractual installment payments. 

Unless the court orders otherwise, the 

notice requirements of this rule cease 

when an order terminating or annulling 

the automatic stay related to that 

residence becomes effective. 

(b) NOTICE OF PAYMENT 

CHANGES; OBJECTION. 

(1) Notice. The holder of the 

claim shall file and serve on the debtor, 

debtor’s counsel, and the trustee a notice 

of any change in the payment amount, 

including any change that results from 

an interest-rate or escrow-account 

adjustment, no later than 21 days before 

a payment in the new amount is due. If 

the claim arises from a home-equity line 

of credit, this requirement may be 

modified by court order. 

(2) Objection. A party in interest 

who objects to the payment change may 

file a motion to determine whether the 

change is required to maintain payments 

in accordance with § 1322(b)(5) of the 

Code. If no motion is filed by the day 

before the new amount is due, the 

change goes into effect, unless the court 

orders otherwise. 

(b) Notice of a Payment Change. 

(1) Notice by the Claim Holder. The 

claim holder must file a notice of any 

change in the amount of an installment 

payment—including any change 

resulting from an interest-rate or 

escrow-account adjustment. At least 

21 days before the new payment is 

due, the notice must be filed and 

served on: 

 the debtor; 

 the debtor’s attorney; and 

 the trustee. 

If the claim arises from a home-equity 

line of credit, the court may modify 

this requirement. 

(2) Party in Interest’s Objection. A 

party in interest who objects to the 

payment change may file a motion to 

determine whether the change is 

required to maintain payments under 

§ 1322(b)(5). Unless the court orders 

otherwise, if no motion is filed by 

the day before the new payment is 

due, the change goes into effect. 

Rules Appendix B-129
(3000 Series) 13 

ORIGINAL REVISION

(c) NOTICE OF FEES, EXPENSES, 

AND CHARGES. The holder of the 

claim shall file and serve on the debtor, 

debtor’s counsel, and the trustee a notice 

itemizing all fees, expenses, or charges 

(1) that were incurred in connection 

with the claim after the bankruptcy case 

was filed, and (2) that the holder asserts 

are recoverable against the debtor or 

against the debtor’s principal residence. 

The notice shall be served within 180 

days after the date on which the fees, 

expenses, or charges are incurred. 

(c) Fees, Expenses, and Charges 

Incurred After the Case Was Filed; 

Notice by the Claim Holder. The claim 

holder must file a notice itemizing all 

fees, expenses, and charges incurred after 

the case was filed that the holder asserts 

are recoverable against the debtor or the 

debtor’s principal residence. Within 180 

days after the fees, expenses, or charges 

were incurred, the notice must be served 

on: 

 the debtor; 

 the debtor’s attorney; and 

 the trustee. 

(d) FORM AND CONTENT. A notice 

filed and served under subdivision (b) or 

(c) of this rule shall be prepared as 

prescribed by the appropriate Official 

Form, and filed as a supplement to the 

holder’s proof of claim. The notice is 

not subject to Rule 3001(f). 

(d) Filing Notice as a Supplement to a 

Proof of Claim. A notice under (b) or (c) 

must be filed as a supplement to the proof 

of claim using Form 410S-1 or 410S-2, 

respectively. The notice is not subject to 

Rule 3001(f). 

(e) DETERMINATION OF FEES, 

EXPENSES, OR CHARGES. On 

motion of a party in interest filed within 

one year after service of a notice under 

subdivision (c) of this rule, the court 

shall, after notice and hearing, determine 

whether payment of any claimed fee, 

expense, or charge is required by the 

underlying agreement and applicable 

nonbankruptcy law to cure a default or 

maintain payments in accordance with 

§ 1322(b)(5) of the Code. 

(e) Determining Fees, Expenses, or 

Charges. On a party in interest’s motion 

filed within one year after the notice in (c) 

was served, the court must, after notice and 

a hearing, determine whether paying any 

claimed fee, expense, or charge is required 

by the underlying agreement and applicable 

nonbankruptcy law to cure a default or 

maintain payments under § 1322(b)(5). 

(f) NOTICE OF FINAL CURE 

PAYMENT. Within 30 days after the 

debtor completes all payments under the 

plan, the trustee shall file and serve on 

(f) Notice of the Final Cure Payment. 

(1) Content of a Notice. Within 30 days 

after the debtor completes all 

Rules Appendix B-130
(3000 Series) 14 

ORIGINAL REVISION

the holder of the claim, the debtor, and 

debtor’s counsel a notice stating that the 

debtor has paid in full the amount 

required to cure any default on the 

claim. The notice shall also inform the 

holder of its obligation to file and serve 

a response under subdivision (g). If the 

debtor contends that final cure payment 

has been made and all plan payments 

have been completed, and the trustee 

does not timely file and serve the notice 

required by this subdivision, the debtor 

may file and serve the notice. 

payments under a Chapter 13 plan, the 

trustee must file a notice: 

(A) stating that the debtor has paid in 

full the amount required to cure 

any default on the claim; and 

(B) informing the claim holder of its 

obligation to file and serve a 

response under (g). 

(2) Serving the Notice. The notice must 

be served on: 

 the claim holder; 

 the debtor; and 

 the debtor’s attorney. 

(3) The Debtor’s Right to File. The 

debtor may file and serve the notice if: 

(A) the trustee fails to do so; and 

(B) the debtor contends that the final 

cure payment has been made and 

all plan payments have been 

completed. 

(g) RESPONSE TO NOTICE OF 

FINAL CURE PAYMENT. Within 21 

days after service of the notice under 

subdivision (f) of this rule, the holder 

shall file and serve on the debtor, 

debtor’s counsel, and the trustee a 

statement indicating (1) whether it 

agrees that the debtor has paid in full the 

amount required to cure the default on 

the claim, and (2) whether the debtor is 

otherwise current on all payments 

consistent with § 1322(b)(5) of the 

Code. The statement shall itemize the 

required cure or postpetition amounts, if 

any, that the holder contends remain 

unpaid as of the date of the statement. 

The statement shall be filed as a 

supplement to the holder’s proof of 

(g) Response to a Notice of the Final Cure 

Payment. 

(1) Required Statement. Within 21 days 

after the notice under (f) is served, the 

claim holder must file and serve a 

statement that: 

(A) indicates whether: 

(i) the claim holder agrees that 

the debtor has paid in full the 

amount required to cure any 

default on the claim; and 

(ii) the debtor is otherwise 

current on all payments 

under § 1322(b)(5); and 

(B) itemizes the required cure or 

postpetition amounts, if any, 

Rules Appendix B-131
(3000 Series) 15 

ORIGINAL REVISION

claim and is not subject to Rule 3001(f). that the claim holder contends 

remain unpaid as of the 

statement’s date. 

(2) Persons to be Served. The 

holder must serve the statement 

on: 

 the debtor; 

 the debtor’s attorney; and 

 the trustee. 

(3) Statement to be a Supplement. The 

statement must be filed as a 

supplement to the proof of claim and 

is not subject to Rule 3001(f). 

(h) DETERMINATION OF FINAL 

CURE AND PAYMENT. On motion 

of the debtor or trustee filed within 21 

days after service of the statement under 

subdivision (g) of this rule, the court 

shall, after notice and hearing, determine 

whether the debtor has cured the default 

and paid all required postpetition 

amounts. 

(h) Determining the Final Cure Payment. 

On the debtor’s or trustee’s motion filed 

within 21 days after the statement under (g) 

is served, the court must, after notice and a 

hearing, determine whether the debtor has 

cured the default and made all required 

postpetition payments. 

(i) FAILURE TO NOTIFY. If the 

holder of a claim fails to provide any 

information as required by subdivision 

(b), (c), or (g) of this rule, the court may, 

after notice and hearing, take either or 

both of the following actions: 

(1) preclude the holder from 

presenting the omitted information, in 

any form, as evidence in any contested 

matter or adversary proceeding in the 

case, unless the court determines that 

the failure was substantially justified or is 

harmless; or 

(2) award other appropriate 

relief, including reasonable expenses 

and attorney’s fees caused by the failure. 

(i) Failure to Give Notice. If the claim 

holder fails to provide any information as 

required by (b), (c), or (g), the court may, 

after notice and a hearing, take one or 

both of these actions: 

(1) preclude the holder from presenting 

the omitted information in any form as 

evidence in a contested matter or 

adversary proceeding in the case—

unless the failure was substantially 

justified or is harmless; and 

(2) award other appropriate relief, 

including reasonable expenses and 

attorney’s fees caused by the failure. 

Committee Note 

The language of Rule 3002.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

Rules Appendix B-132
(3000 Series) 16 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-133
(3000 Series) 17 

ORIGINAL REVISION

Rule 3003. Filing Proof of Claim or 

Equity Security Interest in Chapter 9 

Municipality or Chapter 11 

Reorganization Cases 

Rule 3003. Chapter 9 or 11—Filing a 

Proof of Claim or Equity Interest 

(a) APPLICABILITY OF RULE. This 

rule applies in chapter 9 and 11 cases. 

(a) Scope. This rule applies only in a Chapter 

9 or 11 case. 

(b) SCHEDULE OF LIABILITIES 

AND LIST OF EQUITY SECURITY 

HOLDERS. 

(1) Schedule of Liabilities. The 

schedule of liabilities filed pursuant to 

§ 521(l) of the Code shall constitute 

prima facie evidence of the validity and 

amount of the claims of creditors, unless 

they are scheduled as disputed, 

contingent, or unliquidated. It shall not 

be necessary for a creditor or equity 

security holder to file a proof of claim or 

interest except as provided in 

subdivision (c)(2) of this rule. 

(2) List of Equity Security Holders. 

The list of equity security holders filed 

pursuant to Rule 1007(a)(3) shall 

constitute prima facie evidence of the 

validity and amount of the equity 

security interests and it shall not be 

necessary for the holders of such 

interests to file a proof of interest. 

(b) Scheduled Liabilities and Listed Equity 

Security Holders as Prima Facie 

Evidence of Validity and Amount. 

(1) Creditor’s Claim. An entry on the 

schedule of liabilities filed under 

§ 521(a)(1)(B)(i) is prima facie 

evidence of the validity and the 

amount of a creditor’s claim—except 

for a claim scheduled as disputed, 

contingent, or unliquidated. Filing a 

proof of claim is unnecessary except 

as provided in (c)(2). 

(2) Interest of an Equity Security 

Holder. An entry on the list of equity 

security holders filed under 

Rule 1007(a)(3) is prima facie 

evidence of the validity and the 

amount of the equity interest. Filing a 

proof of the interest is unnecessary 

except as provided in (c)(2). 

(c) FILING PROOF OF CLAIM. 

(1) Who May File. Any creditor 

or indenture trustee may file a proof of 

claim within the time prescribed by 

subdivision (c)(3) of this rule. 

(2) Who Must File. Any creditor 

or equity security holder whose claim or 

interest is not scheduled or scheduled as 

disputed, contingent, or unliquidated 

shall file a proof of claim or interest 

within the time prescribed by 

subdivision (c)(3) of this rule; any 

creditor who fails to do so shall not be 

(c) Filing a Proof of Claim. 

(1) Who May File a Proof of Claim. A 

creditor or indenture trustee may file a 

proof of claim. 

(2) Who Must File a Proof of Claim or 

Interest. A creditor or equity security 

holder whose claim or interest is not 

scheduled—or is scheduled as 

disputed, contingent, or 

unliquidated—must file a proof of 

claim or interest. A creditor who fails 

to do so will not be treated as a 

creditor for that claim for voting and 

distribution. 

Rules Appendix B-134
(3000 Series) 18 

ORIGINAL REVISION

treated as a creditor with respect to such 

claim for the purposes of voting and 

distribution. 

(3) Time for Filing. The court 

shall fix and for cause shown may 

extend the time within which proofs of 

claim or interest may be filed. 

Notwithstanding the expiration of such 

time, a proof of claim may be filed to 

the extent and under the conditions 

stated in Rule 3002(c)(2), (c)(3), (c)(4), 

and (c)(6). 

(4) Effect of Filing Claim or 

Interest. A proof of claim or interest 

executed and filed in accordance with 

this subdivision shall supersede any 

scheduling of that claim or interest 

pursuant to § 521(a)(1) of the Code. 

(5) Filing by Indenture Trustee. An 

indenture trustee may file a claim on 

behalf of all known or unknown holders 

of securities issued pursuant to the trust 

instrument under which it is trustee. 

(3) Time to File. The court must set the 

time to file a proof of claim or interest 

and may, for cause, extend the time. If 

the time has expired, the proof of 

claim or interest may be filed to the 

extent and under the conditions stated 

in Rule 3002(c)(2), (3), (4), and (7). 

(4) Proof of Claim by an Indenture 

Trustee. An indenture trustee may 

file a proof of claim on behalf of all 

known or unknown holders of 

securities issued under the trust 

instrument under which it is trustee. 

(5) Effect of Filing a Proof of Claim or 

Interest. A proof of claim or interest 

signed and filed under (c) supersedes 

any scheduling of the claim or interest 

under § 521(a)(1). 

(d) PROOF OF RIGHT TO RECORD 

STATUS. For the purposes of Rules 

3017, 3018 and 3021 and for receiving 

notices, an entity who is not the record 

holder of a security may file a statement 

setting forth facts which entitle that 

entity to be treated as the record holder. 

An objection to the statement may be 

filed by any party in interest. 

(d) Treating a Nonrecord Holder of a 

Security as the Record Holder. For the 

purpose of Rules 3017, 3018, and 3021 

and receiving notices, an entity that is not a 

record holder of a security may file a 

statement setting forth facts that entitle the 

entity to be treated as the record holder. A 

party in interest may file an objection to 

the statement. 

Committee Note 

The language of Rule 3003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-135
(3000 Series) 19 

ORIGINAL REVISION

Rule 3004. Filing of Claims by 

Debtor or Trustee 

Rule 3004. Proof of Claim Filed by the 

Debtor or Trustee for a Creditor 

If a creditor does not timely file a proof 

of claim under Rule 3002(c) or 3003(c), 

the debtor or trustee may file a proof of 

the claim within 30 days after the 

expiration of the time for filing claims 

prescribed by Rule 3002(c) or 3003(c), 

whichever is applicable. The clerk shall 

forthwith give notice of the filing to the 

creditor, the debtor and the trustee. 

(a) Filing by the Debtor or Trustee. If a 

creditor does not file a proof of claim 

within the time prescribed by Rule 3002(c) 

or Rule 3003(c), the debtor or trustee may 

do so within 30 days after the creditor’s 

time to file expires. 

(b) Notice by the Clerk. The clerk must 

promptly give notice of the filing to: 

 the creditor; 

 the debtor; and 

 the trustee. 

Committee Note 

The language of Rule 3004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-136
(3000 Series) 20 

ORIGINAL REVISION

Rule 3005. Filing of Claim, 

Acceptance, or Rejection by 

Guarantor, Surety, Indorser, or Other 

Codebtor 

Rule 3005. Filing a Proof of Claim or 

Accepting or Rejecting a Plan by a 

Surety, Endorser, Guarantor, or Other 

Codebtor 

(a) FILING OF CLAIM. If a creditor 

does not timely file a proof of claim 

under Rule 3002(c) or 3003(c), any entity 

that is or may be liable with the debtor 

to that creditor, or who has secured that 

creditor, may file a proof of the claim 

within 30 days after the expiration of the 

time for filing claims prescribed by Rule 

3002(c) or Rule 3003(c) whichever is 

applicable. No distribution shall be 

made on the claim except on satisfactory 

proof that the original debt will be 

diminished by the amount of 

distribution. 

(a) In General. If a creditor fails to file a 

proof of claim within the time prescribed 

by Rule 3002(c) or Rule 3003(c), it may be 

filed by an entity that, along with the 

debtor, is or may be liable to the creditor 

or has given security for the creditor’s 

debt. The entity must do so within 30 days 

after the creditor’s time to file expires. A 

distribution on such a claim may be made 

only on satisfactory proof that the 

distribution will diminish the original debt. 

(b) FILING OF ACCEPTANCE OR 

REJECTION; SUBSTITUTION OF 

CREDITOR. An entity which has filed a 

claim pursuant to the first sentence of 

subdivision (a) of this rule may file an 

acceptance or rejection of a plan in the 

name of the creditor, if known, or if 

unknown, in the entity’s own name but 

if the creditor files a proof of claim 

within the time permitted by Rule 

3003(c) or files a notice prior to 

confirmation of a plan of the creditor’s 

intention to act in the creditor’s own 

behalf, the creditor shall be substituted 

for the obligor with respect to that 

claim. 

(b) Accepting or Rejecting a Plan in a 

Creditor’s Name. An entity that has filed 

a proof of claim on a creditor’s behalf 

under (a) may accept or reject a plan in the 

creditor’s name. If the creditor’s name is 

unknown, the entity may do so in its own 

name. But the creditor must be substituted 

for the entity on that claim if the creditor: 

(1) files a proof of claim within the time 

permitted by Rule 3003(c); or 

(2) files notice, before the plan is 

confirmed, of an intent to act on the 

creditor’s own behalf. 

Committee Note 

The language of Rule 3005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-137
(3000 Series) 21 

ORIGINAL REVISION

Rule 3006. Withdrawal of Claim; 

Effect on Acceptance or Rejection of 

Plan 

Rule 3006. Withdrawing a Proof of 

Claim; Effect on a Plan 

A creditor may withdraw a claim as of 

right by filing a notice of withdrawal, 

except as provided in this rule. If after a 

creditor has filed a proof of claim an 

objection is filed thereto or a complaint 

is filed against that creditor in an 

adversary proceeding, or the creditor has 

accepted or rejected the plan or 

otherwise has participated significantly 

in the case, the creditor may not 

withdraw the claim except on order of 

the court after a hearing on notice to the 

trustee or debtor in possession, and any 

creditors’ committee elected pursuant to 

§ 705(a) or appointed pursuant to 

§ 1102 of the Code. The order of the 

court shall contain such terms and 

conditions as the court deems proper. 

Unless the court orders otherwise, an 

authorized withdrawal of a claim shall 

constitute withdrawal of any related 

acceptance or rejection of a plan. 

(a) Notice of Withdrawal; Limitations. A 

creditor may withdraw a proof of claim by 

filing a notice of withdrawal. But unless the 

court orders otherwise after notice and a 

hearing, a creditor may not withdraw a 

proof of claim if: 

(1) an objection to it has been filed; 

(2) a complaint has been filed against the 

creditor in an adversary proceeding; or 

(3) the creditor has accepted or rejected 

the plan or has participated 

significantly in the case. 

(b) Notice of the Hearing; Order 

Permitting Withdrawal. Notice of the 

hearing must be served on: 

 the trustee or debtor in possession; 

and 

 any creditors’ committee elected 

under § 705(a) or appointed under 

§ 1102. 

The court’s order permitting a creditor to 

withdraw a proof of claim may contain any 

terms and conditions the court considers 

proper.

(c) Effect of Withdrawing a Proof of 

Claim. Unless the court orders otherwise, 

an authorized withdrawal constitutes 

withdrawal of any related acceptance or 

rejection of a plan. 

Committee Note 

The language of Rule 3006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-138
(3000 Series) 22 

ORIGINAL REVISION

Rule 3007. Objections to Claims Rule 3007. Objecting to a Claim 

(a) TIME AND MANNER OF 

SERVICE. 

(1) Time of Service. An objection 

to the allowance of a claim and a notice 

of objection that substantially conforms 

to the appropriate Official Form shall be 

filed and served at least 30 days before 

any scheduled hearing on the objection 

or any deadline for the claimant to 

request a hearing. 

(2) Manner of Service. 

(A) The objection and 

notice shall be served on a claimant by 

first-class mail to the person most 

recently designated on the claimant’s 

original or amended proof of claim as 

the person to receive notices, at the 

address so indicated; and 

(i) if the 

objection is to a claim of the United 

States, or any of its officers or agencies, 

in the manner provided for service of a 

summons and complaint by Rule 

7004(b)(4) or (5); or 

(ii) if the 

objection is to a claim of an insured 

depository institution as defined in 

section 3 of the Federal Deposit 

Insurance Act, in the manner 

provided in Rule 7004(h). 

(B) Service of the 

objection and notice shall also be made 

by first-class mail or other permitted 

means on the debtor or debtor in 

possession, the trustee, and, if 

applicable, the entity filing the proof of 

claim under Rule 3005. 

(a) Time and Manner of Serving the 

Objection. 

(1) Time to Serve. An objection to a 

claim and a notice of the objection 

must be filed and served at least 30 

days before a scheduled hearing on 

the objection or any deadline for the 

claim holder to request a hearing. 

(2) Whom to Serve; Manner of Service.

(A) Serving the Claim Holder. The 

notice―substantially conforming 

to Form 420B―and objection 

must be served by mail on the 

person the claim holder most 

recently designated to receive 

notices on the claim holder’s 

original or latest amended proof of 

claim, at the address so indicated. 

If the objection is to a claim of: 

(i) the United States or one of its 

officers or agencies, service 

must also be made as if it were 

a summons and complaint 

under Rule 7004(b)(4) or (5); 

or 

(ii) an insured depository 

institution as defined in 

section 3 of the Federal 

Deposit Insurance Act, service 

must also be made under Rule 

7004(h). 

(B) Serving Others. The notice and 

objection must also be served, by 

mail (or other permitted means), 

on: 

 the debtor or debtor in 

possession; 

 the trustee; and 

 if applicable, the entity that 

filed the proof of claim 

under Rule 3005. 

Rules Appendix B-139
(3000 Series) 23 

ORIGINAL REVISION

(b) DEMAND FOR RELIEF 

REQUIRING AN ADVERSARY 

PROCEEDING. A party in interest 

shall not include a demand for relief of a 

kind specified in Rule 7001 in an 

objection to the allowance of a claim, 

but may include the objection in an 

adversary proceeding. 

(b) Demanding Relief That Requires an 

Adversary Proceeding Not Permitted.

In objecting to a claim, a party in interest 

must not include a demand for a type of 

relief specified in Rule 7001 but may 

include the objection in an adversary 

proceeding. 

(c) LIMITATION ON JOINDER OF 

CLAIMS OBJECTIONS. Unless 

otherwise ordered by the court or 

permitted by subdivision (d), objections 

to more than one claim shall not be 

joined in a single objection. 

(c) Limit on Omnibus Objections. Unless 

the court orders otherwise or (d) permits, 

objections to more than one claim may not 

be joined in a single objection. 

(d) OMNIBUS OBJECTION. Subject 

to subdivision (e), objections to more 

than one claim may be joined in an 

omnibus objection if all the claims were 

filed by the same entity, or the 

objections are based solely on the 

grounds that the claims should be 

disallowed, in whole or in part, because: 

(1) they duplicate other claims; 

(2) they have been filed in the 

wrong case; 

(3) they have been amended by 

subsequently filed proofs of claim; 

(4) they were not timely filed; 

(5) they have been satisfied or 

released during the case in accordance 

with the Code, applicable rules, or a 

court order; 

(6) they were presented in a 

form that does not comply with 

applicable rules, and the objection states 

that the objector is unable to determine 

the validity of the claim because of the 

noncompliance; 

(7) they are interests, rather than 

claims; or 

(d) Omnibus Objection. Subject to (e), 

objections to more than one claim may be 

joined in a single objection if: 

(1) all the claims were filed by the same 

entity; or 

(2) the objections are based solely on 

grounds that the claims should be 

disallowed, in whole or in part, because 

they: 

(A) duplicate other claims; 

(B) were filed in the wrong case; 

(C) have been amended by later 

proofs of claim; 

(D)were not timely filed; 

(E) have been satisfied or released 

during the case in accordance with 

the Code, applicable rules, or a 

court order; 

(F) were presented in a form that 

does not comply with applicable 

rules and the objection states that 

the objector is therefore unable to 

determine a claim’s validity; 

(G) are interests, not claims; or 

Rules Appendix B-140
(3000 Series) 24 

ORIGINAL REVISION

(8) they assert priority in an 

amount that exceeds the maximum 

amount under § 507 of the Code. 

(H) assert a priority in an amount that 

exceeds the maximum amount 

allowable under § 507. 

(e) REQUIREMENTS FOR 

OMNIBUS OBJECTION. An omnibus 

objection shall: 

(1) state in a conspicuous place 

that claimants receiving the objection 

should locate their names and claims in 

the objection; 

(2) list claimants alphabetically, 

provide a cross-reference to claim 

numbers, and, if appropriate, list 

claimants by category of claims; 

(3) state the grounds of the 

objection to each claim and provide a 

cross-reference to the pages in the 

omnibus objection pertinent to the 

stated grounds; 

(4) state in the title the identity 

of the objector and the grounds for the 

objections; 

(5) be numbered consecutively 

with other omnibus objections filed by 

the same objector; and 

(6) contain objections to no 

more than 100 claims. 

(e) Required Content of an Omnibus 

Objection. An omnibus objection must: 

(1) state in a conspicuous place that claim 

holders can find their names and 

claims in the objection; 

(2) list the claim holders alphabetically, 

provide a cross-reference to claim 

numbers, and, if appropriate, list claim 

holders by category of claims; 

(3) state for each claim the grounds for 

the objection and provide a crossreference to the pages where 

pertinent information about the 

grounds appears; 

(4) state in the title the objector’s identity 

and the grounds for the objections; 

(5) be numbered consecutively with other 

omnibus objections filed by the same 

objector; and 

(6) contain objections to no more than 

100 claims. 

(f) FINALITY OF OBJECTION. The 

finality of any order regarding a claim 

objection included in an omnibus 

objection shall be determined as though 

the claim had been subject to an 

individual objection. 

(f) Finality of an Order When Objections 

Are Joined. When objections are joined, 

the finality of an order regarding any claim 

must be determined as though the claim 

had been subject to an individual 

objection. 

Committee Note 

The language of Rule 3007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-141
(3000 Series) 25 

ORIGINAL REVISION

Rule 3008. Reconsideration of Claims Rule 3008. Reconsidering an Order 

Allowing or Disallowing a Claim 

A party in interest may move for 

reconsideration of an order allowing or 

disallowing a claim against the estate. 

The court after a hearing on notice shall 

enter an appropriate order. 

A party in interest may move to reconsider an 

order allowing or disallowing a claim. After 

notice and a hearing, the court must issue an 

appropriate order. 

Committee Note 

The language of Rule 3008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-142
(3000 Series) 26 

ORIGINAL REVISION

Rule 3009. Declaration and Payment 

of Dividends in a Chapter 7 

Liquidation Case 

Rule 3009. Chapter 7—Paying 

Dividends 

In a chapter 7 case, dividends to 

creditors shall be paid as promptly as 

practicable. Dividend checks shall be 

made payable to and mailed to each 

creditor whose claim has been allowed, 

unless a power of attorney authorizing 

another entity to receive dividends has 

been executed and filed in accordance 

with Rule 9010. In that event, dividend 

checks shall be made payable to the 

creditor and to the other entity and shall 

be mailed to the other entity. 

In a Chapter 7 case, dividends to creditors on 

claims that have been allowed must be paid as 

soon as practicable. A dividend check must be 

made payable to and mailed to the creditor. But 

if a power of attorney authorizing another entity 

to receive payment has been filed under 

Rule 9010, the check must be: 

(a) made payable to both the creditor and the 

other entity; and 

(b) mailed to the other entity. 

Committee Note 

The language of Rule 3009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-143
(3000 Series) 27 

ORIGINAL REVISION

Rule 3010. Small Dividends and 

Payments in Cases Under Chapter 7, 

Subchapter V of Chapter 11, Chapter 

12, and Chapter 13 

Rule 3010. Chapter 7, Subchapter V 

of Chapter 11, Chapter 12, and 

Chapter 13— Limits on Small 

Dividends and Payments 

(a) CHAPTER 7 CASES. In a chapter 7 

case no dividend in an amount less than 

$5 shall be distributed by the trustee to 

any creditor unless authorized by local 

rule or order of the court. Any dividend 

not distributed to a creditor shall be 

treated in the same manner as 

unclaimed funds as provided in § 347 of 

the Code. 

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

must not distribute to a creditor any 

dividend less than $5 unless authorized to 

do so by local rule or court order. A 

dividend not distributed must be treated in 

the same manner as unclaimed funds under 

§ 347. 

(b) CASES UNDER SUBCHAPTER 

V OF CHAPTER 11, CHAPTER 12, 

AND CHAPTER 13. In a case under 

subchapter V of chapter 11, chapter 12, 

or chapter 13, no payment in an 

amount less than $15 shall be 

distributed by the trustee to any 

creditor unless authorized by local rule 

or order of the court. Funds not 

distributed because of this subdivision 

shall accumulate and shall be paid 

whenever the accumulation aggregates 

$15. Any funds remaining shall be 

distributed with the final payment. 

(b) Subchapter V of Chapter 11, Chapter 

12, and Chapter 13. In a case under 

Subchapter V of Chapter 11, or under 

Chapter 12 or 13, the trustee must not 

distribute to a creditor any payment less 

than $15 unless authorized to do so by 

local rule or court order. Distribution 

must be made when accumulated funds 

total $15 or more. Any remaining funds 

must be distributed with the final 

payment. 

Committee Note 

The language of Rule 3010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-144
(3000 Series) 28 

ORIGINAL1 REVISION

Rule 3011. Unclaimed Funds in 

Cases Under Chapter 7, Subchapter 

V of Chapter 11, Chapter 12, and 

Chapter 13 

Rule 3011. Chapter 7, Subchapter V of 

Chapter 11, Chapter 12, and Chapter 

13—Listing Unclaimed Funds 

(a) The trustee shall file a list of all 

known names and addresses of the 

entities and the amounts which they are 

entitled to be paid from remaining 

property of the estate that is paid into 

court pursuant to § 347 of the Code. 

(b) On the court’s website, the clerk 

must provide searchable access to 

information about funds deposited 

under § 347(a). The court may, for 

cause, limit access to information about 

funds in a specific case. 

(a) Filing the List. The trustee must: 

(1) file a list of the known names and 

addresses of entities entitled to 

payment from any remaining property 

of the estate that is paid into court 

under § 347(a); and 

(2) include the amount due each entity. 

(b) Making the Information Searchable.

On the court’s website, the clerk must 

provide searchable access to information 

about funds deposited under § 347(a). The 

court may, for cause, limit access to that 

information in a specific case. 

Committee Note 

The language of Rule 3011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

1

 Rule 3011 original text shows changes on track to go into effect on December 1, 2023. 

Rules Appendix B-145
(3000 Series) 29 

ORIGINAL REVISION

Rule 3012. Determining the Amount 

of Secured and Priority Claims 

Rule 3012. Determining the Amount 

of a Secured or Priority Claim 

(a) DETERMINATION OF 

AMOUNT OF CLAIM. On request 

by a party in interest and after notice—

to the holder of the claim and any 

other entity the court designates—and 

a hearing, the court may determine: 

(1) the amount of a secured 

claim under § 506(a) of the Code; or 

(2) the amount of a claim 

entitled to priority under § 507 of the 

Code. 

(a) In General. On a party in interest’s 

request, after notice and a hearing, the 

court may determine the amount of a 

secured claim under § 506(a) or the amount 

of a priority claim under § 507. The notice 

must be served on: 

 the claim holder; and 

 any other entity the court designates. 

(b) REQUEST FOR 

DETERMINATION; HOW MADE. 

Except as provided in subdivision (c), a 

request to determine the amount of a 

secured claim may be made by motion, 

in a claim objection, or in a plan filed in 

a chapter 12 or chapter 13 case. When 

the request is made in a chapter 12 or 

chapter 13 plan, the plan shall be served 

on the holder of the claim and any other 

entity the court designates in the manner 

provided for service of a summons and 

complaint by Rule 7004. A request to 

determine the amount of a claim entitled 

to priority may be made only by motion 

after a claim is filed or in a claim 

objection. 

(b) Determining the Amount of a Claim. 

(1) Secured Claim. Except as provided in 

(c), a request to determine the amount 

of a secured claim may be made by 

motion, in an objection to a claim, or 

in a plan filed in a Chapter 12 or 13 

case. If the request is included in a 

plan, a copy of the plan must be 

served on the claim holder and any 

other entity the court designates as if it 

were a summons and complaint under 

Rule 7004. 

(2) Priority Claim. A request to 

determine the amount of a priority 

claim may be made only by motion 

after the claim is filed or in an 

objection to the claim. 

(c) CLAIMS OF GOVERNMENTAL 

UNITS. A request to determine the 

amount of a secured claim of a 

governmental unit may be made only by 

motion or in a claim objection after the 

governmental unit files a proof of claim 

or after the time for filing one under 

Rule 3002(c)(1) has expired. 

(c) Governmental Unit’s Secured Claim. A 

request to determine the amount of a 

governmental unit’s secured claim may be 

made only by motion―or in an objection 

to a claim―filed after: 

(1) the governmental unit has filed the 

proof of claim; or 

(2) the time to file it under Rule 3002(c)(1) 

has expired. 

Rules Appendix B-146
(3000 Series) 30 

Committee Note 

The language of Rule 3012 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-147
(3000 Series) 31 

ORIGINAL REVISION

Rule 3013. Classification of Claims 

and Interests 

Rule 3013. Determining Classes of 

Creditors and Equity Security 

Holders 

For the purposes of the plan and its 

acceptance, the court may, on motion 

after hearing on notice as the court may 

direct, determine classes of creditors and 

equity security holders pursuant to 

§§ 1122, 1222(b)(1), and 1322(b)(1) of 

the Code. 

For purposes of a plan and its acceptance, the 

court may―on motion after hearing on notice 

as the court orders―determine classes of 

creditors and equity security holders under 

§§ 1122, 1222(b)(1), and 1322(b)(1). 

Committee Note 

The language of Rule 3013 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-148
(3000 Series) 32 

ORIGINAL REVISION

Rule 3014. Election Under § 1111(b) 

by Secured Creditor in Chapter 9 

Municipality or Chapter 11 

Reorganization Case 

Rule 3014. Chapter 9 or 11—Secured 

Creditors’ Election to Apply § 1111(b) 

An election of application of 

§ 1111(b)(2) of the Code by a class of 

secured creditors in a chapter 9 or 11 

case may be made at any time prior to 

the conclusion of the hearing on the 

disclosure statement or within such 

later time as the court may fix. If the 

disclosure statement is conditionally 

approved pursuant to Rule 3017.1, and 

a final hearing on the disclosure 

statement is not held, the election of 

application of § 1111(b)(2) may be 

made not later than the date fixed 

pursuant to Rule 3017.1(a)(2) or 

another date the court may fix. In a 

case under subchapter V of chapter 11 

in which § 1125 of the Code does not 

apply, the election may be made not 

later than a date the court may fix. The 

election shall be in writing and signed 

unless made at the hearing on the 

disclosure statement. The election, if 

made by the majorities required by 

§ 1111(b)(1)(A)(i), shall be binding on 

all members of the class with respect to 

the plan. 

(a) Time for an Election. 

(1) Chapter 9 or 11. In a Chapter 9 or 11 

case, before a hearing on the 

disclosure statement concludes, a 

class of secured creditors may elect to 

apply § 1111(b)(2). If the disclosure 

statement is conditionally approved 

under Rule 3017.1 and a final hearing 

on it is not held, the election must be 

made within the time provided in 

Rule 3017.1(a)(2). In either situation, 

the court may set another time for 

the election. 

(2) Subchapter V of Chapter 11. In a 

case under Subchapter V of Chapter 

11 in which § 1125 does not apply, 

the election may be made no later 

than a date the court sets. 

(b) Signed Writing; Binding Effect. The 

election must be made in writing and 

signed, unless made at the hearing on the 

disclosure statement. An election made by 

the majorities required by 

§ 1111(b)(1)(A)(i) is binding on all 

members of the class. 

Committee Note 

The language of Rule 3014 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-149
(3000 Series) 33 

ORIGINAL REVISION

Rule 3015. Filing, Objection to 

Confirmation, Effect of 

Confirmation, and Modification of a 

Plan in a Chapter 12 or a Chapter 13 

Case 

Rule 3015. Chapter 12 or 13—Time to 

File a Plan; Nonstandard Provisions; 

Objection to Confirmation; Effect of 

Confirmation; Modifying a Plan 

(a) FILING A CHAPTER 12 PLAN. 

The debtor may file a chapter 12 plan 

with the petition. If a plan is not filed 

with the petition, it shall be filed within 

the time prescribed by § 1221 of the 

Code. 

(a) Time to File a Chapter 12 Plan. The 

debtor must file a Chapter 12 plan: 

(1) with the petition; or 

(2) within the time prescribed by § 1221. 

(b) FILING A CHAPTER 13 PLAN. 

The debtor may file a chapter 13 plan 

with the petition. If a plan is not filed 

with the petition, it shall be filed within 

14 days thereafter, and such time may 

not be further extended except for cause 

shown and on notice as the court may 

direct. If a case is converted to chapter 

13, a plan shall be filed within 14 days 

thereafter, and such time may not be 

further extended except for cause shown 

and on notice as the court may direct. 

(b) Time to File a Chapter 13 Plan. 

(1) In General. The debtor must file a 

Chapter 13 plan with the petition or 

within 14 days after the petition is 

filed. The time to file must not be 

extended except for cause and on 

notice as the court orders. 

(2) Case Converted to Chapter 13. If a 

case is converted to Chapter 13, the 

plan must be filed within 14 days after 

conversion. The time must not be 

extended except for cause and on 

notice as the court orders. 

(c) FORM OF CHAPTER 13 PLAN. If 

there is an Official Form for a plan filed 

in a chapter 13 case, that form must be 

used unless a Local Form has been 

adopted in compliance with Rule 3015.1. 

With either the Official Form or a Local 

Form, a nonstandard provision is 

effective only if it is included in a section 

of the form designated for nonstandard 

provisions and is also identified in 

accordance with any other requirements 

of the form. As used in this rule and the 

Official Form or a Local Form, 

‘‘nonstandard provision’’ means a 

provision not otherwise included in the 

Official or Local Form or deviating 

from it. 

(c) Form of a Chapter 13 Plan. 

(1) In General. In filing a Chapter 13 

plan, the debtor must use Form 113, 

unless the court has adopted a local 

form under Rule 3015.1. 

(2) Nonstandard Provision. With either 

form, a nonstandard provision is 

effective only if it is included in the 

section of the form that is designated 

for nonstandard provisions and is 

identified in accordance with any other 

requirements of the form. A 

nonstandard provision is one that is 

not included in the form or deviates 

from it. 

Rules Appendix B-150
(3000 Series) 34 

ORIGINAL REVISION

(d) NOTICE. If the plan is not included 

with the notice of the hearing on 

confirmation mailed under Rule 2002, 

the debtor shall serve the plan on the 

trustee and all creditors when it is filed 

with the court. 

(d) Serving a Copy of the Plan. If the 

plan was not included with the notice of 

a confirmation hearing mailed under 

Rule 2002, the debtor must serve the 

plan on the trustee and creditors when it 

is filed. 

(e) TRANSMISSION TO UNITED 

STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States 

trustee a copy of the plan and any 

modification thereof filed under 

subdivision (a) or (b) of this rule. 

(e) Copy to the United States Trustee. The 

clerk must promptly send to the United 

States trustee a copy of any plan filed under 

(a) or (b) or any modification of it. 

(f) OBJECTION TO 

CONFIRMATION; 

DETERMINATION OF GOOD 

FAITH IN THE ABSENCE OF AN 

OBJECTION. An objection to 

confirmation of a plan shall be filed and 

served on the debtor, the trustee, and 

any other entity designated by the court, 

and shall be transmitted to the United 

States trustee, at least seven days before 

the date set for the hearing on 

confirmation, unless the court orders 

otherwise. An objection to confirmation 

is governed by Rule 9014. If no 

objection is timely filed, the court may 

determine that the plan has been 

proposed in good faith and not by any 

means forbidden by law without 

receiving evidence on such issues. 

(f) Objection to Confirmation; 

Determining Good Faith When No 

Objection is Filed. 

(1) Serving an Objection. An entity that 

objects to a plan’s confirmation must 

file and serve the objection on the 

debtor, trustee, and any other entity 

the court designates, and must send a 

copy to the United States trustee. 

Unless the court orders otherwise, the 

objection must be filed, served, and 

sent at least 7 days before the date set 

for the confirmation hearing. The 

objection is governed by Rule 9014. 

(2) When No Objection Is Filed. If no 

objection is timely filed, the court may, 

without receiving evidence, determine 

that the plan has been proposed in 

good faith and not by any means 

forbidden by law.

(g) EFFECT OF CONFIRMATION. 

Upon the confirmation of a chapter 12 

or chapter 13 plan: 

(1) any determination in the plan 

made under Rule 3012 about the 

amount of a secured claim is binding on 

the holder of the claim, even if the 

holder files a contrary proof of claim or 

the debtor schedules that claim, and 

regardless of whether an objection to 

(g) Effect of Confirmation of a Chapter 12 

or 13 Plan on the Amount of a Secured 

Claim; Terminating the Stay. 

(1) Secured Claim. When a plan is 

confirmed, the amount of a secured 

claim—determined in the plan under 

Rule 3012—becomes binding on the 

claim holder. That is the effect even if 

the holder files a contrary proof of 

claim, the debtor 

Rules Appendix B-151
(3000 Series) 35 

ORIGINAL REVISION

the claim has been filed; and 

(2) any request in the plan to 

terminate the stay imposed by § 362(a), § 

1201(a), or § 1301(a) is granted. 

schedules that claim, or an objection 

to the claim is filed. 

(2) Terminating the Stay. When a plan 

is confirmed, a request in the plan to 

terminate the stay imposed under 

§ 362(a), § 1201(a), or § 1301(a) is 

granted. 

(h) MODIFICATION OF PLAN 

AFTER CONFIRMATION. A request 

to modify a plan under § 1229 or § 1329 

of the Code shall identify the proponent 

and shall be filed together with the 

proposed modification. The clerk, or 

some other person as the court may 

direct, shall give the debtor, the trustee, 

and all creditors not less than 21 days’ 

notice by mail of the time fixed for filing 

objections and, if an objection is filed, 

the hearing to consider the proposed 

modification, unless the court orders 

otherwise with respect to creditors who 

are not affected by the proposed 

modification. A copy of the notice shall 

be transmitted to the United States 

trustee. A copy of the proposed 

modification, or a summary thereof, 

shall be included with the notice. Any 

objection to the proposed modification 

shall be filed and served on the debtor, 

the trustee, and any other entity 

designated by the court, and shall be 

transmitted to the United States trustee. 

An objection to a proposed 

modification is governed by Rule 9014. 

(h) Modifying a Plan After It Is Confirmed. 

(1) Request to Modify a Plan After It Is 

Confirmed. A request to modify a 

confirmed plan under § 1229 or § 1329 

must identify the proponent and 

include the proposed modification. 

Unless the court orders otherwise for 

creditors not affected by the 

modification, the clerk or the court’s 

designee must: 

(A) give the debtor, trustee, and 

creditors at least 21 days’ notice, by 

mail, of the time to file objections 

and the date of any hearing; 

(B) send a copy of the notice to the 

United States trustee; and 

(C) include a copy or summary of the 

modification. 

(2) Objecting to a Modification.

Rule 9014 governs an objection to a 

proposed modification. An objection 

must be filed and served on:

 the debtor; 

 the trustee; and 

 any other entity the court 

designates. 

A copy must also be sent to the United 

States trustee. 

Committee Note 

The language of Rule 3015 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-152
(3000 Series) 36 

ORIGINAL REVISION

Rule 3015.1. Requirements for a 

Local Form for Plans Filed in a 

Chapter 13 Case 

Rule 3015.1 Requirements for a Local 

Form for a Chapter 13 Plan 

Notwithstanding Rule 9029(a)(1), a 

district may require that a Local Form 

for a plan filed in a chapter 13 case be 

used instead of an Official Form 

adopted for that purpose if the 

following conditions are satisfied: 

(a) a single Local Form is 

adopted for the district after public 

notice and an opportunity for 

public comment; 

(b) each paragraph is numbered 

and labeled in boldface type with a 

heading stating the general subject 

matter of the paragraph; 

(c) the Local Form includes an 

initial paragraph for the debtor to 

indicate that the plan does or does not: 

(1) contain any 

nonstandard provision; 

(2) limit the amount of a 

secured claim based on a valuation of 

the collateral for the claim; or 

(3) avoid a security 

interest or lien; 

(d) the Local Form contains 

separate paragraphs for: 

(1) curing any default 

and maintaining payments on a claim 

secured by the debtor’s principal 

residence; 

(2) paying a domesticsupport obligation; 

(3) paying a claim 

described in the final paragraph of 

§ 1325(a) of the Bankruptcy Code; 

and 

(4) surrendering property 

that secures a claim with a request that 

As an exception to Rule 9029(a)(1), a district 

may require that a single local form be used for 

a Chapter 13 plan instead of Form 113 if it: 

(a) is adopted for the district after public 

notice and an opportunity for comment; 

(b) numbers and labels each paragraph in 

boldface type with a heading that states its 

general subject matter; 

(c) includes an opening paragraph for the 

debtor to indicate that the plan does or 

does not: 

(1) contain a nonstandard provision; 

(2) limit the amount of a secured claim 

based on a valuation of the collateral; 

or 

(3) avoid a security interest or lien; 

(d) contains separate paragraphs relating to: 

(1) curing any default and maintaining 

payments on a claim secured by the 

debtor’s principal residence; 

(2) paying a domestic support obligation; 

(3) paying a claim described in the final 

paragraph of § 1325(a); and 

(4) surrendering property that secures a 

claim and requesting that the stay 

under § 362(a) or 1301(a) related to 

the property be terminated; and 

(e) contains a final paragraph providing a 

place for: 

(1) nonstandard provisions as defined in 

Rule 3015(c), with a warning that any 

nonstandard provision placed 

elsewhere is void; and 

Rules Appendix B-153
(3000 Series) 37 

ORIGINAL REVISION

the stay under §§ 362(a) and 1301(a) be 

terminated as to the surrendered 

collateral; and 

(e) the Local Form contains a 

final paragraph for: 

(1) the placement of 

nonstandard provisions, as defined in 

Rule 3015(c), along with a statement that 

any nonstandard provision placed 

elsewhere in the plan is void; and 

(2) certification by the 

debtor’s attorney or by an unrepresented 

debtor that the plan contains no 

nonstandard provision other than those 

set out in the final paragraph. 

(2) a certification by the debtor’s 

attorney, or by an unrepresented 

debtor, that the plan does not contain 

any nonstandard provision except as 

set out in the final paragraph. 

Committee Note 

The language of Rule 3015.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-154
(3000 Series) 38 

ORIGINAL REVISION

Rule 3016. Filing of Plan and 

Disclosure Statement in a Chapter 9 

Municipality or Chapter 11 

Reorganization Case 

Rule 3016. Chapter 9 or 11—Plan and 

Disclosure Statement 

(a) IDENTIFICATION OF PLAN. 

Every proposed plan and any 

modification thereof shall be dated and, 

in a chapter 11 case, identified with the 

name of the entity or entities submitting 

or filing it. 

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

every proposed plan or modification must 

be dated. In a Chapter 11 case, the plan or 

modification must also name the entity or 

entities proposing or filing it. 

(b) DISCLOSURE STATEMENT. In a 

chapter 9 or 11 case, a disclosure 

statement, if required under § 1125 of 

the Code, or evidence showing 

compliance with § 1126(b) shall be filed 

with the plan or within a time fixed by 

the court, unless the plan is intended to 

provide adequate information under 

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

provide adequate information under 

§ 1125(f)(1), it shall be so designated, 

and Rule 3017.1 shall apply as if the 

plan is a disclosure statement. 

(b) Filing a Disclosure Statement. 

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

unless (2) applies, the disclosure 

statement, if required by § 1125―or 

evidence showing compliance with 

§ 1126(b)―must be filed with the plan 

or at another time set by the court. 

(2) Providing Information Under 

§ 1125(f)(1). A plan intended to 

provide adequate information under 

§ 1125(f)(1) must be so designated. 

Rule 3017.1 then applies as if the plan 

were a disclosure statement.

(c) INJUNCTION UNDER A PLAN. 

If a plan provides for an injunction 

against conduct not otherwise enjoined 

under the Code, the plan and disclosure 

statement shall describe in specific and 

conspicuous language (bold, italic, or 

underlined text) all acts to be enjoined 

and identify the entities that would be 

subject to the injunction. 

(c) Injunction in a Plan. If the plan provides 

for an injunction against conduct not 

otherwise enjoined by the Code, the plan 

and disclosure statement must: 

(1) describe in specific and conspicuous 

language (bold, italic, or underlined 

text) all acts to be enjoined; and 

(2) identify the entities that would be 

subject to the injunction. 

(d) STANDARD FORM SMALL 

BUSINESS DISCLOSURE 

STATEMENT AND PLAN. In a small 

business case or a case under 

subchapter V of chapter 11, the court 

may approve a disclosure statement and 

may confirm a plan that conform 

substantially to the appropriate Official 

Forms or other standard forms 

approved by the court. 

(d) Form of a Disclosure Statement and 

Plan in a Small Business Case or a Case 

Under Subchapter V of Chapter 11. In a 

small business case or a case under 

Subchapter V of Chapter 11, the court may 

approve a disclosure statement that 

substantially conforms to Form 425B and 

confirm a plan that substantially conforms 

to Form 425A—or, in either instance, to a 

standard form approved by the court. 

Rules Appendix B-155
(3000 Series) 39 

Committee Note 

The language of Rule 3016 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-156
(3000 Series) 40 

ORIGINAL REVISION

Rule 3017. Court Consideration of 

Disclosure Statement in a Chapter 9 

Municipality or Chapter 11 

Reorganization Case 

Rule 3017. Chapter 9 or 11—Hearing 

on a Disclosure Statement and Plan 

(a) HEARING ON DISCLOSURE 

STATEMENT AND OBJECTIONS. 

Except as provided in Rule 3017.1, after 

a disclosure statement is filed in 

accordance with Rule 3016(b), the court 

shall hold a hearing on at least 28 days’ 

notice to the debtor, creditors, equity 

security holders and other parties in 

interest as provided in Rule 2002 to 

consider the disclosure statement and 

any objections or modifications thereto. 

The plan and the disclosure statement 

shall be mailed with the notice of the 

hearing only to the debtor, any trustee 

or committee appointed under the 

Code, the Securities and Exchange 

Commission and any party in interest 

who requests in writing a copy of the 

statement or plan. Objections to the 

disclosure statement shall be filed and 

served on the debtor, the trustee, any 

committee appointed under the Code, 

and any other entity designated by the 

court, at any time before the disclosure 

statement is approved or by an earlier 

date as the court may fix. In a chapter 

11 reorganization case, every notice, 

plan, disclosure statement, and 

objection required to be served or 

mailed pursuant to this subdivision shall 

be transmitted to the United States 

trustee within the time provided in this 

subdivision. 

(a) Hearing on a Disclosure Statement; 

Objections. 

(1) Notice and Hearing.

(A) Notice. Except as provided in Rule 

3017.1 for a small business case, 

the court must hold a hearing on a 

disclosure statement filed under 

Rule 3016(b) and any objection or 

modification to it. The hearing 

must be held on at least 28 days’ 

notice under Rule 2002(b) to: 

 the debtor; 

 creditors; 

 equity security holders; and 

 other parties in interest. 

(B) Limit on Sending the Plan and 

Disclosure Statement. A copy of the 

plan and disclosure statement must 

be mailed with the notice of a 

hearing to: 

 the debtor; 

 any trustee or appointed 

committee; 

 the Securities and Exchange 

Commission; and 

 any party in interest that, in 

writing, requests a copy of 

the disclosure statement or 

plan. 

Rules Appendix B-157
(3000 Series) 41 

ORIGINAL REVISION

(2) Objecting to a Disclosure 

Statement. An objection to a 

disclosure statement must be filed and 

served before the disclosure statement 

is approved or by an earlier date the 

court sets. The objection must be 

served on: 

 the debtor; 

 the trustee; 

 any appointed committee; and 

 any other entity the court 

designates. 

(3) Chapter 11—Copies to the United 

States Trustee. In a Chapter 11 case, 

a copy of every item required to be 

served or mailed under this 

Rule 3017(a) must also be sent to the 

United States trustee within the 

prescribed time. 

(b) DETERMINATION ON 

DISCLOSURE STATEMENT. 

Following the hearing the court shall 

determine whether the disclosure 

statement should be approved. 

(b) Court Ruling on the Disclosure 

Statement. After the hearing, the court 

must determine whether the disclosure 

statement should be approved. 

(c) DATES FIXED FOR VOTING 

ON PLAN AND CONFIRMATION. 

On or before approval of the disclosure 

statement, the court shall fix a time 

within which the holders of claims and 

interests may accept or reject the plan 

and may fix a date for the hearing on 

confirmation. 

(c) Time to Accept or Reject a Plan and for 

the Confirmation Hearing. At the time or 

before the disclosure statement is 

approved, the court: 

(1) must set a deadline for the holders of 

claims and interests to accept or reject 

the plan; and 

(2) may set a date for a confirmation 

hearing. 

Rules Appendix B-158
(3000 Series) 42 

ORIGINAL REVISION

(d) TRANSMISSION AND NOTICE 

TO UNITED STATES TRUSTEE, 

CREDITORS, AND EQUITY 

SECURITY HOLDERS. Upon 

approval of a disclosure statement,—2

except to the extent that the court 

orders otherwise with respect to one or 

more unimpaired classes of creditors or 

equity security holders—the debtor in 

possession, trustee, proponent of the 

plan, or clerk as the court orders shall 

mail to all creditors and equity security 

holders, and in a chapter 11 

reorganization case shall transmit to the 

United States trustee, 

(1) the plan or a court-approved 

summary of the plan; 

(2) the disclosure statement 

approved by the court; 

(3) notice of the time within 

which acceptances and rejections of the 

plan may be filed; and 

(4) any other information as the 

court may direct, including any court 

opinion approving the disclosure 

statement or a court-approved summary 

of the opinion. 

In addition, notice of the time fixed for 

filing objections and the hearing on 

confirmation shall be mailed to all 

creditors and equity security holders in 

accordance with Rule 2002(b), and a 

form of ballot conforming to the 

appropriate Official Form shall be mailed 

to creditors and equity security holders 

entitled to vote on the plan. If the court 

opinion is not transmitted or only a 

summary of the plan is transmitted, the 

(d) Hearing on Confirmation. 

(1) Sending the Plan and Related 

Documents. 

(A) In General. After the disclosure 

statement has been approved, the 

court must order the debtor in 

possession, the trustee, the plan 

proponent, or the clerk to mail 

the following items to creditors 

and equity security holders and, 

in a Chapter 11 case, to send a 

copy of each to the United States 

trustee: 

(i) the court-approved disclosure 

statement; 

(ii) the plan or a court-approved 

summary of it; 

(iii) a notice of the time to file 

acceptances and rejections of 

the plan; and 

(iv) any other information as the 

court orders—including any 

opinion approving the 

disclosure statement or a 

court-approved summary of 

the opinion. 

(B) Exception. The court may vary the 

requirements for an unimpaired 

class of creditors or equity security 

holders. 

2 So in original. The comma probably should not appear. 

Rules Appendix B-159
(3000 Series) 43 

ORIGINAL REVISION

court opinion or the plan shall be 

provided on request of a party in 

interest at the plan proponent’s expense. 

If the court orders that the disclosure 

statement and the plan or a summary of 

the plan shall not be mailed to any 

unimpaired class, notice that the class is 

designated in the plan as unimpaired 

and notice of the name and address of 

the person from whom the plan or 

summary of the plan and disclosure 

statement may be obtained upon 

request and at the plan proponent’s 

expense, shall be mailed to members of 

the unimpaired class together with the 

notice of the time fixed for filing 

objections to and the hearing on 

confirmation. For the purposes of this 

subdivision, creditors and equity 

security holders shall include holders of 

stock, bonds, debentures, notes, and 

other securities of record on the date the 

order approving the disclosure 

statement is entered or another date 

fixed by the court, for cause, after 

notice and a hearing. 

(2) Time to Object to a Plan; Notice of 

the Confirmation Hearing. Notice 

of the time to file an objection to a 

plan’s confirmation and the date of the 

hearing on confirmation must be 

mailed to creditors and equity security 

holders in accordance with 

Rule 2002(b). A ballot that conforms 

to Form 314 must also be mailed to 

creditors and equity security holders 

who are entitled to vote on the plan. If 

the court’s opinion is not sent (or only 

a summary of the plan was sent), a 

party in interest may request a copy of 

the opinion or plan, which must be 

provided at the plan proponent’s 

expense. 

(3) Notice to Unimpaired Classes. If 

the court orders that the disclosure 

statement and plan (or the plan 

summary) not be mailed to an 

unimpaired class, a notice that the 

class has been designated as 

unimpaired must be mailed to the 

class members. The notice must 

show: 

(A) the name and address of the 

person from whom the plan (or 

summary) and the disclosure 

statement may be obtained at the 

plan proponent’s expense; 

(B) the time to file an objection to the 

plan’s confirmation; and 

(C) the date of the confirmation 

hearing. 

Rules Appendix B-160
(3000 Series) 44 

ORIGINAL REVISION

 (4) Definition of “Creditors” and 

“Equity Security Holders.” In this 

Rule 3017(d), “creditors” and “equity 

security holders” include record 

holders of stock, bonds, debentures, 

notes, and other securities on the date 

the order approving the disclosure 

statement is entered—or another date 

the court sets for cause and after 

notice and a hearing.

(e) TRANSMISSION TO 

BENEFICIAL HOLDERS OF 

SECURITIES. At the hearing held 

pursuant to subdivision (a) of this rule, 

the court shall consider the procedures 

for transmitting the documents and 

information required by subdivision (d) 

of this rule to beneficial holders of 

stock, bonds, debentures, notes, and 

other securities, determine the adequacy 

of the procedures, and enter any orders 

the court deems appropriate. 

(e) Procedure for Sending Information to 

Beneficial Holders of Securities. At the 

hearing under (a), the court must: 

(1) determine the adequacy of the 

procedures for sending the documents 

and information listed in (d)(1) to 

beneficial holders of stock, bonds, 

debentures, notes, and other securities; 

and 

(2) issue any appropriate orders. 

(f) NOTICE AND TRANSMISSION 

OF DOCUMENTS TO ENTITIES 

SUBJECT TO AN INJUNCTION 

UNDER A PLAN. If a plan provides 

for an injunction against conduct not 

otherwise enjoined under the Code and 

an entity that would be subject to the 

injunction is not a creditor or equity 

security holder, at the hearing held 

under Rule 3017(a), the court shall 

consider procedures for providing the 

entity with: 

(1) at least 28 days’ notice of the 

time fixed for filing objections and the 

hearing on confirmation of the plan 

containing the information described in 

Rule 2002(c)(3); and to the extent 

feasible, a copy of the plan and 

disclosure statement. 

(f) Sending Information to Entities Subject 

to an Injunction. 

(1) Timing of the Notice. This 

Rule 3017(f) applies if, under a plan, 

an entity that is not a creditor or 

equity security holder is subject to an 

injunction against conduct not 

otherwise enjoined by the Code. At 

the hearing under (a), the court must 

consider procedures to provide the 

entity with at least 28 days’ notice of: 

(A) the time to file an objection; and 

(B) the date of the confirmation 

hearing. 

(2) Content of the Notice. The notice 

must: 

(A) provide the information required 

by Rule 2002(c)(3); and 

(B) if feasible, include a copy of the 

plan and disclosure statement. 

Rules Appendix B-161
(3000 Series) 45 

Committee Note 

The language of Rule 3017 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-162
(3000 Series) 46 

ORIGINAL REVISION

Rule 3017.1. Court Consideration of 

Disclosure Statement in a Small 

Business Case or in a Case Under 

Subchapter V of Chapter 11 

Rule 3017.1. Disclosure Statement in a 

Small Business Case or a Case Under 

Subchapter V of Chapter 11 

(a) CONDITIONAL APPROVAL OF 

DISCLOSURE STATEMENT. In a 

small business case or in a case under 

subchapter V of chapter 11 in which 

the court has ordered that § 1125 

applies, the court may, on application 

of the plan proponent or on its own 

initiative, conditionally approve a 

disclosure statement filed in accordance 

with Rule 3016. On or before 

conditional approval of the disclosure 

statement, the court shall: 

(1) fix a time within which the 

holders of claims and interests may 

accept or reject the plan; 

(2) fix a time for filing objections 

to the disclosure statement; 

(3) fix a date for the hearing on 

final approval of the disclosure 

statement to be held if a timely objection 

is filed; and 

(4) fix a date for the hearing on 

confirmation. 

(a) Conditionally Approving a Disclosure 

Statement. This section (a) applies in a 

small business case or in a case under 

Subchapter V of Chapter 11 in which the 

court has ordered that § 1125 applies. The 

court may, on motion of the plan 

proponent or on its own, conditionally 

approve a disclosure statement filed under 

Rule 3016. On or before doing so, the 

court must: 

(1) set the time within which the claim 

holders and interest holders may 

accept or reject the plan; 

(2) set the time to file an objection to the 

disclosure statement; 

(3) if a timely objection is filed, set the 

date to hold the hearing on final 

approval of the disclosure statement; 

and 

(4) set a date for the confirmation hearing. 

(b) APPLICATION OF RULE 3017. 

Rule 3017(a), (b), (c), and (e) do not 

apply to a conditionally approved 

disclosure statement. Rule 3017(d) 

applies to a conditionally approved 

disclosure statement, except that 

conditional approval is considered 

approval of the disclosure statement for 

the purpose of applying Rule 3017(d). 

 (b) Effect of a Conditional Approval. 

Rule 3017(a)–(c) and (e) do not apply to a 

conditionally approved disclosure 

statement. But conditional approval is 

considered approval in applying 

Rule 3017(d).

Rules Appendix B-163
(3000 Series) 47 

ORIGINAL REVISION

(c) FINAL APPROVAL. 

(1) Notice. Notice of the time 

fixed for filing objections and the 

hearing to consider final approval of 

the disclosure statement shall be given 

in accordance with Rule 2002 and may 

be combined with notice of the hearing 

on confirmation of the plan.

(2) Objections. Objections to the 

disclosure statement shall be filed, 

transmitted to the United States trustee, 

and served on the debtor, the trustee, 

any committee appointed under the 

Code and any other entity designated by 

the court at any time before final 

approval of the disclosure statement or 

by an earlier date as the court may fix. 

(3) Hearing. If a timely objection 

to the disclosure statement is filed, the 

court shall hold a hearing to consider 

final approval before or combined with 

the hearing on confirmation of the 

plan. 

(c) Time to File an Objection; Date of a 

Hearing. 

(1) Notice. Notice must be given under 

Rule 2002(b) of the time to file an 

objection and the date of a hearing to 

consider final approval of the 

disclosure statement. The notice may 

be combined with notice of the 

confirmation hearing.

(2) Time to File an Objection to 

the Disclosure Statement. An 

objection to the disclosure 

statement must be filed before it is 

finally approved or by an earlier 

date set by the court. The 

objection must be served on:

 the debtor; 

 the trustee; 

 any appointed committee; and 

 any other entity the court 

designates. 

A copy must also be sent to the United 

States trustee. 

(3) Hearing on an Objection to the 

Disclosure Statement. If a timely 

objection to the disclosure statement is 

filed, the court must hold a hearing on 

final approval either before or 

combined with the confirmation 

hearing. 

Committee Note 

The language of Rule 3017.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-164
(3000 Series) 48 

ORIGINAL REVISION

Rule 3017.2. Fixing of Dates by the 

Court in Subchapter V Cases in Which 

There Is No Disclosure Statement

Rule 3017.2. Setting Dates in a Case 

Under Subchapter V of Chapter 11 in 

Which There Is No Disclosure 

Statement

In a case under subchapter V of chapter 

11 in which § 1125 does not apply, the 

court shall: 

 (a) fix a time within which the 

holders of claims and interests may accept 

or reject the plan; 

 (b) fix a date on which an 

equity security holder or creditor whose 

claim is based on a security must be the 

holder of record of the security in order 

to be eligible to accept or reject the plan; 

 (c) fix a date for the hearing 

on confirmation; and 

 (d) fix a date for transmitting 

the plan, notice of the time within 

which the holders of claims and 

interests may accept or reject it, and 

notice of the date for the hearing on 

confirmation. 

In a case under Subchapter V of Chapter 11 in 

which § 1125 does not apply, the court must set: 

(a) a time within which the holders of 

claims and interests may accept or reject 

the plan; 

(b) a date on which an equity security 

holder or a creditor whose claim is 

based on a security must be the record 

holder of the security in order to be 

eligible to accept or reject the plan; 

(c) a date for the hearing on confirmation; 

and 

(d) a date for sending the plan, notice of 

the time within which the holders of 

claims and interests may accept or 

reject it, and notice of the date for the 

hearing on confirmation. 

Committee Note 

The language of Rule 3017.2 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-165
(3000 Series) 49 

ORIGINAL REVISION

Rule 3018. Acceptance or Rejection 

of Plan in a Chapter 9 Municipality 

or a Chapter 11 Reorganization Case 

Rule 3018. Chapter 9 or 11—Accepting 

or Rejecting a Plan 

(a) ENTITIES ENTITLED TO 

ACCEPT OR REJECT PLAN; TIME 

FOR ACCEPTANCE OR 

REJECTION. A plan may be accepted 

or rejected in accordance with § 1126 of 

the Code within the time fixed by the 

court pursuant to Rule 3017, 3017.1, or 

3017.2. Subject to subdivision (b) of this 

rule, an equity security holder or creditor 

whose claim is based on a security of 

record shall not be entitled to accept or 

reject a plan unless the equity security 

holder or creditor is the holder of record 

of the security on the date the order 

approving the disclosure statement is 

entered or on another date fixed by the 

court under Rule 3017.2, or fixed for 

cause after notice and a hearing. For 

cause shown, the court after notice and 

hearing may permit a creditor or equity 

security holder to change or withdraw an 

acceptance or rejection. 

Notwithstanding objection to a claim or 

interest, the court after notice and 

hearing may temporarily allow the claim 

or interest in an amount which the court 

deems proper for the purpose of 

accepting or rejecting a plan. 

(a) In General. 

(1) Who May Accept or Reject a Plan.

Within the time set by the court 

under Rule 3017, 3017.1, or 3017.2, a 

claim holder or equity security holder 

may accept or reject a Chapter 9 or 

Chapter 11 plan under § 1126. 

(2) Claim Based on a Security of 

Record. Subject to (b), an equity 

security holder or creditor whose claim 

is based on a security of record may 

accept or reject a plan only if the equity 

security holder or creditor is the holder 

of record: 

(A) on the date the order approving 

the disclosure statement is 

entered; or 

(B) on another date the court sets: 

(i) under Rule 3017.2; or 

(ii) after notice and a hearing and 

for cause. 

(3) Changing or Withdrawing an 

Acceptance or Rejection. After 

notice and a hearing and for cause, 

the court may permit a creditor or 

equity security holder to change or 

withdraw an acceptance or rejection. 

(4) Temporarily Allowing a Claim or 

Interest. Even if an objection to a 

claim or interest has been filed, the 

court may, after notice and a hearing, 

temporarily allow a claim or interest in 

an amount that the court considers 

proper for voting to accept or reject a 

plan. 

(b) ACCEPTANCES OR 

REJECTIONS OBTAINED BEFORE 

PETITION. An equity security holder 

or creditor whose claim is based on a 

security of record who accepted or 

(b) Treatment of Acceptances or Rejections 

Obtained Before the Petition Was Filed. 

(1) Acceptance or Rejection by a 

Nonholder of Record. An equity 

security holder or creditor who 

Rules Appendix B-166
(3000 Series) 50 

ORIGINAL REVISION

rejected the plan before the 

commencement of the case shall not be 

deemed to have accepted or rejected 

the plan pursuant to § 1126(b) of the 

Code unless the equity security holder 

or creditor was the holder of record of 

the security on the date specified in the 

solicitation of such acceptance or 

rejection for the purposes of such 

solicitation. A holder of a claim or 

interest who has accepted or rejected a 

plan before the commencement of the 

case under the Code shall not be 

deemed to have accepted or rejected 

the plan if the court finds after notice 

and hearing that the plan was not 

transmitted to substantially all creditors 

and equity security holders of the same 

class, that an unreasonably short time 

was prescribed for such creditors and 

equity security holders to accept or 

reject the plan, or that the solicitation 

was not in compliance with § 1126(b) 

of the Code. 

accepted or rejected a plan before the 

petition was filed will not be 

considered to have accepted or 

rejected the plan under § 1126(b) if the 

equity security holder or creditor:

(A) has a claim or interest based on 

a security of record; and 

(B) was not the security’s holder of 

record on the date specified in 

the solicitation of the 

acceptance or rejection. 

(2) Defective Solicitations. A holder of a 

claim or interest who accepted or 

rejected a plan before the petition was 

filed will not be considered to have 

accepted or rejected the plan if the 

court finds, after notice and a hearing, 

that: 

(A) the plan was not sent to 

substantially all creditors and 

equity security holders of the same 

class; 

(B) an unreasonably short time was 

prescribed for those creditors and 

equity security holders to accept or 

reject the plan; or 

(C) the solicitation did not comply 

with § 1126(b). 

(c) FORM OF ACCEPTANCE OR 

REJECTION. An acceptance or 

rejection shall be in writing, identify the 

plan or plans accepted or rejected, be 

signed by the creditor or equity security 

holder or an authorized agent, and 

conform to the appropriate Official 

Form. If more than one plan is 

transmitted pursuant to Rule 3017, an 

acceptance or rejection may be filed by 

each creditor or equity security holder 

for any number of plans transmitted and 

if acceptances are filed for more than 

one plan, the creditor or equity security 

holder may indicate a preference or 

(c) Form for Accepting or Rejecting a Plan; 

Procedure When More Than One Plan 

Is Filed. 

(1) Form. An acceptance or rejection of a 

plan must: 

(A) be in writing; 

(B) identify the plan or plans; 

(C) be signed by the creditor or equity 

security holder—or an authorized 

agent; and 

(D) conform to Form 314. 

Rules Appendix B-167
(3000 Series) 51 

ORIGINAL REVISION

preferences among the plans so 

accepted. 

(2) When More Than One Plan Is 

Distributed. If more than one plan is 

sent under Rule 3017, a creditor or 

equity security holder may accept or 

reject one or more plans and may 

indicate preferences among those 

accepted. 

(d) ACCEPTANCE OR REJECTION 

BY PARTIALLY SECURED 

CREDITOR. A creditor whose claim 

has been allowed in part as a secured 

claim and in part as an unsecured claim 

shall be entitled to accept or reject a plan 

in both capacities. 

(d) Partially Secured Creditor. If a creditor’s 

claim has been allowed in part as a secured 

claim and in part as an unsecured claim, the 

creditor may accept or reject a plan in both 

capacities. 

Committee Note 

 

The language of Rule 3018 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-168
(3000 Series) 52 

ORIGINAL REVISION

Rule 3019. Modification of Accepted 

Plan in a Chapter 9 Municipality or a 

Chapter 11 Reorganization Case 

Rule 3019. Chapter 9 or 11—Modifying 

a Plan 

(a) MODIFICATION OF PLAN 

BEFORE CONFIRMATION. In a 

chapter 9 or chapter 11 case, after a plan 

has been accepted and before its 

confirmation, the proponent may file a 

modification of the plan. If the court 

finds after hearing on notice to the 

trustee, any committee appointed under 

the Code, and any other entity 

designated by the court that the 

proposed modification does not 

adversely change the treatment of the 

claim of any creditor or the interest of 

any equity security holder who has not 

accepted in writing the modification, it 

shall be deemed accepted by all creditors 

and equity security holders who have 

previously accepted the plan. 

(a) Modifying a Plan Before Confirmation. 

In a Chapter 9 or 11 case, after a plan has 

been accepted and before confirmation, 

the plan proponent may file a modification. 

The modification is considered accepted by 

any creditor or equity security holder who 

has accepted it in writing. For others who 

have not accepted it in writing but have 

accepted the plan, the modification is 

considered accepted if, after notice and a 

hearing, the court finds that it does not 

adversely change the treatment of their 

claims or interests. The notice must be 

served on: 

 the trustee; 

 any appointed committee; and 

 any other entity the court designates. 

(b) MODIFICATION OF PLAN 

AFTER CONFIRMATION IN 

INDIVIDUAL DEBTOR CASE. If the 

debtor is an individual, a request to 

modify the plan under § 1127(e) of the 

Code is governed by Rule 9014. The 

request shall identify the proponent and 

shall be filed together with the proposed 

modification. The clerk, or some other 

person as the court may direct, shall give 

the debtor, the trustee, and all creditors 

not less than 21 days’ notice by mail of 

the time fixed to file objections and, if 

an objection is filed, the hearing to 

consider the proposed modification, 

unless the court orders otherwise with 

respect to creditors who are not affected 

by the proposed modification. A copy of 

the notice shall be transmitted to the 

United States trustee, together with a 

copy of the proposed modification. 

(b) Modifying a Plan After Confirmation in 

an Individual Debtor’s Chapter 11 

Case. 

(1) In General. When a plan in an 

individual debtor’s Chapter 11 case has 

been confirmed, a request to modify it 

under § 1127(e) is governed by 

Rule 9014. The request must identify 

the proponent, and the proposed 

modification must be filed with it. 

(2) Time to File an Objection; Service.

(A) Time. Unless the court orders 

otherwise for creditors who are not 

affected by the proposed 

modification, the clerk—or the 

court’s designee—must give the 

debtor, trustee, and creditors at 

least 21 days’ notice, by mail, of: 

(i) the time to file an objection; 

and 

Rules Appendix B-169
(3000 Series) 53 

ORIGINAL REVISION

Any objection to the proposed 

modification shall be filed and served on 

the debtor, the proponent of the 

modification, the trustee, and any other 

entity designated by the court, and shall 

be transmitted to the United States 

trustee. 

(ii) if an objection is filed, the 

date of a hearing to consider 

the proposed modification. 

(B) Service. Any objection must be 

served on: 

 the debtor; 

 the entity proposing the 

modification; 

 the trustee; and 

 any other entity the court 

designates. 

A copy of the notice, modification, 

and objection must also be sent to 

the United States trustee. 

(c) MODIFICATION OF PLAN 

AFTER CONFIRMATION IN A 

SUBCHAPTER V CASE. In a case 

under subchapter V of chapter 11, a 

request to modify the plan under 

§ 1193(b) or (c) of the Code is 

governed by Rule 9014, and the 

provisions of this Rule 3019(b) apply. 

(c) Modifying a Plan After Confirmation in 

a Case Under Subchapter V of Chapter 

11. In a case under Subchapter V of 

Chapter 11, Rule 9014 governs a request to 

modify the plan under § 1193(b) or (c), and 

(b) of this rule applies. 

Committee Note 

The language of Rule 3019 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-170
(3000 Series) 54 

ORIGINAL REVISION

Rule 3020. Deposit; Confirmation of 

Plan in a Chapter 9 Municipality or 

Chapter 11 Reorganization Case 

Rule 3020. In a Chapter 11 Case, 

Depositing Funds Before the Plan is 

Confirmed; Confirmation in a 

Chapter 9 or 11 Case 

(a) DEPOSIT. In a chapter 11 case, 

prior to entry of the order confirming 

the plan, the court may order the deposit 

with the trustee or debtor in possession 

of the consideration required by the plan 

to be distributed on confirmation. Any 

money deposited shall be kept in a 

special account established for the 

exclusive purpose of making the 

distribution. 

(a) Chapter 11—Depositing Funds Before 

the Plan is Confirmed. Before a plan is 

confirmed in a Chapter 11 case, the court 

may order that the consideration required 

to be distributed upon confirmation be 

deposited with the trustee or debtor in 

possession. Any funds deposited must be 

kept in a special account established for the 

sole purpose of making the distribution. 

(b) OBJECTION TO AND 

HEARING ON CONFIRMATION IN 

A CHAPTER 9 OR CHAPTER 11 

CASE. 

(1) Objection. An objection to 

confirmation of the plan shall be filed 

and served on the debtor, the trustee, 

the proponent of the plan, any 

committee appointed under the Code, 

and any other entity designated by the 

court, within a time fixed by the court. 

Unless the case is a chapter 9 

municipality case, a copy of every 

objection to confirmation shall be 

transmitted by the objecting party to the 

United States trustee within the time 

fixed for filing objections. An objection 

to confirmation is governed by Rule 

9014. 

(2) Hearing. The court shall rule 

on confirmation of the plan after notice 

and hearing as provided in Rule 2002. If 

no objection is timely filed, the court 

may determine that the plan has been 

proposed in good faith and not by any 

means forbidden by law without 

receiving evidence on such issues. 

(b) Chapter 9 or 11—Objecting to 

Confirmation; Confirmation Hearing. 

(1) Objecting to Confirmation. In a 

Chapter 9 or 11 case, an objection to 

confirmation is governed by Rule 

9014. The objection must be filed and 

served within the time set by the court 

and be served on: 

 the debtor; 

 the trustee; 

 the plan proponent; 

 any appointed committee; and 

 any other entity the court 

designates. 

(2) Copy to the United States Trustee.

In a Chapter 11 case, the objecting 

party must send a copy of the 

objection to the United States trustee 

within the time set to file an objection. 

(3) Hearing on the Objection; 

Procedure If No Objection Is Filed.

After notice and a hearing as provided 

in Rule 2002, the court must rule on 

confirmation. If no objection is timely 

filed, the court may, without receiving 

Rules Appendix B-171
(3000 Series) 55 

ORIGINAL REVISION

evidence, determine that the plan was 

proposed in good faith and not by any 

means forbidden by law. 

(c) ORDER OF CONFIRMATION. 

(1) The order of confirmation 

shall conform to the appropriate Official 

Form. If the plan provides for an 

injunction against conduct not otherwise 

enjoined under the Code, the order of 

confirmation shall (1) describe in 

reasonable detail all acts enjoined; (2) be 

specific in its terms regarding the 

injunction; and (3) identify the entities 

subject to the injunction. 

(2) Notice of entry of the order 

of confirmation shall be mailed 

promptly to the debtor, the trustee, 

creditors, equity security holders, other 

parties in interest, and, if known, to any 

identified entity subject to an injunction 

provided for in the plan against conduct 

not otherwise enjoined under the Code. 

(3) Except in a chapter 9 

municipality case, notice of entry of the 

order of confirmation shall be 

transmitted to the United States trustee 

as provided in Rule 2002(k). 

(c) Confirmation Order. 

(1) Form of the Order; Injunctive 

Relief. A confirmation order must 

conform to Form 315. If the plan 

provides for an injunction against 

conduct not otherwise enjoined under 

the Code, the order must: 

(A) describe the acts enjoined in 

reasonable detail; 

(B) be specific in its terms regarding 

the injunction; and 

(C) identify the entities subject to the 

injunction. 

(2) Notice of Confirmation. Notice of 

entry of a confirmation order must be 

promptly mailed to: 

 the debtor; 

 the trustee; 

 creditors; 

 equity security holders; 

 other parties in interest; and 

 if known, identified entities subject 

to an injunction described in (1). 

(3) Copy to the United States Trustee.

In a Chapter 11 case, a copy of the 

order must be sent to the United States 

trustee under Rule 2002(k). 

(d) RETAINED POWER. 

Notwithstanding the entry of the order 

of confirmation, the court may issue any 

other order necessary to administer the 

estate. 

(d) Retained Power to Issue Future Orders 

Relating to Administration. After a plan 

is confirmed, the court may continue to 

issue orders needed to administer the 

estate. 

Rules Appendix B-172
(3000 Series) 56 

ORIGINAL REVISION

(e) STAY OF CONFIRMATION 

ORDER. An order confirming a plan is 

stayed until the expiration of 14 days 

after the entry of the order, unless the 

court orders otherwise. 

(e) Staying a Confirmation Order. Unless 

the court orders otherwise, a confirmation 

order is stayed for 14 days after its entry. 

Committee Note 

The language of Rule 3020 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-173
(3000 Series) 57 

ORIGINAL REVISION

Rule 3021. Distribution Under Plan Rule 3021. Distributing Funds Under 

a Plan 

Except as provided in Rule 3020(e), 

after a plan is confirmed, distribution 

shall be made to creditors whose claims 

have been allowed, to interest holders 

whose interests have not been 

disallowed, and to indenture trustees 

who have filed claims under Rule 

3003(c)(5) that have been allowed. For 

purposes of this rule, creditors include 

holders of bonds, debentures, notes, and 

other debt securities, and interest 

holders include the holders of stock and 

other equity securities, of record at the 

time of commencement of distribution, 

unless a different time is fixed by the 

plan or the order confirming the plan. 

(a) In General. After confirmation and when 

any stay under Rule 3020(e) expires, 

payments under the plan must be 

distributed to: 

 creditors whose claims have been 

allowed; 

 interest holders whose interests have 

not been disallowed; and 

 indenture trustees whose claims under 

Rule 3003(c)(5) have been allowed. 

(b) Definition of “Creditors” and “Interest 

Holders.” In this Rule 3021: 

(1) “creditors” include record holders of 

bonds, debentures, notes, and other 

debt securities as of the initial 

distribution date, unless the plan or 

confirmation order states a different 

date; and 

(2) “interest holders” include record 

holders of stock and other equity 

securities as of the initial distribution 

date, unless the plan or confirmation 

order states a different date. 

Committee Note 

The language of Rule 3021 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-174
(3000 Series) 58 

ORIGINAL REVISION

Rule 3022. Final Decree in Chapter 11 

Reorganization Case 

Rule 3022. Chapter 11—Final Decree 

After an estate is fully administered in a 

chapter 11 reorganization case, the 

court, on its own motion or on motion 

of a party in interest, shall enter a final 

decree closing the case. 

After the estate is fully administered in a 

Chapter 11 case, the court must, on its own or 

on a party in interest’s motion, enter a final 

decree closing the case. 

Committee Note 

The language of Rule 3022 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-175
(4000 Series) 

PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF BANKRUPTCY PROCEDURE 

4000 Series 

Rules Appendix B-176
(4000 Series) 2 

ORIGINAL REVISION

PART IV—THE DEBTOR: DUTIES 

AND BENEFITS 

PART IV. THE DEBTOR’S DUTIES 

AND BENEFITS 

Rule 4001. Relief from Automatic 

Stay; Prohibiting or Conditioning 

the Use, Sale, or Lease of Property; 

Use of Cash Collateral; Obtaining 

Credit; Agreements 

Rule 4001. Relief from the Automatic 

Stay; Prohibiting or Conditioning the 

Use, Sale, or Lease of Property; Using 

Cash Collateral; Obtaining Credit; 

Various Agreements 

(a) RELIEF FROM STAY; 

PROHIBITING OR 

CONDITIONING THE USE, SALE, 

OR LEASE OF PROPERTY. 

(1) Motion. A motion for relief 

from an automatic stay provided by the 

Code or a motion to prohibit or 

condition the use, sale, or lease of 

property pursuant to § 363(e) shall be 

made in accordance with Rule 9014 and 

shall be served on any committee 

elected pursuant to § 705 or appointed 

pursuant to § 1102 of the Code or its 

authorized agent, or, if the case is a 

chapter 9 municipality case or a chapter 

11 reorganization case and no 

committee of unsecured creditors has 

been appointed pursuant to § 1102, on 

the creditors included on the list filed 

pursuant to Rule 1007(d), and on such 

other entities as the court may direct. 

(2) Ex Parte Relief. Relief from a 

stay under § 362(a) or a request to 

prohibit or condition the use, sale, or 

lease of property pursuant to § 363(e) 

may be granted without prior notice 

only if (A) it clearly appears from 

specific facts shown by affidavit or by a 

verified motion that immediate and 

irreparable injury, loss, or damage will 

result to the movant before the adverse 

party or the attorney for the adverse 

party can be heard in opposition, and 

(B) the movant’s attorney certifies to the 

court in writing the efforts, if any, which 

have been made to give notice and the 

(a) Relief from the Automatic Stay; 

Prohibiting or Conditioning the Use, 

Sale, or Lease of Property. 

(1) Motion. A motion under § 362(d) for 

relief from the automatic stay—or a 

motion under § 363(e) to prohibit or 

condition the use, sale, or lease of 

property—must comply with 

Rule 9014. The motion must be 

served on: 

(A) the following, as applicable: 

 a committee elected under 

§ 705 or appointed under 

§ 1102; 

 the committee’s authorized 

agent; or 

 the creditors included on the 

list filed under Rule 1007(d) if 

the case is a Chapter 9 or 

Chapter 11 case and no 

committee of unsecured 

creditors has been appointed 

under § 1102; and 

(B) any other entity the court 

designates. 

(2) Relief Without Notice. Relief from a 

stay under § 362(a)—or a request 

under § 363(e) to prohibit or condition 

the use, sale, or lease of property—

may be granted without prior notice 

only if: 

(A) specific facts—shown by either an 

affidavit or a verified motion— 

Rules Appendix B-177
(4000 Series) 3 

ORIGINAL REVISION

reasons why notice should not be 

required. The party obtaining relief 

under this subdivision and § 362(f) or 

§ 363(e) shall immediately give oral 

notice thereof to the trustee or debtor in 

possession and to the debtor and 

forthwith mail or otherwise transmit to 

such adverse party or parties a copy of 

the order granting relief. On two days 

notice to the party who obtained relief 

from the stay without notice or on 

shorter notice to that party as the court 

may prescribe, the adverse party may 

appear and move reinstatement of the 

stay or reconsideration of the order 

prohibiting or conditioning the use, sale, 

or lease of property. In that event, the 

court shall proceed expeditiously to hear 

and determine the motion. 

(3) Stay of Order. An order 

granting a motion for relief from an 

automatic stay made in accordance with 

Rule 4001(a)(1) is stayed until the 

expiration of 14 days after the entry of 

the order, unless the court orders 

otherwise. 

clearly demonstrate that the 

movant will suffer immediate and 

irreparable injury, loss, or damage 

before the adverse party or its 

attorney can be heard in 

opposition; and 

(B) the movant’s attorney certifies to 

the court in writing what efforts, if 

any, have been made to give notice 

and why it should not be required. 

(3) Notice of Relief; Motion for 

Reinstatement or Reconsideration.

(A) Notice of Relief. A party who obtains 

relief under (2) and under § 362(f) 

or § 363(e) must: 

(i) immediately give oral notice 

both to the debtor and to the 

trustee or the debtor in 

possession; and 

(ii) promptly send them a copy 

of the order granting relief. 

(B) Motion for Reinstatement or 

Reconsideration. On 2 days’ notice to 

the party who obtained relief under 

(2)—or on shorter notice as the 

court may order—the adverse 

party may move to reinstate the 

stay or reconsider the order 

prohibiting or conditioning the 

use, sale, or lease of property. The 

court must proceed expeditiously 

to hear and decide the motion. 

(4) Stay of an Order Granting Relief 

from the Automatic Stay. Unless the 

court orders otherwise, an order 

granting a motion for relief from the 

automatic stay under (1) is stayed for 

14 days after it is entered. 

Rules Appendix B-178
(4000 Series) 4 

ORIGINAL REVISION

(b) USE OF CASH COLLATERAL. 

(1) Motion; Service. 

(A) Motion. A motion for 

authority to use cash collateral shall be 

made in accordance with Rule 9014 and 

shall be accompanied by a proposed 

form of order. 

(B) Contents. The motion 

shall consist of or (if the motion is more 

than five pages in length) begin with a 

concise statement of the relief 

requested, not to exceed five pages, that 

lists or summarizes, and sets out the 

location within the relevant documents 

of, all material provisions, including: 

(i) the name of 

each entity with an interest in the cash 

collateral; 

(ii) the purposes 

for the use of the cash collateral; 

(iii) the material 

terms, including duration, of the use of 

the cash collateral; and 

(iv) any liens, 

cash payments, or other adequate 

protection that will be provided to each 

entity with an interest in the cash 

collateral or, if no additional adequate 

protection is proposed, an explanation 

of why each entity’s interest is 

adequately protected. 

(C) Service. The motion 

shall be served on: (1) any entity with an 

interest in the cash collateral; (2) any 

committee elected under § 705 or 

appointed under § 1102 of the Code, or 

its authorized agent, or, if the case is a 

chapter 9 municipality case or a chapter 

11 reorganization case and no 

committee of unsecured creditors has 

been appointed under § 1102, the 

(b) Using Cash Collateral. 

(1) Motion; Content; Service.

(A) Motion. A motion for authorization 

to use cash collateral must comply 

with Rule 9014 and must be 

accompanied by a proposed form 

of order. 

(B) Content. The motion must consist 

of—or if the motion exceeds five 

pages, begin with—a concise 

statement of the relief requested, 

no longer than five pages. The 

statement must list or summarize 

all material provisions (citing their 

locations in the relevant 

documents), including: 

 the name of each entity with 

an interest in the cash 

collateral; 

 how it will be used; 

 the material terms of its use, 

including duration; and 

 all liens, cash payments, or 

other adequate protection 

that will be provided to each 

entity with an interest in the 

cash collateral—or if no 

such protection is proposed, 

an explanation of how each 

entity’s interest is adequately 

protected. 

(C) Service. The motion must be served 

on: 

 each entity with an interest in 

the cash collateral; 

 all those who must be served 

under (a)(1)(A); and 

 any other entity the court 

designates. 

Rules Appendix B-179
(4000 Series) 5 

ORIGINAL REVISION

creditors included on the list filed under 

Rule 1007(d); and (3) any other entity 

that the court directs. 

(2) Hearing. The court may 

commence a final hearing on a motion 

for authorization to use cash collateral 

no earlier than 14 days after service of 

the motion. If the motion so requests, 

the court may conduct a preliminary 

hearing before such 14-day period 

expires, but the court may authorize the 

use of only that amount of cash 

collateral as is necessary to avoid 

immediate and irreparable harm to the 

estate pending a final hearing. 

(3) Notice. Notice of hearing 

pursuant to this subdivision shall be 

given to the parties on whom service of 

the motion is required by paragraph (1) 

of this subdivision and to such other 

entities as the court may direct. 

(2) Hearings; Notice.

(A) Preliminary and Final Hearings. The 

court may begin a final hearing on 

the motion no earlier than 14 days 

after it has been served. If the 

motion so requests, the court may 

conduct a preliminary hearing 

before that 14-day period ends. 

After a preliminary hearing, the 

court may authorize using only the 

cash collateral necessary to avoid 

immediate and irreparable harm to 

the estate pending a final hearing. 

(B) Notice. Notice of a hearing must be 

given to the parties who must be 

served with the motion under 

(1)(C) and to any other entity the 

court designates. 

(c) OBTAINING CREDIT. 

(1) Motion; Service. 

(A) Motion. A motion for 

authority to obtain credit shall be made 

in accordance with Rule 9014 and shall 

be accompanied by a copy of the credit 

agreement and a proposed form of 

order. 

(B) Contents. The motion 

shall consist of or (if the motion is more 

than five pages in length) begin with a 

concise statement of the relief requested, 

not to exceed five pages, that lists or 

summarizes, and sets out the location 

within the relevant documents of, all 

material provisions of the proposed 

credit agreement and form of order, 

including interest rate, maturity, events 

of default, liens, borrowing limits, and 

borrowing conditions. If the proposed 

credit agreement or form of order 

(c) Obtaining Credit. 

(1) Motion; Content; Service.

(A) Motion. A motion for authorization 

to obtain credit must comply with 

Rule 9014 and must be 

accompanied by a copy of the 

credit agreement and a proposed 

form of order. 

(B) Content. The motion must consist 

of—or if the motion exceeds five 

pages, begin with—a concise 

statement of the relief requested, 

no longer than five pages. The 

statement must list or summarize 

all material provisions of the credit 

agreement and form of order 

(citing their locations in the 

relevant documents), including 

interest rates, maturity dates, 

default provisions, liens, and 

borrowing limits and conditions. If 

the credit agreement or form of 

Rules Appendix B-180
(4000 Series) 6 

ORIGINAL REVISION

includes any of the provisions listed 

below, the concise statement shall also: 

briefly list or summarize each one; 

identify its specific location in the 

proposed agreement and form of order; 

and identify any such provision that is 

proposed to remain in effect if interim 

approval is granted, but final relief is 

denied, as provided under Rule 

4001(c)(2). In addition, the motion shall 

describe the nature and extent of each 

provision listed below: 

(i) a grant of 

priority or a lien on property of the 

estate under § 364(c) or (d); 

(ii) the providing 

of adequate protection or priority for a 

claim that arose before the 

commencement of the case, including 

the granting of a lien on property of the 

estate to secure the claim, or the use of 

property of the estate or credit obtained 

under § 364 to make cash payments on 

account of the claim; 

(iii) a 

determination of the validity, 

enforceability, priority, or amount of a 

claim that arose before the 

commencement of the case, or of any 

lien securing the claim; 

(iv) a waiver or 

modification of Code provisions or 

applicable rules relating to the automatic 

stay; 

(v) a waiver or 

modification of any entity’s authority or 

right to file a plan, seek an extension of 

time in which the debtor has the 

exclusive right to file a plan, request the 

use of cash collateral under § 363(c), or 

request authority to obtain credit under 

§ 364; 

order includes any of the 

provisions listed below in (i)–(xi), 

the concise statement must also 

list or summarize each one, 

describe its nature and extent, cite 

its location in the proposed 

agreement and form of order, and 

identify any that would remain 

effective if interim approval were 

to be granted but final relief 

denied under (2). The provisions 

are: 

(i) a grant of priority or a lien on 

property of the estate under 

§ 364(c) or (d); 

(ii) the providing of adequate 

protection or priority for a 

claim that arose before the 

case commenced—including 

a lien on property of the 

estate, or its use, or of credit 

obtained under § 364 to make 

cash payments on the claim; 

(iii) a determination of the 

validity, enforceability, 

priority, or amount of a claim 

that arose before the case 

commenced, or of any lien 

securing the claim; 

(iv) a waiver or modification of 

Code provisions or applicable 

rules regarding the automatic 

stay; 

(v) a waiver or modification of 

an entity’s right to file a plan, 

seek to extend the time in 

which the debtor has the 

exclusive right to file a plan, 

request the use of cash 

collateral under § 363(c), or 

Rules Appendix B-181
(4000 Series) 7 

ORIGINAL REVISION

(vi) the 

establishment of deadlines for filing a 

plan of reorganization, for approval of a 

disclosure statement, for a hearing on 

confirmation, or for entry of a 

confirmation order; 

(vii) a waiver or 

modification of the applicability of 

nonbankruptcy law relating to the 

perfection of a lien on property of the 

estate, or on the foreclosure or other 

enforcement of the lien; 

(viii) a release, 

waiver, or limitation on any claim or 

other cause of action belonging to the 

estate or the trustee, including any 

modification of the statute of limitations 

or other deadline to commence an 

action; 

(ix) the 

indemnification of any entity; 

(x) a release, 

waiver, or limitation of any right under § 

506(c); or 

(xi) the granting 

of a lien on any claim or cause of action 

arising under §§ 544,1 545, 547, 548, 549, 

553(b), 723(a), or 724(a). 

(C) Service. The motion shall be 

served on: (1) any committee elected 

under § 705 or appointed under § 1102 

of the Code, or its authorized agent, or, 

if the case is a chapter 9 municipality 

case or a chapter 11 reorganization case 

and no committee of unsecured 

creditors has been appointed under 

§ 1102, on the creditors included on 

the list filed under Rule 1007(d); and 

(2) on any other entity that the court 

directs. 

request authorization to 

obtain credit under § 364; 

(vi) the establishment of 

deadlines for filing a plan of 

reorganization, approving a 

disclosure statement, holding 

a hearing on confirmation, or 

entering a confirmation 

order; 

(vii) a waiver or modification of 

applicable nonbankruptcy 

law regarding perfecting or 

enforcing a lien on property 

of the estate; 

(viii) a release, waiver, or limitation 

on a claim or other cause of 

action belonging to the estate 

or the trustee, including any 

modification of the statute of 

limitations or other deadline 

to commence an action; 

(ix) the indemnification of any 

entity; 

(x) a release, waiver, or limitation 

of any right under § 506(c); or 

(xi) the granting of a lien on a 

claim or cause of action 

arising under § 544, 545, 

547, 548, 549, 553(b), 723(a), 

or 724(a). 

(C) Service. The motion must be served 

on all those who must be served 

under (a)(1)(A) and any other 

entity the court designates. 

(2) Hearings; Notice.

(A) Preliminary and Final Hearings. The 

court may begin a final hearing on 

the motion no earlier than 14 days 

after it has been served. If the 

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

Rules Appendix B-182
(4000 Series) 8 

ORIGINAL REVISION

 (2) Hearing. The court may 

commence a final hearing on a motion 

for authority to obtain credit no earlier 

than 14 days after service of the motion. 

If the motion so requests, the court may 

conduct a hearing before such 14-day 

period expires, but the court may 

authorize the obtaining of credit only to 

the extent necessary to avoid immediate 

and irreparable harm to the estate 

pending a final hearing. 

(3) Notice. Notice of 

hearing pursuant to this subdivision 

shall be given to the parties on whom 

service of the motion is required by 

paragraph (1) of this subdivision and to 

such other entities as the court may 

direct. 

(4) Inapplicability in a 

Chapter 13 Case. This subdivision (c) 

does not apply in a chapter 13 case. 

motion so requests, the court may 

conduct a preliminary hearing 

before that 14-day period ends. 

After a preliminary hearing, the 

court may authorize obtaining 

credit only to the extent necessary 

to avoid immediate and 

irreparable harm to the estate 

pending a final hearing. 

(B) Notice. Notice of a hearing must be 

given to the parties who must be 

served with the motion under 

(1)(C) and to any other entity the 

court designates. 

(3) Inapplicability in a Chapter 13 

Case. This subdivision (c) does not 

apply in a Chapter 13 case. 

(d) AGREEMENT RELATING TO 

RELIEF FROM THE AUTOMATIC 

STAY, PROHIBITING OR 

CONDITIONING THE USE, SALE, 

OR LEASE OF PROPERTY, 

PROVIDING ADEQUATE 

PROTECTION, USE OF CASH 

COLLATERAL, AND OBTAINING 

CREDIT. 

(1) Motion; Service. 

(A) Motion. A motion for 

approval of any of the following shall be 

accompanied by a copy of the agreement 

and a proposed form of order: 

(i) an agreement 

to provide adequate protection; 

(ii) an agreement 

to prohibit or condition the use, sale, or 

lease of property; 

(iii) an agreement 

to modify or terminate the stay provided 

(d) Various Agreements: Relief from the 

Automatic Stay; Prohibiting or 

Conditioning the Use, Sale, or Lease of 

Property; Providing Adequate 

Protection; Using Cash Collateral; or 

Obtaining Credit. 

(1) Motion; Content; Service.

(A) Motion. A motion to approve any 

of the following must be 

accompanied by a copy of the 

agreement and a proposed form of 

order: 

(i) an agreement to provide 

adequate protection; 

(ii) an agreement to prohibit or 

condition the use, sale, or 

lease of property; 

(iii) an agreement to modify or 

terminate the stay provided 

for in § 362; 

Rules Appendix B-183
(4000 Series) 9 

ORIGINAL REVISION

for in § 362; 

(iv) an agreement 

to use cash collateral; or 

(v) an agreement 

between the debtor and an entity that 

has a lien or interest in property of the 

estate pursuant to which the entity 

consents to the creation of a lien senior 

or equal to the entity’s lien or interest in 

such property. 

(B) Contents. The motion 

shall consist of or (if the motion is more 

than five pages in length) begin with a 

concise statement of the relief requested, 

not to exceed five pages, that lists or 

summarizes, and sets out the location 

within the relevant documents of, all 

material provisions of the agreement. In 

addition, the concise statement shall 

briefly list or summarize, and identify 

the specific location of, each provision 

in the proposed form of order, 

agreement, or other document of the 

type listed in subdivision (c)(1)(B). The 

motion shall also describe the nature and 

extent of each such provision. 

(C) Service. The motion 

shall be served on: (1) any committee 

elected under § 705 or appointed under 

§ 1102 of the Code, or its authorized 

agent, or, if the case is a chapter 9 

municipality case or a chapter 11 

reorganization case and no committee 

of unsecured creditors has been 

appointed under § 1102, on the 

creditors included on the list filed 

under Rule 1007(d); and (2) on any 

other entity the court directs. 

(2) Objection. Notice of the 

motion and the time within which 

objections may be filed and served on 

the debtor in possession or trustee shall 

be mailed to the parties on whom 

service is required by paragraph (1) of 

(iv) an agreement to use cash 

collateral; or 

(v) an agreement between the 

debtor and an entity that has 

a lien or interest in property 

of the estate under which the 

entity consents to creating a 

lien that is senior or equal to 

the entity’s lien or interest. 

(B) Content. The motion must consist 

of—or if the motion exceeds five 

pages, begin with—a concise 

statement of the relief requested, 

no longer than five pages. The 

statement must: 

(i) list or summarize all the 

agreement’s material 

provisions (citing their 

locations in the relevant 

documents); and 

(ii) briefly list or summarize, cite 

the location of, and describe 

the nature and extent of each 

provision in the proposed 

form of order, agreement, or 

other document of the type 

listed in (c)(1)(B). 

(C) Service. The motion must be served 

on all those who must be served 

under (a)(1)(A) and any other 

entity the court designates. 

(2) Objection. Notice of the motion must 

be mailed to the parties on whom 

service of the motion is required and 

any other entity the court designates. 

The notice must include the time 

within which objections may be filed 

and served on the debtor in possession 

or trustee. Unless the court sets a 

different time, any objections must be 

Rules Appendix B-184
(4000 Series) 10 

ORIGINAL REVISION

this subdivision and to such other 

entities as the court may direct. Unless 

the court fixes a different time, 

objections may be filed within 14 days 

of the mailing of the notice. 

(3) Disposition; Hearing. If no 

objection is filed, the court may enter an 

order approving or disapproving the 

agreement without conducting a hearing. 

If an objection is filed or if the court 

determines a hearing is appropriate, the 

court shall hold a hearing on no less 

than seven days’ notice to the objector, 

the movant, the parties on whom service 

is required by paragraph (1) of this 

subdivision and such other entities as 

the court may direct. 

(4) Agreement in Settlement of 

Motion. The court may direct that the 

procedures prescribed in paragraphs (1), 

(2), and (3) of this subdivision shall not 

apply and the agreement may be 

approved without further notice if the 

court determines that a motion made 

pursuant to subdivisions (a), (b), or (c) 

of this rule was sufficient to afford 

reasonable notice of the material 

provisions of the agreement and 

opportunity for a hearing. 

filed within 14 days after the notice is 

mailed. 

(3) Disposition Without a Hearing. If 

no objection is filed, the court may 

enter an order approving or 

disapproving the agreement without 

holding a hearing. 

(4) Hearing. If an objection is filed or if 

the court decides that a hearing is 

appropriate, the court must hold one 

after giving at least 7 days’ notice to: 

 the objector; 

 the movant; 

 the parties who must be served 

with the motion under (1)(C); and 

 any other entity the court 

designates. 

(5) Agreement to Settle a Motion. The 

court may decide that a motion made 

under (a), (b), or (c) was sufficient to 

give reasonable notice of the 

agreement’s material provisions and 

an opportunity for a hearing. If so, 

the court may order that the 

procedures prescribed in (1)–(4) do 

not apply and may approve the 

agreement without further notice. 

Committee Note

The language of Rule 4001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-185
(4000 Series) 11 

ORIGINAL REVISION

Rule 4002. Duties of Debtor Rule 4002. Debtor’s Duties 

(a) IN GENERAL. In addition to 

performing other duties prescribed by 

the Code and rules, the debtor shall: 

(1) attend and submit to an 

examination at the times ordered by the 

court; 

(2) attend the hearing on a 

complaint objecting to discharge and 

testify, if called as a witness; 

(3) inform the trustee 

immediately in writing as to the location 

of real property in which the debtor has 

an interest and the name and address of 

every person holding money or property 

subject to the debtor’s withdrawal or 

order if a schedule of property has not 

yet been filed pursuant to Rule 1007; 

(4) cooperate with the trustee in 

the preparation of an inventory, the 

examination of proofs of claim, and the 

administration of the estate; and 

(5) file a statement of any 

change of the debtor’s address. 

(a) In General. In addition to performing 

other duties that are required by the 

Code or these rules, the debtor must: 

(1) attend and submit to an examination 

when the court orders; 

(2) attend the hearing on a complaint 

objecting to discharge and, if called, 

testify as a witness; 

(3) if a schedule of property has not yet 

been filed under Rule 1007, report to 

the trustee immediately in writing: 

(A) the location of any real property 

in which the debtor has an 

interest; and 

(B) the name and address of every 

person holding money or property 

subject to the debtor’s withdrawal 

or order; 

(4) cooperate with the trustee in preparing 

an inventory, examining proofs of 

claim, and administering the estate; and 

(5) file a statement of any change in the 

debtor’s address. 

(b) INDIVIDUAL DEBTOR’S DUTY 

TO PROVIDE DOCUMENTATION. 

(1) Personal Identification. Every 

individual debtor shall bring to the 

meeting of creditors under § 341: 

(A) a picture 

identification issued by a governmental 

unit, or other personal identifying 

information that establishes the debtor’s 

identity; and 

(B) evidence of social 

security number(s), or a written 

statement that such documentation does 

not exist. 

(b) Individual Debtor’s Duty to Provide 

Documents. 

(1) Personal Identifying Information.

An individual debtor must bring to 

the § 341 meeting of creditors:

(A) a government-issued identification 

with the debtor’s picture, or other 

personal information that 

establishes the debtor’s identity; 

and 

(B) evidence of any social-security 

number, or a written statement 

that no such evidence exists. 

Rules Appendix B-186
(4000 Series) 12 

ORIGINAL REVISION

(2) Financial Information. Every 

individual debtor shall bring to the 

meeting of creditors under § 341, and 

make available to the trustee, the 

following documents or copies of them, 

or provide a written statement that the 

documentation does not exist or is not 

in the debtor’s possession: 

(A) evidence of current 

income such as the most recent payment 

advice; 

(B) unless the trustee or 

the United States trustee instructs 

otherwise, statements for each of the 

debtor’s depository and investment 

accounts, including checking, savings, 

and money market accounts, mutual 

funds and brokerage accounts for the 

time period that includes the date of the 

filing of the petition; and 

(C) documentation of 

monthly expenses claimed by the debtor 

if required by § 707(b)(2)(A) or (B). 

(3) Tax Return. At least 7 days 

before the first date set for the meeting 

of creditors under § 341, the debtor shall 

provide to the trustee a copy of the 

debtor’s federal income tax return for 

the most recent tax year ending 

immediately before the commencement 

of the case and for which a return was 

filed, including any attachments, or a 

transcript of the tax return, or provide a 

written statement that the 

documentation does not exist. 

(4) Tax Returns Provided to 

Creditors. If a creditor, at least 14 days 

before the first date set for the meeting 

of creditors under § 341, requests a copy 

of the debtor’s tax return that is to be 

provided to the trustee under 

subdivision (b)(3), the debtor, at least 7 

days before the first date set for the 

(2) Financial Documents. An individual 

debtor must bring the following 

documents (or copies) to the § 341 

meeting of creditors and make them 

available to the trustee—or provide a 

written statement that they do not exist 

or are not in the debtor’s possession: 

(A) evidence of current income, such 

as the most recent payment advice; 

(B) unless the trustee or the United 

States trustee instructs otherwise, a 

statement for each depository or 

investment account—including a 

checking, savings, or moneymarket account, mutual fund or 

brokerage account―for the period 

that includes the petition’s filing 

date; and 

(C) if required by § 707(b)(2)(A) or (B), 

documents showing claimed 

monthly expenses. 

(3) Tax Return to Be Provided to the 

Trustee. At least 7 days before the 

first date set for the § 341 meeting of 

creditors, the debtor must provide the 

trustee with: 

(A) a copy of the debtor’s federal 

income-tax return, including any 

attachments to it, for the most 

recent tax year ending before the 

case was commenced and for 

which the debtor filed a return; 

(B) a transcript of the return; or 

(C) a written statement that the 

documents do not exist. 

(4) Tax Return to Be Provided to a 

Creditor. Upon a creditor’s request at 

least 14 days before the first date set 

for the § 341 meeting of creditors, the 

debtor must provide the creditor with 

the documents to be provided to the 

trustee under (3). The debtor must do 

Rules Appendix B-187
(4000 Series) 13 

ORIGINAL REVISION

meeting of creditors under § 341, shall 

provide to the requesting creditor a copy 

of the return, including any attachments, 

or a transcript of the tax return, or 

provide a written statement that the 

documentation does not exist. 

(5) Confidentiality of Tax 

Information. The debtor’s obligation to 

provide tax returns under Rule 

4002(b)(3) and (b)(4) is subject to 

procedures for safeguarding the 

confidentiality of tax information 

established by the Director of the 

Administrative Office of the United 

States Courts. 

so at least 7 days before the meeting. 

(5) Safeguarding Confidential Tax 

Information. The debtor’s obligation 

to provide tax returns under (3) and (4) 

is subject to procedures established by 

the Director of the Administrative 

Office of the United States Courts for 

safeguarding confidential tax 

information. 

Committee Note

The language of Rule 4002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-188
(4000 Series) 14 

ORIGINAL REVISION

Rule 4003. Exemptions Rule 4003. Exemptions 

(a) CLAIM OF EXEMPTIONS. A 

debtor shall list the property claimed as 

exempt under § 522 of the Code on the 

schedule of assets required to be filed by 

Rule 1007. If the debtor fails to claim 

exemptions or file the schedule within 

the time specified in Rule 1007, a 

dependent of the debtor may file the list 

within 30 days thereafter. 

(a) Claiming an Exemption. A debtor must 

list the property claimed as exempt under 

§ 522 on Form 106C filed under Rule 1007. 

If the debtor fails to do so within the time 

specified in Rule 1007(c), a debtor’s 

dependent may file the list within 30 days 

after the debtor’s time to file expires. 

(b) OBJECTING TO A CLAIM OF 

EXEMPTIONS. 

(1) Except as provided in 

paragraphs (2) and (3), a party in interest 

may file an objection to the list of 

property claimed as exempt within 30 

days after the meeting of creditors held 

under § 341(a) is concluded or within 30 

days after any amendment to the list or 

supplemental schedules is filed, 

whichever is later. The court may, for 

cause, extend the time for filing 

objections if, before the time to object 

expires, a party in interest files a request 

for an extension. 

(2) The trustee may file an 

objection to a claim of exemption at any 

time prior to one year after the closing 

of the case if the debtor fraudulently 

asserted the claim of exemption. The 

trustee shall deliver or mail the objection 

to the debtor and the debtor’s attorney, 

and to any person filing the list of 

exempt property and that person’s 

attorney. 

(3) An objection to a claim of 

exemption based on § 522(q) shall be 

filed before the closing of the case. If an 

exemption is first claimed after a case is 

reopened, an objection shall be filed 

before the reopened case is closed. 

(4) A copy of any objection shall 

(b) Objecting to a Claimed Exemption. 

(1) By a Party in Interest. Except as (2) 

and (3) provide, a party in interest 

may file an objection to a claimed 

exemption within 30 days after the 

later of: 

 the conclusion of the § 341 

meeting of creditors; 

 the filing of an amendment to the 

list; or 

 the filing of a supplemental 

schedule. 

On a party in interest’s motion filed 

before the time to object expires, the 

court may, for cause, extend the time 

to file an objection. 

(2) By the Trustee for a Fraudulently 

Claimed Exemption. If the debtor 

has fraudulently claimed an exemption, 

the trustee may file an objection to it 

within one year after the case is closed. 

The trustee must deliver or mail the 

objection to: 

 the debtor; 

 the debtor’s attorney; 

 the person who filed the list of 

exempt property; and 

 that person’s attorney. 

Rules Appendix B-189
(4000 Series) 15 

ORIGINAL REVISION

be delivered or mailed to the trustee, the 

debtor and the debtor’s attorney, and 

the person filing the list and that 

person’s attorney. 

(3) Objection Based on § 522(q). An 

objection based on § 522(q) must be 

filed: 

(A) before the case is closed; or 

(B) if an exemption is first claimed 

after a case has been reopened, 

before the reopened case is closed. 

(4) Distributing Copies of the 

Objection. A copy of any objection, 

other than one filed by the trustee 

under (b)(2), must be delivered or 

mailed to: 

 the trustee; 

 the debtor; 

 the debtor’s attorney; 

 the person who filed the list of 

exempt property; and 

 that person’s attorney. 

(c) BURDEN OF PROOF. In any 

hearing under this rule, the objecting 

party has the burden of proving that the 

exemptions are not properly claimed. 

After hearing on notice, the court shall 

determine the issues presented by the 

objections. 

(c) Burden of Proof. In a hearing under this 

Rule 4003, the objecting party has the 

burden of proving that an exemption was 

not properly claimed. After notice and a 

hearing, the court must determine the 

issues presented. 

(d) AVOIDANCE BY DEBTOR OF 

TRANSFERS OF EXEMPT 

PROPERTY. A proceeding under § 

522(f) to avoid a lien or other transfer of 

property exempt under the Code shall 

be commenced by motion in the manner 

provided by Rule 9014, or by serving a 

chapter 12 or chapter 13 plan on the 

affected creditors in the manner 

provided by Rule 7004 for service of a 

summons and complaint. 

Notwithstanding the provisions of 

subdivision (b), a creditor may object to 

a request under § 522(f) by challenging 

the validity of the exemption asserted to 

(d) Avoiding a Lien or Other Transfer 

of Exempt Property. 

(1) Bringing a Proceeding. A 

proceeding under § 522(f) to avoid a 

lien or other transfer of exempt 

property must be commenced by: 

(A) filing a motion under Rule 9014; or 

(B) serving a Chapter 12 or 13 plan on 

the affected creditors as Rule 7004 

provides for serving a summons 

and complaint. 

(2) Objecting to a Request Under 

§ 522(f). As an exception to (b), a 

creditor may object to a request under 

Rules Appendix B-190
(4000 Series) 16 

ORIGINAL REVISION

be impaired by the lien. § 522(f) by challenging the validity of 

the exemption asserted to be impaired 

by the lien. 

Committee Note 

The language of Rule 4003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-191
(4000 Series) 17 

ORIGINAL REVISION

Rule 4004. Grant or Denial of 

Discharge 

Rule 4004. Granting or Denying a 

Discharge1

(a) TIME FOR OBJECTING TO 

DISCHARGE; NOTICE OF TIME 

FIXED. In a chapter 7 case, a 

complaint, or a motion under § 727(a)(8) 

or (a)(9) of the Code, objecting to the 

debtor’s discharge shall be filed no later 

than 60 days after the first date set for 

the meeting of creditors under § 341(a). 

In a chapter 11 case, the complaint shall 

be filed no later than the first date set 

for the hearing on confirmation. In a 

chapter 13 case, a motion objecting to 

the debtor’s discharge under § 1328(f) 

shall be filed no later than 60 days after 

the first date set for the meeting of 

creditors under § 341(a). At least 28 

days’ notice of the time so fixed shall be 

given to the United States trustee and all 

creditors as provided in Rule 2002(f) 

and (k) and to the trustee and the 

trustee’s attorney. 

(a) Time to Object to a Discharge; Notice. 

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

complaint—or a motion under 

§ 727(a)(8) or (9)—objecting to a 

discharge must be filed within 60 

days after the first date set for 

the § 341(a) meeting of creditors. 

(2) Chapter 11. In a Chapter 11 case, a 

complaint objecting to a discharge 

must be filed on or before the first 

date set for the hearing on 

confirmation. 

(3) Chapter 13. In a Chapter 13 case, a 

motion objecting to a discharge under 

§ 1328(f) must be filed within 60 days 

after the first date set for the § 341(a) 

meeting of creditors. 

(4) Notice to the United States 

Trustee, the Creditors, and the 

Trustee. At least 28 days’ notice of the 

time for filing must be given to: 

 the United States trustee under 

Rule 2002(k); 

 all creditors under Rule 2002(f); 

 the trustee; and 

 the trustee’s attorney. 

(b) EXTENSION OF TIME. 

(1) On motion of any party in 

interest, after notice and hearing, the 

court may for cause extend the time to 

object to discharge. Except as provided 

in subdivision (b)(2), the motion shall be 

filed before the time has expired. 

(2) A motion to extend the time 

to object to discharge may be filed after 

the time for objection has expired and 

(b) Extending the Time to File an 

Objection. 

(1) Motion Before the Time Expires.

On a party in interest’s motion and 

after notice and a hearing, the court 

may, for cause, extend the time to 

object to a discharge. The motion must 

be filed before the time has expired. 

(2) Motion After the Time Has 

Expired. After the time to object has 

1 The rule as set out here shows only the restyling changes. A separate substantive amendment to Rule 4004 is set 

out (along with these style changes) infra at Rules Appendix B-458. 

Rules Appendix B-192
(4000 Series) 18 

ORIGINAL REVISION

before discharge is granted if (A) the 

objection is based on facts that, if 

learned after the discharge, would 

provide a basis for revocation under § 

727(d) of the Code, and (B) the movant 

did not have knowledge of those facts in 

time to permit an objection. The motion 

shall be filed promptly after the movant 

discovers the facts on which the 

objection is based. 

expired and before a discharge is 

granted, a party in interest may file a 

motion to extend the time if: 

(A) the objection is based on facts that, 

if learned after the discharge is 

granted, would provide a basis for 

revocation under § 727(d); 

(B) the movant did not know those 

facts in time to object; and 

(C) the movant files the motion 

promptly after learning about 

them. 

(c) GRANT OF DISCHARGE. 

(1) In a chapter 7 case, on 

expiration of the times fixed for 

objecting to discharge and for filing a 

motion to dismiss the case under Rule 

1017(e), the court shall forthwith grant 

the discharge, except that the court shall 

not grant the discharge if: 

(A) the debtor is not an 

individual; 

(B) a complaint, or a 

motion under § 727(a)(8) or (a)(9), 

objecting to the discharge has been filed 

and not decided in the debtor’s favor; 

(C) the debtor has filed a 

waiver under § 727(a)(10); 

(D) a motion to dismiss 

the case under § 707 is pending; 

(E) a motion to extend 

the time for filing a complaint objecting 

to the discharge is pending; 

(F) a motion to 

extend the time for filing a motion to 

dismiss the case under Rule 

1017(e)(1) is pending; 

(G) the debtor has not 

paid in full the filing fee prescribed by 

(c) Granting a Discharge. 

(1) Chapter 7. In a Chapter 7 case, when 

the times to object to discharge and to 

file a motion to dismiss the case under 

Rule 1017(e) expire, the court must 

promptly grant the discharge—except 

under these circumstances: 

(A) the debtor is not an individual; 

(B) a complaint—or a motion under 

§ 727(a)(8) or (9)—objecting to 

the discharge is pending; 

(C) the debtor has filed a waiver under 

§ 727(a)(10); 

(D) a motion is pending to dismiss the 

case under § 707; 

(E) a motion is pending to extend the 

time to file a complaint objecting 

to the discharge; 

(F) a motion is pending to extend the 

time to file a motion to dismiss the 

case under Rule 1017(e)(1); 

(G) the debtor has not fully paid the 

filing fee required by 28 U.S.C. 

§ 1930(a)—together with any 

other fee prescribed by the Judicial 

Conference of the United States 

under 28 U.S.C. § 1930(b) that is 

payable to the 

Rules Appendix B-193
(4000 Series) 19 

ORIGINAL REVISION

28 U.S.C. § 1930(a) and any other fee 

prescribed by the Judicial Conference of 

the United States under 28 U.S.C. § 

1930(b) that is payable to the clerk upon 

the commencement of a case under the 

Code, unless the court has waived the 

fees under 28 U.S.C. § 1930(f); 

(H) the debtor has not 

filed with the court a statement of 

completion of a course concerning 

personal financial management if 

required by Rule 1007(b)(7); 

(I) a motion to delay or 

postpone discharge under § 727(a)(12) is 

pending; 

(J) a motion to enlarge 

the time to file a reaffirmation 

agreement under Rule 4008(a) is 

pending; 

(K) a presumption is in 

effect under § 524(m) that a 

reaffirmation agreement is an undue 

hardship and the court has not 

concluded a hearing on the 

presumption; or 

(L) a motion is pending 

to delay discharge because the debtor 

has not filed with the court all tax 

documents required to be filed under 

§ 521(f). 

(2) Notwithstanding Rule 

4004(c)(1), on motion of the debtor, the 

court may defer the entry of an order 

granting a discharge for 30 days and, on 

motion within that period, the court may 

defer entry of the order to a date certain. 

(3) If the debtor is required to 

file a statement under Rule 1007(b)(8), 

the court shall not grant a discharge 

earlier than 30 days after the statement is 

filed. 

clerk upon commencing a 

case—unless the court has 

waived the fees under 28 U.S.C. 

§ 1930(f); 

(H) the debtor has not filed a statement 

showing that a course on personal 

financial management has been 

completed—if such a statement is 

required by Rule 1007(b)(7); 

(I) a motion is pending to delay or 

postpone a discharge under 

§ 727(a)(12); 

(J) a motion is pending to extend the 

time to file a reaffirmation 

agreement under Rule 4008(a); 

(K) the court has not concluded a 

hearing on a presumption—in 

effect under § 524(m)—that a 

reaffirmation agreement is an 

undue hardship; or 

(L) a motion is pending to delay 

discharge because the debtor has 

not filed with the court all tax 

documents required to be filed 

under § 521(f). 

(2) Delay in Entering a Discharge in 

General. On the debtor’s motion, the 

court may delay entering a discharge 

for 30 days and, on a motion made 

within that time, delay entry to a date 

certain. 

(3) Delaying Entry Because of Rule 

1007(b)(8). If the debtor is required 

to file a statement under Rule 

1007(b)(8), the court must not grant a 

discharge until at least 30 days after 

the statement is filed. 

(4) Individual Chapter 11 or Chapter 13 

Case. In a Chapter 11 case in which 

the debtor is an individual—or in a 

Chapter 13 case—the court must not 

Rules Appendix B-194
(4000 Series) 20 

ORIGINAL REVISION

(4) In a chapter 11 case in which 

the debtor is an individual, or a chapter 

13 case, the court shall not grant a 

discharge if the debtor has not filed any 

statement required by Rule 1007(b)(7). 

grant a discharge if the debtor has not 

filed a statement required by Rule 

1007(b)(7). 

(d) APPLICABILITY OF RULES IN 

PART VII AND RULE 9014. An 

objection to discharge is governed by 

Part VII of these rules, except that an 

objection to discharge under 

§§ 727(a)(8), (a)(9), or 1328(f) is 

commenced by motion and governed by 

Rule 9014. 

(d) Applying Part VII Rules and Rule 9014.

The Part VII rules govern an objection to a 

discharge, except that Rule 9014 governs an 

objection to a discharge under § 727(a)(8) 

or (9) or § 1328(f). 

(e) ORDER OF DISCHARGE. An 

order of discharge shall conform to the 

appropriate Official Form. 

(e) Form of a Discharge Order. A discharge 

order must conform to the appropriate 

Official Form. 

(f) REGISTRATION IN OTHER 

DISTRICTS. An order of discharge that 

has become final may be registered in 

any other district by filing a certified 

copy of the order in the office of the 

clerk of that district. When so registered 

the order of discharge shall have the 

same effect as an order of the court of 

the district where registered. 

(f) Registering a Discharge in Another 

District. A discharge order that becomes 

final may be registered in another district by 

filing a certified copy with the clerk for that 

district. When registered, the order has the 

same effect as an order of the court where it 

is registered. 

(g) NOTICE OF DISCHARGE. The 

clerk shall promptly mail a copy of the 

final order of discharge to those 

specified in subdivision (a) of this rule. 

(g) Notice of a Final Discharge Order. The 

clerk must promptly mail a copy of the final 

discharge order to those entities listed in 

(a)(4). 

Committee Note 

The language of Rule 4004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-195
(4000 Series) 21 

ORIGINAL REVISION

Rule 4005. Burden of Proof in 

Objecting to Discharge 

Rule 4005. Burden of Proof in 

Objecting to a Discharge 

At the trial on a complaint objecting to a 

discharge, the plaintiff has the burden of 

proving the objection. 

At a trial on a complaint objecting to a 

discharge, the plaintiff has the burden of proof. 

Committee Note 

The language of Rule 4005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-196
(4000 Series) 22 

ORIGINAL REVISION

Rule 4006. Notice of No Discharge Rule 4006. Notice When No 

Discharge Is Granted 

If an order is entered: denying a 

discharge; revoking a discharge; 

approving a waiver of discharge; or, in 

the case of an individual debtor, closing 

the case without the entry of a discharge, 

the clerk shall promptly notify all parties 

in interest in the manner provided by 

Rule 2002. 

The clerk must promptly notify in the manner 

provided by Rule 2002(f) all parties in interest of 

an order: 

(a) denying a discharge; 

(b) revoking a discharge; 

(c) approving a waiver of discharge; or 

(d) closing an individual debtor’s case without 

entering a discharge. 

Committee Note 

The language of Rule 4006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-197
(4000 Series) 23 

ORIGINAL REVISION

Rule 4007. Determination of 

Dischargeability of a Debt 

Rule 4007. Determining Whether a 

Debt Is Dischargeable 

(a) PERSONS ENTITLED TO FILE 

COMPLAINT. A debtor or any 

creditor may file a complaint to obtain a 

determination of the dischargeability of 

any debt. 

(a) Who May File a Complaint. A debtor or 

any creditor may file a complaint to 

determine whether a debt is dischargeable. 

(b) TIME FOR COMMENCING 

PROCEEDING OTHER THAN 

UNDER § 523(c) OF THE CODE. A 

complaint other than under § 523(c) may 

be filed at any time. A case may be 

reopened without payment of an 

additional filing fee for the purpose of 

filing a complaint to obtain a 

determination under this rule. 

(b) Time to File; No Fee for a Reopened 

Case. A complaint, except one under 

§ 523(c), may be filed at any time. If a case 

is reopened to permit filing the complaint, 

no fee for reopening is required. 

(c) TIME FOR FILING COMPLAINT 

UNDER § 523(c) IN A CHAPTER 7 

LIQUIDATION, CHAPTER 11 

REORGANIZATION, CHAPTER 12 

FAMILY FARMER’S DEBT 

ADJUSTMENT CASE, OR 

CHAPTER 13 INDIVIDUAL’S DEBT 

ADJUSTMENT CASE; NOTICE OF 

TIME FIXED. Except as otherwise 

provided in subdivision (d), a complaint 

to determine the dischargeability of a 

debt under § 523(c) shall be filed no 

later than 60 days after the first date set 

for the meeting of creditors under § 

341(a). The court shall give all creditors 

no less than 30 days’ notice of the time 

so fixed in the manner provided in Rule 

2002. On motion of a party in interest, 

after hearing on notice, the court may 

for cause extend the time fixed under 

this subdivision. The motion shall be 

filed before the time has expired. 

(c) Chapter 7, 11, 12, or 13—Time to File a 

Complaint Under § 523(c); Notice of 

Time; Extension. Except as (d) provides, 

a complaint to determine whether a debt is 

dischargeable under § 523(c) must be filed 

within 60 days after the first date set for the 

§ 341(a) meeting of creditors. The clerk 

must give all creditors at least 30 days’ 

notice of the time to file in the manner 

provided by Rule 2002. On a party in 

interest’s motion filed before the time 

expires, the court may, after notice and a 

hearing and for cause, extend the time to 

file. 

(d) TIME FOR FILING COMPLAINT 

UNDER § 523(a)(6) IN A CHAPTER 

13 INDIVIDUAL’S DEBT 

ADJUSTMENT CASE; NOTICE OF 

(d) Chapter 13—Time to File a Complaint 

Under § 523(a)(6); Notice of Time; 

Extension. When a debtor files a motion 

for a discharge under § 1328(b), the court 

Rules Appendix B-198
(4000 Series) 24 

ORIGINAL REVISION

TIME FIXED. On motion by a debtor 

for a discharge under § 1328(b), the 

court shall enter an order fixing the time 

to file a complaint to determine the 

dischargeability of any debt under § 

523(a)(6) and shall give no less than 30 

days’ notice of the time fixed to all 

creditors in the manner provided in Rule 

2002. On motion of any party in 

interest, after hearing on notice, the 

court may for cause extend the time 

fixed under this subdivision. The motion 

shall be filed before the time has 

expired. 

must set the time to file a complaint under 

§ 523(a)(6) to determine whether a debt is 

dischargeable. The clerk must give all 

creditors at least 30 days’ notice of the time 

to file in the manner provided by Rule 

2002. On a party in interest’s motion filed 

before the time expires, the court may, 

after notice and a hearing and for cause, 

extend the time to file. 

(e) APPLICABILITY OF RULES IN 

PART VII. A proceeding commenced 

by a complaint filed under this rule is 

governed by Part VII of these rules. 

(e) Applying Part VII Rules. The Part VII 

rules govern a proceeding on a complaint 

filed under this Rule 4007. 

Committee Note 

The language of Rule 4007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-199
(4000 Series) 25 

ORIGINAL REVISION

Rule 4008. Filing of Reaffirmation 

Agreement; Statement in Support of 

Reaffirmation Agreement 

Rule 4008. Reaffirmation Agreement 

and Supporting Statement 

(a) FILING OF REAFFIRMATION 

AGREEMENT. A reaffirmation 

agreement shall be filed no later than 60 

days after the first date set for the 

meeting of creditors under § 341(a) of 

the Code. The reaffirmation agreement 

shall be accompanied by a cover sheet, 

prepared as prescribed by the 

appropriate Official Form. The court 

may, at any time and in its discretion, 

enlarge the time to file a reaffirmation 

agreement. 

(a) Time to File; Cover Sheet. A 

reaffirmation agreement must be filed 

within 60 days after the first date set for the 

§ 341(a) meeting of creditors. The 

agreement must have a cover sheet 

prepared as prescribed by Form 427. At 

any time, the court may extend the time to 

file an agreement. 

(b) STATEMENT IN SUPPORT OF 

REAFFIRMATION AGREEMENT. 

The debtor’s statement required under § 

524(k)(6)(A) of the Code shall be 

accompanied by a statement of the total 

income and expenses stated on 

schedules I and J. If there is a difference 

between the total income and expenses 

stated on those schedules and the 

statement required under § 524(k)(6)(A), 

the statement required by this 

subdivision shall include an explanation 

of the difference. 

(b) Supporting Statement. The debtor’s 

supporting statement required by 

§ 524(k)(6)(A) must be accompanied by a 

statement of the total income and expenses 

as shown on Schedules I and J. If the 

income and expenses shown on the 

supporting statement differ from those 

shown on the schedules, the supporting 

statement must explain the difference. 

Committee Note 

The language of Rule 4008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-200
(5000 Series) 

PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF BANKRUPTCY PROCEDURE 

5000 Series 

Rules Appendix B-201
(5000 Series) 2 

ORIGINAL REVISION

PART V—Courts and Clerks PART V. COURTS AND CLERKS 

Rule 5001. Courts and Clerks’ Offices Rule 5001. Court Operations; Clerks’ 

Offices 

(a) COURTS ALWAYS OPEN. The 

courts shall be deemed always open for 

the purpose of filing any pleading or 

other proper paper, issuing and 

returning process, and filing, making, or 

entering motions, orders and rules. 

(a) Courts Always Open. Bankruptcy 

courts are considered always open for 

filing a pleading, motion, or other paper; 

issuing and returning process; making 

rules; or entering an order. 

(b) TRIALS AND HEARINGS; 

ORDERS IN CHAMBERS. All trials 

and hearings shall be conducted in open 

court and so far as convenient in a 

regular court room. Except as otherwise 

provided in 28 U.S.C. § 152(c), all other 

acts or proceedings may be done or 

conducted by a judge in chambers and 

at any place either within or without the 

district; but no hearing, other than one 

ex parte, shall be conducted outside the 

district without the consent of all parties 

affected thereby. 

(b) Location for Trials and Hearings; 

Proceedings in Chambers. Every trial or 

hearing must be held in open court—in a 

regular courtroom if convenient. Except as 

provided in 28 U.S.C. § 152(c), any other 

act may be performed—or a proceeding 

held—in chambers anywhere within or 

outside the district. But unless it is ex 

parte, a hearing may be held outside the 

district only if all affected parties consent. 

(c) CLERK’S OFFICE. The clerk’s 

office with the clerk or a deputy in 

attendance shall be open during 

business hours on all days except 

Saturdays, Sundays and the legal 

holidays listed in Rule 9006(a). 

(c) Clerk’s Office Hours. A clerk’s office—

with the clerk or a deputy in attendance—

must be open during business hours on 

all days except Saturdays, Sundays, and 

the legal holidays listed in Rule 9006(a)(6). 

Committee Note 

The language of Rule 5001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only.

Rules Appendix B-202
(5000 Series) 3 

ORIGINAL REVISION

Rule 5002. Restrictions on Approval 

of Appointments 

Rule 5002. Restrictions on Approving 

Court Appointments 

(a) APPROVAL OF APPOINTMENT 

OF RELATIVES PROHIBITED. The 

appointment of an individual as a trustee 

or examiner pursuant to § 1104 of the 

Code shall not be approved by the court 

if the individual is a relative of the 

bankruptcy judge approving the 

appointment or the United States trustee 

in the region in which the case is 

pending. The employment of an 

individual as an attorney, accountant, 

appraiser, auctioneer, or other 

professional person pursuant to §§ 327, 

1103, or 1114 shall not be approved by 

the court if the individual is a relative of 

the bankruptcy judge approving the 

employment. The employment of an 

individual as attorney, accountant, 

appraiser, auctioneer, or other 

professional person pursuant to §§ 327, 

1103, or 1114 may be approved by the 

court if the individual is a relative of the 

United States trustee in the region in 

which the case is pending, unless the 

court finds that the relationship with the 

United States trustee renders the 

employment improper under the 

circumstances of the case. Whenever 

under this subdivision an individual may 

not be approved for appointment or 

employment, the individual’s firm, 

partnership, corporation, or any other 

form of business association or 

relationship, and all members, associates 

and professional employees thereof also 

may not be approved for appointment 

or employment. 

(a) Appointing or Employing Relatives. 

(1) Trustee or Examiner. A bankruptcy 

judge must not approve appointing 

an individual as a trustee or examiner 

under § 1104 if the individual is a 

relative of either the judge or the 

United States trustee in the region 

where the case is pending. 

(2) Attorney, Accountant, Appraiser, 

Auctioneer, or Other Professional 

Person. A bankruptcy judge must not 

approve employing under § 327, 

§ 1103, or § 1114 an individual as an 

attorney, accountant, appraiser, 

auctioneer, or other professional 

person who is a relative of the judge. 

The court may approve employing a 

relative of the United States trustee in 

the region where the case is pending, 

unless the relationship makes the 

employment improper. 

(3) Related Entities and Associates. If 

an appointment under (1) or an 

employment under (2) is forbidden, so 

is appointing or employing: 

(A) any entity—including any firm, 

partnership, or corporation—with 

which the individual has a business 

association or relationship; or 

(B) a member, associate, or 

professional employee of 

such an entity. 

(b) JUDICIAL DETERMINATION 

THAT APPROVAL OF 

APPOINTMENT OR 

EMPLOYMENT IS IMPROPER. A 

bankruptcy judge may not approve the 

(b) Other Considerations in Approving 

Appointments or Employment. A 

bankruptcy judge must not approve 

appointing a person as a trustee or 

examiner— 

Rules Appendix B-203
(5000 Series) 4 

ORIGINAL REVISION

appointment of a person as a trustee or 

examiner pursuant to § 1104 of the 

Code or approve the employment of a 

person as an attorney, accountant, 

appraiser, auctioneer, or other 

professional person pursuant to §§ 327, 

1103, or 1114 of the Code if that 

person is or has been so connected with 

such judge or the United States trustee 

as to render the appointment or 

employment improper. 

or employing an attorney, accountant, 

appraiser, auctioneer, or other professional 

person—if the person is, or has been, so 

connected with the judge or the United 

States trustee as to make the appointment 

or employment improper. 

Committee Note 

The language of Rule 5002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-204
(5000 Series) 5 

ORIGINAL REVISION

Rule 5003. Records Kept By the 

Clerk 

Rule 5003. Records to Be Kept by the 

Clerk 

(a) BANKRUPTCY DOCKETS. The 

clerk shall keep a docket in each case 

under the Code and shall enter thereon 

each judgment, order, and activity in 

that case as prescribed by the Director 

of the Administrative Office of the 

United States Courts. The entry of a 

judgment or order in a docket shall 

show the date the entry is made. 

(a) Bankruptcy Docket. The clerk must keep 

a docket in each case and must: 

(1) enter on the docket each judgment, 

order, and activity, as prescribed by 

the Director of the Administrative 

Office of the United States Courts; 

and 

(2) show the date of entry for each 

judgment or order. 

(b) CLAIMS REGISTER. The clerk 

shall keep in a claims register a list of 

claims filed in a case when it appears 

that there will be a distribution to 

unsecured creditors. 

(b) Claims Register. When it appears that 

there will be a distribution to unsecured 

creditors, the clerk must keep in a claims 

register a list of the claims filed in the 

case. 

(c) JUDGMENTS AND ORDERS. 

The clerk shall keep, in the form and 

manner as the Director of the 

Administrative Office of the United 

States Courts may prescribe, a correct 

copy of every final judgment or order 

affecting title to or lien on real property 

or for the recovery of money or 

property, and any other order which the 

court may direct to be kept. On request 

of the prevailing party, a correct copy of 

every judgment or order affecting title 

to or lien upon real or personal property 

or for the recovery of money or 

property shall be kept and indexed with 

the civil judgments of the district court. 

(c) Judgments and Orders. 

(1) In General. In the form and 

manner prescribed by the Director 

of the Administrative Office of the 

United States Courts, the clerk must 

keep a copy of: 

(A) every final judgment or order 

affecting title to, or a lien on, real 

property; 

(B) every final judgment or order for 

the recovery of money or 

property; and 

(C) any other order the court 

designates. 

(2) Indexing with the District Court. 

On a prevailing party’s request, a 

copy of the following must be kept 

and indexed with the district court’s 

civil judgments: 

(A) every final judgment or order 

affecting title to, or a lien on, real 

or personal property; and 

Rules Appendix B-205
(5000 Series) 6 

ORIGINAL REVISION

(B) every final judgment or order 

for the recovery of money or 

property. 

(d) INDEX OF CASES; 

CERTIFICATE OF SEARCH. The 

clerk shall keep indices of all cases and 

adversary proceedings as prescribed by 

the Director of the Administrative 

Office of the United States Courts. On 

request, the clerk shall make a search of 

any index and papers in the clerk’s 

custody and certify whether a case or 

proceeding has been filed in or 

transferred to the court or if a discharge 

has been entered in its records. 

(d) Index of Cases; Certificate of Search. 

(1) Index of Cases. The clerk must 

keep an index of cases and adversary 

proceedings in the form and manner 

prescribed by the Director of the 

Administrative Office of the United 

States Courts. 

(2) Searching the Index; Certificate 

of Search. On request, the clerk 

must search the index and papers in 

the clerk’s custody and certify 

whether: 

(A) a case or proceeding has been filed 

in or transferred to the court; or 

(B) a discharge has been entered. 

(e) REGISTER OF MAILING 

ADDRESSES OF FEDERAL AND 

STATE GOVERNMENTAL UNITS 

AND CERTAIN TAXING 

AUTHORITIES. The United States or 

the state or territory in which the court 

is located may file a statement 

designating its mailing address. The 

United States, state, territory, or local 

governmental unit responsible for 

collecting taxes within the district in 

which the case is pending may also file a 

statement designating an address for 

service of requests under § 505(b) of the 

Code, and the designation shall describe 

where further information concerning 

additional requirements for filing such 

requests may be found. The clerk shall 

keep, in the form and manner as the 

Director of the Administrative Office of 

the United States Courts may prescribe, 

a register that includes the mailing 

addresses designated under the first 

sentence of this subdivision, and a 

(e) Register of Mailing Addresses of 

Federal and State Governmental 

Units and Certain Taxing Authorities. 

(1) In General. The United States—or 

a state or a territory where the court 

is located—may file a statement 

designating its mailing address. A 

taxing authority (including a local 

taxing authority) may also file a 

statement designating an address for 

serving requests under § 505(b). The 

authority’s designation must describe 

where to find further information 

about additional requirements for 

serving a request. 

(2) Register of Mailing Address.

(A) In General. In the form and 

manner prescribed by the 

Director of the Administrative 

Office of the United States 

Courts, the clerk must keep a 

register of the mailing addresses 

Rules Appendix B-206
(5000 Series) 7 

ORIGINAL REVISION

separate register of the addresses 

designated for the service of requests 

under § 505(b) of the Code. The clerk is 

not required to include in any single 

register more than one mailing address 

for each department, agency, or 

instrumentality of the United States or 

the state or territory. If more than one 

address for a department, agency, or 

instrumentality is included in the 

register, the clerk shall also include 

information that would enable a user of 

the register to determine the 

circumstances when each address is 

applicable, and mailing notice to only 

one applicable address is sufficient to 

provide effective notice. The clerk shall 

update the register annually, effective 

January 2 of each year. The mailing 

address in the register is conclusively 

presumed to be a proper address for the 

governmental unit, but the failure to use 

that mailing address does not invalidate 

any notice that is otherwise effective 

under applicable law. 

of the governmental units listed 

in the first sentence of (1) and a 

separate register containing the 

addresses of taxing authorities for 

serving requests under § 505(b). 

(B) Number of Entries. The clerk need 

not include in any register more 

than one mailing address for 

each department, agency, or 

instrumentality of the United 

States or the state or territory. 

But if more than one mailing 

address is included, the clerk 

must also include information 

that would enable a user to 

determine when each address 

applies. Mailing to only one 

applicable address provides 

effective notice. 

(C) Keeping the Register Current. The 

clerk must update the register 

annually, as of January 2 of 

each year. 

(D) Mailing Address Presumed to Be 

Proper. A mailing address in the 

register is conclusively 

presumed to be proper. But a 

failure to use that address does 

not invalidate a notice that is 

otherwise effective under 

applicable law. 

(f) OTHER BOOKS AND RECORDS 

OF THE CLERK. The clerk shall keep 

any other books and records required 

by the Director of the Administrative 

Office of the United States Courts. 

(f) Other Books and Records. The clerk 

must keep any other books and records 

required by the Director of the 

Administrative Office of the United 

States Courts. 

Committee Note

The language of Rule 5003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-207
(5000 Series) 8 

ORIGINAL REVISION

Rule 5004. Disqualification Rule 5004. Disqualifying a 

Bankruptcy Judge 

(a) DISQUALIFICATION OF 

JUDGE. A bankruptcy judge shall be 

governed by 28 U.S.C. § 455, and 

disqualified from presiding over the 

proceeding or contested matter in which 

the disqualifying circumstances arises or, 

if appropriate, shall be disqualified from 

presiding over the case. 

(a) From Presiding Over a Proceeding, 

Contested Matter, or Case. A bankruptcy 

judge’s disqualification is governed by 28 

U.S.C. § 455. The judge is disqualified from 

presiding over a proceeding or contested 

matter in which a disqualifying 

circumstance arises—and, when 

appropriate, from presiding over the entire 

case. 

(b) DISQUALIFICATION OF 

JUDGE FROM ALLOWING 

COMPENSATION. A bankruptcy 

judge shall be disqualified from 

allowing compensation to a person who 

is a relative of the bankruptcy judge or 

with whom the judge is so connected as 

to render it improper for the judge to 

authorize such compensation. 

(b) From Allowing Compensation. The 

bankruptcy judge is disqualified from 

allowing compensation to a relative or to a 

person who is so connected with the judge 

as to make the judge’s allowing it improper. 

Committee Note 

The language of Rule 5004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-208
(5000 Series) 9 

ORIGINAL REVISION

Rule 5005. Filing and Transmittal of 

Papers 

Rule 5005. Filing Papers and 

Sending Copies to the United States 

Trustee 

(a) FILING. 

(1) Place of Filing. The lists, 

schedules, statements, proofs of claim or 

interest, complaints, motions, 

applications, objections and other papers 

required to be filed by these rules, 

except as provided in 28 U.S.C. § 1409, 

shall be filed with the clerk in the district 

where the case under the Code is 

pending. The judge of that court may 

permit the papers to be filed with the 

judge, in which event the filing date shall 

be noted thereon, and they shall be 

forthwith transmitted to the clerk. The 

clerk shall not refuse to accept for filing 

any petition or other paper presented for 

the purpose of filing solely because it is 

not presented in proper form as required 

by these rules or any local rules or 

practices. 

(2) Electronic Filing and Signing. 

(A) By a Represented 

Entity—Generally Required; Exceptions. An 

entity represented by an attorney shall 

file electronically, unless nonelectronic 

filing is allowed by the court for good 

cause or is allowed or required by local 

rule. 

(B) By an Unrepresented 

Individual—When Allowed or Required. 

An individual not represented by an 

attorney: 

(i) may file 

electronically only if allowed by court 

order or by local rule; and 

(ii) may be 

required to file electronically only 

by court order, or by a local rule 

that includes reasonable exceptions. 

(a) Filing Papers. 

(1) With the Clerk. Except as provided 

in 28 U.S.C. § 1409, the following 

papers required to be filed by these 

rules must be filed with the clerk in 

the district where the case is pending: 

 lists; 

 schedules; 

 statements; 

 proofs of claim or interest; 

 complaints; 

 motions; 

 applications; 

 objections; and 

 other required papers. 

The clerk must not refuse to accept 

for filing any petition or other paper 

solely because it is not in the form 

required by these rules or by any local 

rule or practice. 

(2) With a Judge of the Court. A judge 

may personally accept for filing a 

paper listed in (1). The judge must 

note on it the date of filing and 

promptly send it to the clerk. 

(3) Electronic Filing and Signing.

(A) By a Represented Entity—Generally 

Required; Exceptions. An entity 

represented by an attorney must 

file electronically, unless 

nonelectronic filing is allowed 

by the court for cause or is 

allowed or required by local rule. 

Rules Appendix B-209
(5000 Series) 10 

ORIGINAL REVISION

(C) Signing. A filing made 

through a person’s electronic filing 

account and authorized by that person, 

together with that person’s name on a 

signature block, constitutes the person’s 

signature. 

(D) Same as a Written 

Paper. A paper filed electronically is a 

written paper for purposes of these 

rules, the Federal Rules of Civil 

Procedure made applicable by these 

rules, and § 107 of the Code. 

(B) By an Unrepresented Individual—

When Allowed or Required. An 

individual not represented by an 

attorney: 

(i) may file electronically only if 

allowed by court order or 

local rule; and 

(ii) may be required to file 

electronically only by court 

order, or by a local rule that 

includes reasonable exceptions. 

(C) Signing. A filing made through a 

person’s electronic-filing 

account and authorized by that 

person, together with the 

person’s name on a signature 

block, constitutes the person’s 

signature. 

(D) Same as a Written Paper. A paper 

filed electronically is a written 

paper for purposes of these 

rules, the Federal Rules of Civil 

Procedure made applicable by 

these rules, and § 107. 

(b) TRANSMITTAL TO THE 

UNITED STATES TRUSTEE. 

(1) The complaints, notices, 

motions, applications, objections and 

other papers required to be transmitted 

to the United States trustee may be sent 

by filing with the court’s electronic-filing 

system in accordance with Rule 9036, 

unless a court order or local rule 

provides otherwise. 

(2) The entity, other than the 

clerk, transmitting a paper to the United 

States trustee other than through the 

court’s electronic-filing system shall 

promptly file as proof of such 

transmittal a statement identifying the 

paper and stating the manner by which 

and the date on which it was transmitted 

to the United States trustee. 

(b) Sending Copies to the United States 

Trustee. 

(1) Papers Sent Electronically. All 

papers required to be sent to the 

United States trustee may be sent by 

using the court’s electronic-filing 

system in accordance with Rule 

9036, unless a court order or local 

rule provides otherwise. 

(2) Papers Not Sent Electronically. 

If an entity other than the clerk 

sends a paper to the United States 

trustee without using the court’s 

electronic-filing system, the entity 

must promptly file a statement 

identifying the paper and stating the 

manner by which and the date it was 

sent. The clerk need not send a copy 

of a paper to a United States trustee 

Rules Appendix B-210
(5000 Series) 11 

ORIGINAL REVISION

 (3) Nothing in these rules shall 

require the clerk to transmit any paper 

to the United States trustee if the 

United States trustee requests in writing 

that the paper not be transmitted. 

who requests in writing that it not be 

sent.

(c) ERROR IN FILING OR 

TRANSMITTAL. A paper intended to 

be filed with the clerk but erroneously 

delivered to the United States trustee, 

the trustee, the attorney for the trustee, a 

bankruptcy judge, a district judge, the 

clerk of the bankruptcy appellate panel, 

or the clerk of the district court shall, 

after the date of its receipt has been 

noted thereon, be transmitted forthwith 

to the clerk of the bankruptcy court. A 

paper intended to be transmitted to the 

United States trustee but erroneously 

delivered to the clerk, the trustee, the 

attorney for the trustee, a bankruptcy 

judge, a district judge, the clerk of the 

bankruptcy appellate panel, or the clerk 

of the district court shall, after the date 

of its receipt has been noted thereon, be 

transmitted forthwith to the United 

States trustee. In the interest of justice, 

the court may order that a paper 

erroneously delivered shall be deemed 

filed with the clerk or transmitted to the 

United States trustee as of the date of its 

original delivery. 

(c) When a Paper Is Erroneously Filed or 

Delivered. 

(1) Paper Intended for the Clerk. If a 

paper intended to be filed with the 

clerk is erroneously delivered to a 

person listed below, that person 

must note on it the date of receipt 

and promptly send it to the clerk: 

 the United States trustee; 

 the trustee; 

 the trustee’s attorney; 

 a bankruptcy judge; 

 a district judge; 

 the clerk of the 

bankruptcy appellate 

panel; or 

 the clerk of the district court. 

(2) Paper Intended for the United 

States Trustee. If a paper intended 

for the United States trustee is 

erroneously delivered to the clerk or 

to another person listed in (1), the 

clerk or that person must note on it 

the date of receipt and promptly 

send it to the United States trustee. 

(3) Applicable Filing Date. In the 

interests of justice, the court may 

order that the original receipt date 

shown on a paper erroneously 

delivered under (1) or (2) be deemed 

the date it was filed with the clerk or 

sent to the United States trustee. 

Rules Appendix B-211
(5000 Series) 12 

Committee Note 

The language of Rule 5005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-212
(5000 Series) 13 

ORIGINAL REVISION

Rule 5006. Certification of Copies of 

Papers 

Rule 5006. Providing Certified Copies 

The clerk shall issue a certified copy of 

the record of any proceeding in a case 

under the Code or of any paper filed 

with the clerk on payment of any 

prescribed fee. 

Upon payment of the prescribed fee, the clerk 

must issue a certified copy of the record of any 

proceeding or any paper filed with the clerk. 

Committee Note

The language of Rule 5006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-213
(5000 Series) 14 

ORIGINAL REVISION

Rule 5007. Record of Proceedings 

and Transcripts 

Rule 5007. Record of Proceedings; 

Transcripts 

(a) FILING OF RECORD OR 

TRANSCRIPT. The reporter or 

operator of a recording device shall 

certify the original notes of testimony, 

tape recording, or other original record 

of the proceeding and promptly file 

them with the clerk. The person 

preparing any transcript shall promptly 

file a certified copy. 

(a) Filing Original Notes, Tape 

Recordings, and Other Original 

Records of a Proceeding; 

Transcripts. 

(1) Records. The reporter or operator of 

a recording device must certify the 

original notes of testimony, any tape 

recordings, and other original records 

of a proceeding and must promptly file 

them with the clerk. 

(2) Transcripts. A person who prepares a 

transcript must promptly file a certified 

copy with the clerk. 

(b) TRANSCRIPT FEES. The fees for 

copies of transcripts shall be charged at 

rates prescribed by the Judicial 

Conference of the United States. No 

fee may be charged for the certified 

copy filed with the clerk. 

(b) Fee for a Transcript. The fee for a copy 

of a transcript must be charged at the rate 

prescribed by the Judicial Conference of 

the United States. No fee may be charged 

for filing the certified copy. 

(c) ADMISSIBILITY OF RECORD IN 

EVIDENCE. A certified sound 

recording or a transcript of a proceeding 

shall be admissible as prima facie 

evidence to establish the record. 

(c) Sound Recording or Transcript as 

Prima Facie Evidence. In any 

proceeding, a certified sound recording or 

a transcript of a proceeding is admissible as 

prima facie evidence of the record. 

Committee Note 

The language of Rule 5007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-214
(5000 Series) 15 

ORIGINAL REVISION

Rule 5008. Notice Regarding 

Presumption of Abuse in Chapter 7 

Cases of Individual Debtors 

Rule 5008. Chapter 7—Notice That a 

Presumption of Abuse Has Arisen 

Under § 707(b) 

If a presumption of abuse has arisen 

under § 707(b) in a chapter 7 case of an 

individual with primarily consumer 

debts, the clerk shall within 10 days after 

the date of the filing of the petition 

notify creditors of the presumption of 

abuse in accordance with Rule 2002. If 

the debtor has not filed a statement 

indicating whether a presumption of 

abuse has arisen, the clerk shall within 

10 days after the date of the filing of the 

petition notify creditors that the debtor 

has not filed the statement and that 

further notice will be given if a later filed 

statement indicates that a presumption 

of abuse has arisen. If a debtor later files 

a statement indicating that a 

presumption of abuse has arisen, the 

clerk shall notify creditors of the 

presumption of abuse as promptly as 

practicable. 

(a) Notice to Creditors. When a 

presumption of abuse under § 707(b) arises 

in a Chapter 7 case of an individual debtor 

with primarily consumer debts, the clerk 

must, within 10 days after the petition is 

filed, so notify the creditors in accordance 

with Rule 2002. 

(b) Debtor’s Statement. If the debtor does 

not file a statement indicating whether a 

presumption has arisen, the clerk must, 

within 10 days after the petition is filed, so 

notify creditors and indicate that further 

notice will be given if a later-filed statement 

shows that the presumption has arisen. If 

the debtor later files such a statement, the 

clerk must promptly notify the creditors. 

Committee Note 

The language of Rule 5008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-215
(5000 Series) 16 

ORIGINAL REVISION

Rule 5009. Closing Chapter 7, Chapter 

12, Chapter 13, and Chapter 15 Cases; 

Order Declaring Lien Satisfied 

Rule 5009. Closing a Chapter 7, 12, 13, 

or 15 Case; Declaring Liens Satisfied1

(a) CLOSING OF CASES UNDER 

CHAPTERS 7, 12, AND 13. If in a 

chapter 7, chapter 12, or chapter 13 case 

the trustee has filed a final report and 

final account and has certified that the 

estate has been fully administered, and if 

within 30 days no objection has been 

filed by the United States trustee or a 

party in interest, there shall be a 

presumption that the estate has been 

fully administered. 

(a) Closing a Chapter 7, 12, or 13 Case. The 

estate in a Chapter 7, 12, or 13 case is 

presumed to have been fully administered 

when: 

(1) the trustee has filed a final report and 

final account and has certified that the 

estate has been fully administered; 

and 

(2) within 30 days after the filing, no 

objection to the report has been filed 

by the United States trustee or a 

party in interest. 

(b) NOTICE OF FAILURE TO FILE 

RULE 1007(b)(7) STATEMENT. If an 

individual debtor in a chapter 7 or 13 

case is required to file a statement under 

Rule 1007(b)(7) and fails to do so within 

45 days after the first date set for the 

meeting of creditors under § 341(a) of 

the Code, the clerk shall promptly notify 

the debtor that the case will be closed 

without entry of a discharge unless the 

required statement is filed within the 

applicable time limit under Rule 1007(c). 

(b) Chapter 7 or 13—Notice of a Failure to 

File a Statement About Completing a 

Course on Personal Financial 

Management. This subdivision (b) 

applies if an individual debtor in a Chapter 

7 or 13 case is required to file a statement 

under Rule 1007(b)(7) and fails to do so 

within 45 days after the first date set for 

the meeting of creditors under § 341(a). 

The clerk must promptly notify the debtor 

that the case will be closed without 

entering a discharge if the statement is not 

filed within the time prescribed by Rule 

1007(c). 

(c) CASES UNDER CHAPTER 15. A 

foreign representative in a proceeding 

recognized under § 1517 of the Code 

shall file a final report when the purpose 

of the representative’s appearance in the 

court is completed. The report shall 

describe the nature and results of the 

representative’s activities in the court. 

The foreign representative shall transmit 

the report to the United States trustee, 

and give notice of its filing to the 

debtor, all persons or bodies authorized 

to administer foreign proceedings of the 

debtor, all parties to litigation pending in 

(c) Closing a Chapter 15 Case. 

(1) Foreign Representative’s Final 

Report. In a proceeding recognized 

under § 1517, when the purpose of a 

foreign representative’s appearance is 

completed, the representative must 

file a final report describing the 

nature and results of the 

representative’s activities in the 

court. 

(2) Giving Notice of the Report. The 

representative must send a copy of the 

report to the United States trustee, give 

1 The rule as set out here shows only the restyling changes. A separate substantive amendment to Rule 5009 is set 

out (along with these style changes) infra at Rules Appendix B-460. 

Rules Appendix B-216
(5000 Series) 17 

ORIGINAL REVISION

the United States in which the debtor 

was a party at the time of the filing of 

the petition, and such other entities as 

the court may direct. The foreign 

representative shall file a certificate with 

the court that notice has been given. If 

no objection has been filed by the 

United States trustee or a party in 

interest within 30 days after the 

certificate is filed, there shall be a 

presumption that the case has been 

fully administered. 

notice of its filing, and file a 

certificate indicating that the 

notice has been given to: 

(A) the debtor; 

(B) all persons or bodies authorized 

to administer the debtor’s foreign 

proceedings; 

(C) all parties to litigation pending in 

the United States in which the 

debtor was a party when the 

petition was filed; and 

(D) any other entity the court 

designates. 

(3) Presumption of Full 

Administration. If the United 

States trustee or a party in interest 

does not file an objection within 30 

days after the certificate is filed, the 

case is presumed to have been fully 

administered. 

(d) ORDER DECLARING LIEN 

SATISFIED. In a chapter 12 or chapter 

13 case, if a claim that was secured by 

property of the estate is subject to a lien 

under applicable nonbankruptcy law, the 

debtor may request entry of an order 

declaring that the secured claim has been 

satisfied and the lien has been released 

under the terms of a confirmed plan. 

The request shall be made by motion 

and shall be served on the holder of the 

claim and any other entity the court 

designates in the manner provided by 

Rule 7004 for service of a summons and 

complaint. 

(d) Order Declaring a Lien Satisfied. This 

subdivision (d) applies in a Chapter 12 or 

13 case when a claim secured by property 

of the estate is subject to a lien under 

applicable nonbankruptcy law. The debtor 

may move for an order declaring that the 

secured claim has been satisfied and the 

lien has been released under the terms of 

the confirmed plan. The motion must be 

served—in the manner provided by 

Rule 7004 for serving a summons and 

complaint—on the claim holder and any 

other entity the court designates. 

Committee Note 

The language of Rule 5009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-217
(5000 Series) 18 

ORIGINAL REVISION

Rule 5010. Reopening Cases Rule 5010. Reopening a Case 

A case may be reopened on motion of 

the debtor or other party in interest 

pursuant to § 350(b) of the Code. In a 

chapter 7, 12, or 13 case a trustee shall 

not be appointed by the United States 

trustee unless the court determines that 

a trustee is necessary to protect the 

interests of creditors and the debtor or 

to insure efficient administration of the 

case. 

On the debtor’s or another party in interest’s 

motion, the court may, under § 350(b), reopen a 

case. In a reopened Chapter 7, 12, or 13 case, 

the United States trustee must not appoint a 

trustee unless the court determines that one is 

needed to protect the interests of the creditors 

and the debtor, or to ensure that the reopened 

case is efficiently administered. 

Committee Note 

The language of Rule 5010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-218
(5000 Series) 19 

ORIGINAL REVISION

Rule 5011. Withdrawal and 

Abstention from Hearing a 

Proceeding 

Rule 5011. Motion to Withdraw a Case 

or Proceeding or to Abstain from 

Hearing a Proceeding; Staying a 

Proceeding 

(a) WITHDRAWAL. A motion for 

withdrawal of a case or proceeding shall 

be heard by a district judge. 

(a) Withdrawing a Case or Proceeding. A 

motion to withdraw a case or proceeding 

under 28 U.S.C. § 157(d) must be heard by 

a district judge. 

(b) ABSTENTION FROM HEARING 

A PROCEEDING. A motion for 

abstention pursuant to 28 U.S.C. § 

1334(c) shall be governed by Rule 9014 

and shall be served on the parties to the 

proceeding. 

(b) Abstaining from Hearing a 

Proceeding. Rule 9014 governs a motion 

asking the court to abstain from hearing a 

proceeding under 28 U.S.C. § 1334(c). The 

motion must be served on all parties to the 

proceeding. 

(c) EFFECT OF FILING OF MOTION 

FOR WITHDRAWAL OR 

ABSTENTION. The filing of a motion 

for withdrawal of a case or proceeding or 

for abstention pursuant to 28 U.S.C. 

§ 1334(c) shall not stay the administration 

of the case or any proceeding therein 

before the bankruptcy judge except that 

the bankruptcy judge may stay, on such 

terms and conditions as are proper, 

proceedings pending disposition of the 

motion. A motion for a stay ordinarily 

shall be presented first to the bankruptcy 

judge. A motion for a stay or relief from 

a stay filed in the district court shall state 

why it has not been presented to or 

obtained from the bankruptcy judge. 

Relief granted by the district judge shall 

be on such terms and conditions as the 

judge deems proper. 

(c) Staying a Proceeding After a Motion to 

Withdraw or Abstain. A motion filed 

under (a) or (b) does not stay proceedings 

in a case or affect its administration. But a 

bankruptcy judge may, on proper terms 

and conditions, stay a proceeding until the 

motion is decided. 

(d) Motion to Stay a Proceeding. A motion 

to stay a proceeding must ordinarily be 

submitted first to the bankruptcy judge. If 

it—or a motion for relief from a stay—is 

filed in the district court, the motion must 

state why it was not first presented to or 

obtained from the bankruptcy judge. The 

district judge may grant relief on proper 

terms and conditions. 

Committee Note

The language of Rule 5011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-219
(5000 Series) 20 

ORIGINAL REVISION

Rule 5012. Agreements Concerning 

Coordination of Proceedings in 

Chapter 15 Cases 

Rule 5012. Chapter 15—Agreement to 

Coordinate Proceedings 

Approval of an agreement under 

§ 1527(4) of the Code shall be sought 

by motion. The movant shall attach to 

the motion a copy of the proposed 

agreement or protocol and, unless the 

court directs otherwise, give at least 30 

days’ notice of any hearing on the 

motion by transmitting the motion to 

the United States trustee, and serving it 

on the debtor, all persons or bodies 

authorized to administer foreign 

proceedings of the debtor, all entities 

against whom provisional relief is being 

sought under § 1519, all parties to 

litigation pending in the United States in 

which the debtor was a party at the time 

of the filing of the petition, and such 

other entities as the court may direct. 

An agreement to coordinate proceedings under 

§ 1527(4) may be approved on motion with an 

attached copy of the agreement or protocol. 

Unless the court orders otherwise, the movant 

must give at least 30 days’ notice of any hearing 

on the motion by sending a copy to the United 

States trustee and serving it on: 

 the debtor; 

 all persons or bodies authorized to 

administer the debtor’s foreign 

proceedings; 

 all entities against whom provisional 

relief is sought under § 1519; 

 all parties to litigation pending in the 

United States in which the debtor was a 

party when the petition was filed; and 

 any other entity the court designates. 

Committee Note 

The language of Rule 5012 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-220
(6000 Series) 

PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF BANKRUPTCY PROCEDURE 

6000 Series 

Rules Appendix B-221
(6000 Series) 2 

ORIGINAL REVISION 

PART VI—COLLECTION AND 

LIQUIDATION OF THE ESTATE 

PART VI. COLLECTING AND 

LIQUIDATING THE ESTATE 

Rule 6001. Burden of Proof As to 

Validity of Postpetition Transfer 

Rule 6001. Burden of Proving the 

Validity of a Postpetition Transfer 

Any entity asserting the validity of a 

transfer under § 549 of the Code shall 

have the burden of proof. 

An entity that asserts the validity of a 

postpetition transfer under § 549 has the burden 

of proof. 

Committee Note

The language of Rule 6001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-222
(6000 Series) 3 

ORIGINAL REVISION

Rule 6002. Accounting by Prior 

Custodian of Property of the Estate 

Rule 6002. Custodian’s Report to the 

United States Trustee 

(a) ACCOUNTING REQUIRED. Any 

custodian required by the Code to 

deliver property in the custodian’s 

possession or control to the trustee shall 

promptly file and transmit to the United 

States trustee a report and account with 

respect to the property of the estate and 

the administration thereof. 

(a) Custodian’s Report and Account. A 

custodian required by the Code to deliver 

property to the trustee must promptly file 

and send to the United States trustee a 

report and account about the property of 

the estate and its administration. 

(b) EXAMINATION OF 

ADMINISTRATION. On the filing and 

transmittal of the report and account 

required by subdivision (a) of this rule 

and after an examination has been made 

into the superseded administration, after 

notice and a hearing, the court shall 

determine the propriety of the 

administration, including the 

reasonableness of all disbursements. 

(b) Examining the Administration. After the 

custodian’s report and account has been 

filed and the superseded administration has 

been examined, the court must, after notice 

and a hearing, determine whether the 

custodian’s administration has been proper, 

including whether disbursements have been 

reasonable. 

Committee Note

The language of Rule 6002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-223
(6000 Series) 4 

ORIGINAL REVISION

Rule 6003. Interim and Final Relief 

Immediately Following the 

Commencement of the Case— 

Applications for Employment; 

Motions for Use, Sale, or Lease of 

Property; and Motions for 

Assumption or Assignment of 

Executory Contracts 

Rule 6003. Prohibition on Granting 

Certain Applications and Motions 

Made Immediately After the Petition 

Is Filed 

Except to the extent that relief is 

necessary to avoid immediate and 

irreparable harm, the court shall not, 

within 21 days after the filing of the 

petition, issue an order granting the 

following: 

(a) an application under Rule 

2014; 

(b) a motion to use, sell, lease, or 

otherwise incur an obligation regarding 

property of the estate, including a 

motion to pay all or part of a claim that 

arose before the filing of the petition, 

but not a motion under Rule 4001; or 

(c) a motion to assume or assign 

an executory contract or unexpired lease 

in accordance with § 365. 

(a) In General. Unless relief is needed to 

avoid immediate and irreparable harm, the 

court must not, within 21 days after the 

petition is filed, grant an application or 

motion to: 

(1) employ a professional person under 

Rule 2014; 

(2) use, sell, or lease property of the estate, 

including a motion to pay all or a part 

of a claim that arose before the 

petition was filed; 

(3) incur any other obligation regarding 

the property of the estate; or 

(4) assume or assign an executory contract 

or unexpired lease under § 365. 

(b) Exception. This rule does not apply to a 

motion under Rule 4001. 

Committee Note

The language of Rule 6003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-224
(6000 Series) 5 

ORIGINAL REVISION

Rule 6004. Use, Sale, or Lease of 

Property 

Rule 6004. Use, Sale, or Lease of 

Property 

(a) NOTICE OF PROPOSED USE, 

SALE, OR LEASE OF PROPERTY. 

Notice of a proposed use, sale, or lease 

of property, other than cash collateral, 

not in the ordinary course of business 

shall be given pursuant to Rule 

2002(a)(2), (c)(1), (i), and (k) and, if 

applicable, in accordance with 

§ 363(b)(2) of the Code. 

(a) Notice. 

(1) In General. Notice of a proposed 

use, sale, or lease of property that is 

not in the ordinary course of business 

must be given: 

(A) under Rule 2002(a)(2), (c)(1), (i), 

and (k); and 

(B) in accordance with § 363(b)(2), 

if applicable. 

(2) Exceptions. Notice is not required 

if (d) applies or the proposal involves 

cash collateral only. 

(b) OBJECTION TO PROPOSAL. 

Except as provided in subdivisions (c) 

and (d) of this rule, an objection to a 

proposed use, sale, or lease of property 

shall be filed and served not less than 

seven days before the date set for the 

proposed action or within the time fixed 

by the court. An objection to the 

proposed use, sale, or lease of property 

is governed by Rule 9014. 

(b) Objection. Except as provided in (c) and 

(d), an objection to a proposed use, sale, or 

lease of property must be filed and served 

at least 7 days before the date set for the 

proposed action or within the time set by 

the court. Rule 9014 governs the objection. 

(c) SALE FREE AND CLEAR OF 

LIENS AND OTHER INTERESTS. A 

motion for authority to sell property free 

and clear of liens or other interests shall 

be made in accordance with Rule 9014 

and shall be served on the parties who 

have liens or other interests in the 

property to be sold. The notice required 

by subdivision (a) of this rule shall 

include the date of the hearing on the 

motion and the time within which 

objections may be filed and served on 

the debtor in possession or trustee. 

(c) Motion to Sell Property Free and Clear 

of Liens and Other Interests; Objection.

A motion for authority to sell property free 

and clear of liens or other interests must be 

made in accordance with Rule 9014 and 

served on the parties who have the liens or 

other interests. The notice required by (a) 

must include: 

(1) the date of the hearing on the motion; 

and 

(2) the time to file and serve an objection 

on the debtor in possession or trustee. 

(d) SALE OF PROPERTY UNDER 

$2,500. Notwithstanding subdivision (a) 

of this rule, when all of the nonexempt 

(d) Notice of an Intent to Sell Property 

Valued at Less Than $2,500; Objection.

If all the nonexempt property of the estate 

Rules Appendix B-225
(6000 Series) 6 

ORIGINAL REVISION

property of the estate has an aggregate 

gross value less than $2,500, it shall be 

sufficient to give a general notice of 

intent to sell such property other than 

in the ordinary course of business to all 

creditors, indenture trustees, 

committees appointed or elected 

pursuant to the Code, the United States 

trustee and other persons as the court 

may direct. An objection to any such 

sale may be filed and served by a party 

in interest within 14 days of the mailing 

of the notice, or within the time fixed 

by the court. An objection is governed 

by Rule 9014. 

—in the aggregate—has a gross value less 

than $2,500, a notice of an intent to sell 

the property that is not in the ordinary 

course of business must be given to: 

 all creditors; 

 all indenture trustees; 

 any committees appointed or elected 

under the Code; 

 the United States trustee; and 

 other persons as the court orders. 

A party in interest may file and serve an 

objection within 14 days after the notice is 

mailed or within the time set by the court. 

Rule 9014 governs the objection. 

(e) HEARING. If a timely objection is 

made pursuant to subdivision (b) or (d) 

of this rule, the date of the hearing 

thereon may be set in the notice given 

pursuant to subdivision (a) of this rule. 

(e) Notice of a Hearing on an Objection. 

The date of a hearing on an objection 

under (b) or (d) may be set in the notice 

under (a). 

(f) CONDUCT OF SALE NOT IN 

THE ORDINARY COURSE OF 

BUSINESS. 

(1) Public or Private Sale. All sales 

not in the ordinary course of business 

may be by private sale or by public 

auction. Unless it is impracticable, an 

itemized statement of the property sold, 

the name of each purchaser, and the 

price received for each item or lot or for 

the property as a whole if sold in bulk 

shall be filed on completion of a sale. If 

the property is sold by an auctioneer, the 

auctioneer shall file the statement, 

transmit a copy thereof to the United 

States trustee, and furnish a copy to the 

trustee, debtor in possession, or chapter 

13 debtor. If the property is not sold by 

an auctioneer, the trustee, debtor in 

possession, or chapter 13 debtor shall 

file the statement and transmit a copy 

(f) Conducting a Sale That Is Not in the 

Ordinary Course of Business. 

(1) Public Auction or Private Sale.

(A) Itemized Statement Required. A sale 

that is not in the ordinary course of 

business may be made by public 

auction or private sale. Unless it is 

impracticable, when the sale is 

completed, an itemized statement 

must be filed that shows: 

 the property sold; 

 the name of each purchaser; 

and 

 the consideration received for 

each item or lot or, if sold in 

bulk, for the entire property. 

(B) If by an Auctioneer. If the property is 

sold by an auctioneer, the 

auctioneer must file the itemized 

statement and send a copy to the 

Rules Appendix B-226
(6000 Series) 7 

ORIGINAL REVISION

thereof to the United States trustee. 

(2) Execution of Instruments. After 

a sale in accordance with this rule the 

debtor, the trustee, or debtor in 

possession, as the case may be, shall 

execute any instrument necessary or 

ordered by the court to effectuate the 

transfer to the purchaser. 

United States trustee and to either 

the trustee, debtor in possession, 

or Chapter 13 debtor. 

(C) If Not by an Auctioneer. If the 

property is not sold by an 

auctioneer, the trustee, debtor in 

possession, or Chapter 13 debtor 

must file the itemized statement 

and send a copy to the United 

States trustee. 

(2) Signing the Sale Documents. When 

a sale is complete, the debtor, trustee, 

or debtor in possession must sign any 

document that is necessary or courtordered to transfer the property to the 

purchaser. 

(g) SALE OF PERSONALLY 

IDENTIFIABLE INFORMATION. 

(1) Motion. A motion for 

authority to sell or lease personally 

identifiable information under 

§ 363(b)(1)(B) shall include a request 

for an order directing the United States 

trustee to appoint a consumer privacy 

ombudsman under § 332. Rule 9014 

governs the motion which shall be 

served on: any committee elected under 

§ 705 or appointed under § 1102 of the 

Code, or if the case is a chapter 11 

reorganization case and no committee 

of unsecured creditors has been 

appointed under § 1102, on the 

creditors included on the list of 

creditors filed under Rule 1007(d); and 

on such other entities as the court may 

direct. The motion shall be transmitted 

to the United States trustee. 

(2) Appointment. If a consumer 

privacy ombudsman is appointed under 

§ 332, no later than seven days before 

the hearing on the motion under 

§ 363(b)(1)(B), the United States 

trustee shall file a notice of the 

(g) Selling Personally Identifiable 

Information. 

(1) Request for a Consumer-Privacy 

Ombudsman. A motion for authority 

to sell or lease personally identifiable 

information under § 363(b)(1)(B) must 

include a request for an order directing 

the United States trustee to appoint a 

consumer-privacy ombudsman under 

§ 332. Rule 9014 governs the motion. 

It must be sent to the United States 

trustee and served on: 

 any committee elected under § 705 

or appointed under § 1102; 

 in a Chapter 11 case in which no 

committee of unsecured creditors 

has been appointed under § 1102, 

on the creditors included on the 

list filed under Rule 1007(d); and 

 other entities as the court orders. 

(2) Notice That an Ombudsman Has 

Been Appointed. If a consumerprivacy ombudsman is appointed, the 

United States trustee must give notice 

of the appointment at least 7 days 

Rules Appendix B-227
(6000 Series) 8 

ORIGINAL REVISION

appointment, including the name and 

address of the person appointed. The 

United States trustee’s notice shall be 

accompanied by a verified statement 

of the person appointed setting forth 

the person’s connections with the 

debtor, creditors, any other party in 

interest, their respective attorneys and 

accountants, the United States trustee, 

or any person employed in the office 

of the United States trustee. 

before the hearing on any motion 

under § 363(b)(1)(B). The notice must 

give the name and address of the 

person appointed and include the 

person’s verified statement that sets 

forth any connection with: 

 the debtor, creditors, or any other 

party in interest; 

 their respective attorneys and 

accountants; 

 the United States trustee; and 

 any person employed in the United 

States trustee’s office. 

(h) STAY OF ORDER 

AUTHORIZING USE, SALE, OR 

LEASE OF PROPERTY. An order 

authorizing the use, sale, or lease of 

property other than cash collateral is 

stayed until the expiration of 14 days 

after entry of the order, unless the court 

orders otherwise. 

(h) Staying an Order Authorizing the Use, 

Sale, or Lease of Property. Unless the 

court orders otherwise, an order 

authorizing the use, sale, or lease of 

property (other than cash collateral) is 

stayed for 14 days after the order is entered. 

Committee Note

The language of Rule 6004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-228
(6000 Series) 9 

ORIGINAL REVISION

Rule 6005. Appraisers and 

Auctioneers 

Rule 6005. Employing an Appraiser or 

Auctioneer 

The order of the court approving the 

employment of an appraiser or 

auctioneer shall fix the amount or rate of 

compensation. No officer or employee 

of the Judicial Branch of the United 

States or the United States Department 

of Justice shall be eligible to act as 

appraiser or auctioneer. No residence or 

licensing requirement shall disqualify an 

appraiser or auctioneer from 

employment. 

A court order approving the employment of an 

appraiser or auctioneer must set the amount or 

rate of compensation. An officer or employee of 

the United States judiciary or United States 

Department of Justice is not eligible to act as an 

appraiser or auctioneer. No residence or 

licensing requirement disqualifies a person from 

being so employed. 

Committee Note

The language of Rule 6005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-229
(6000 Series) 10 

ORIGINAL REVISION

Rule 6006. Assumption, Rejection or 

Assignment of an Executory 

Contract or Unexpired Lease 

Rule 6006. Assuming, Rejecting, or 

Assigning an Executory Contract or 

Unexpired Lease 

(a) PROCEEDING TO ASSUME, 

REJECT, OR ASSIGN. A proceeding 

to assume, reject, or assign an executory 

contract or unexpired lease, other than 

as part of a plan, is governed by Rule 

9014. 

(a) Procedure in General. Rule 9014 governs 

a proceeding to assume, reject, or assign an 

executory contract or unexpired lease, other 

than as part of a plan. 

(b) PROCEEDING TO REQUIRE 

TRUSTEE TO ACT. A proceeding by a 

party to an executory contract or 

unexpired lease in a chapter 9 

municipality case, chapter 11 

reorganization case, chapter 12 family 

farmer’s debt adjustment case, or chapter 

13 individual’s debt adjustment case, to 

require the trustee, debtor in possession, 

or debtor to determine whether to 

assume or reject the contract or lease is 

governed by Rule 9014. 

(b) Requiring a Trustee, Debtor in 

Possession, or Debtor to Assume or 

Reject a Contract or Lease. In a Chapter 

9, 11, 12, or 13 case, Rule 9014 governs a 

proceeding by a party to an executory 

contract or unexpired lease to require the 

trustee, debtor in possession, or debtor to 

determine whether to assume or reject the 

contract or lease. 

(c) NOTICE. Notice of a motion made 

pursuant to subdivision (a) or (b) of this 

rule shall be given to the other party to 

the contract or lease, to other parties in 

interest as the court may direct, and, 

except in a chapter 9 municipality case, 

to the United States trustee. 

(c) Notice of a Motion. Notice of a motion 

under (a) or (b) must be given to: 

 the other party to the contract or lease; 

 other parties in interest as the court 

orders; and 

 except in a Chapter 9 case, the United 

States trustee. 

(d) STAY OF ORDER 

AUTHORIZING ASSIGNMENT. An 

order authorizing the trustee to assign 

an executory contract or unexpired lease 

under § 365(f) is stayed until the 

expiration of 14 days after the entry of 

the order, unless the court orders 

otherwise. 

(d) Staying an Order Authorizing an 

Assignment. Unless the court orders 

otherwise, an order authorizing the trustee 

to assign an executory contract or 

unexpired lease under § 365(f) is stayed for 

14 days after the order is entered. 

Rules Appendix B-230
(6000 Series) 11 

ORIGINAL REVISION

(e) LIMITATIONS. The trustee shall 

not seek authority to assume or assign 

multiple executory contracts or 

unexpired leases in one motion unless: 

 (1) all executory contracts or 

unexpired leases to be assumed or 

assigned are between the same parties 

or are to be assigned to the same 

assignee; 

 (2) the trustee seeks to assume, 

but not assign to more than one 

assignee, unexpired leases of real 

property; or 

 (3) the court otherwise 

authorizes the motion to be filed. 

Subject to subdivision (f), the trustee 

may join requests for authority to 

reject multiple executory contracts or 

unexpired leases in one motion. 

(e) Combining in One Motion a Request 

Involving Multiple Contracts or Leases. 

(1) Requests to Assume or Assign. 

The trustee must not seek authority 

to assume or assign multiple 

executory contracts or unexpired 

leases in one omnibus motion unless: 

(A) they are all between the same 

parties or are to be assigned to 

the same assignee; 

(B) the trustee seeks to assume—

but not assign to more than one 

assignee—unexpired leases of 

real property; or 

(C) the court allows the motion to be 

filed. 

(2) Requests to Reject. Subject to (f), a 

trustee may join in one omnibus 

motion requests for authority to reject 

multiple executory contracts or 

unexpired leases. 

(f) OMNIBUS MOTIONS. A motion to 

reject or, if permitted under subdivision 

(e), a motion to assume or assign 

multiple executory contracts or 

unexpired leases that are not between 

the same parties shall: 

(1) state in a conspicuous place 

that parties receiving the omnibus 

motion should locate their names and 

their contracts or leases listed in the 

motion; 

(2) list parties alphabetically and 

identify the corresponding contract or 

lease; 

(3) specify the terms, including 

the curing of defaults, for each 

requested assumption or assignment; 

(4) specify the terms, including 

the identity of each assignee and the 

(f) Content of an Omnibus Motion. A 

motion to reject—or, if permitted under 

(e), a motion to assume or assign—multiple 

executory contracts or unexpired leases that 

are not between the same parties must: 

(1) state in a conspicuous place that the 

parties’ names and their contracts or 

leases are listed in the motion; 

(2) list the parties alphabetically and 

identify the corresponding contract or 

lease; 

(3) specify the terms, including how a 

default will be cured, for each 

requested assumption or assignment; 

(4) specify the terms, including the 

assignee’s identity and the adequate 

assurance of future performance by 

each assignee, for each requested 

assignment; 

Rules Appendix B-231
(6000 Series) 12 

ORIGINAL REVISION

adequate assurance of future 

performance by each assignee, for each 

requested assignment; 

(5) be numbered consecutively 

with other omnibus motions to assume, 

assign, or reject executory contracts or 

unexpired leases; and 

(6) be limited to no more than 

100 executory contracts or unexpired 

leases. 

(5) be numbered consecutively with other 

omnibus motions to reject, assume, 

or assign executory contracts or 

unexpired leases; and 

(6) be limited to no more than 100 

executory contracts or unexpired leases. 

(g) FINALITY OF 

DETERMINATION. The finality of 

any order respecting an executory 

contract or unexpired lease included in 

an omnibus motion shall be determined 

as though such contract or lease had 

been the subject of a separate motion. 

(g) Determining the Finality of an Order 

Regarding an Omnibus Motion. The 

finality of an order regarding any executory 

contract or unexpired lease included in an 

omnibus motion must be determined as 

though the contract or lease were the 

subject of a separate motion. 

 

Committee Note

The language of Rule 6006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-232
(6000 Series) 13 

ORIGINAL REVISION

Rule 6007. Abandonment or 

Disposition of Property 

Rule 6007. Abandoning or Disposing 

of Property 

(a) NOTICE OF PROPOSED 

ABANDONMENT OR 

DISPOSITION; OBJECTIONS; 

HEARING. Unless otherwise directed 

by the court, the trustee or debtor in 

possession shall give notice of a 

proposed abandonment or disposition 

of property to the United States trustee, 

all creditors, indenture trustees, and 

committees elected pursuant to § 705 or 

appointed pursuant to § 1102 of the 

Code. A party in interest may file and 

serve an objection within 14 days of the 

mailing of the notice, or within the time 

fixed by the court. If a timely objection 

is made, the court shall set a hearing on 

notice to the United States trustee and 

to other entities as the court may direct. 

(a) Notice by the Trustee or Debtor in 

Possession. 

(1) In General. Unless the court orders 

otherwise, the trustee or debtor in 

possession must give notice of a 

proposed abandonment or disposition 

of property to: 

 all creditors; 

 all indenture trustees; 

 any committees appointed or 

elected under the Code; and 

 the United States trustee. 

(2) Objection. A party in interest may file 

and serve an objection within 14 days 

after the notice is mailed or within the 

time set by the court. If a timely 

objection is filed, the court must set a 

hearing on notice to the United States 

trustee and other entities as the court 

orders. 

Rules Appendix B-233
(6000 Series) 14 

ORIGINAL REVISION 

(b) MOTION BY PARTY IN 

INTEREST. A party in interest may 

file and serve a motion requiring the 

trustee or debtor in possession to 

abandon property of the estate. Unless 

otherwise directed by the court, the 

party filing the motion shall serve the 

motion and any notice of the motion 

on the trustee or debtor in possession, 

the United States trustee, all creditors, 

indenture trustees, and committees 

elected pursuant to § 705 or appointed 

pursuant to § 1102 of the Code. A 

party in interest may file and serve an 

objection within 14 days of service, or 

within the time fixed by the court. If a 

timely objection is made, the court 

shall set a hearing on notice to the 

United States trustee and to other 

entities as the court may direct. If the 

court grants the motion, the order 

effects the trustee’s or debtor in 

possession’s abandonment without 

further notice, unless otherwise 

directed by the court. 

(b) Motion by a Party in Interest. 

(1) Service. A party in interest may file 

and serve a motion to require the 

trustee or debtor in possession to 

abandon property of the estate. Unless 

the court orders otherwise, the motion 

(and any notice of it) must be served 

on: 

 the trustee or debtor in possession; 

 all creditors; 

 all indenture trustees; 

 any committees appointed or 

elected under the Code; and 

 the United States trustee. 

(2) Objection. A party in interest may file 

and serve an objection within 14 days 

after service or within the time set by 

the court. If a timely objection is filed, 

the court must set a hearing on notice 

to the United States trustee and other 

entities as the court orders. 

(3) Order. Unless the court orders 

otherwise, an order granting the 

motion to abandon property effects 

the trustee’s or debtor in possession’s 

abandonment without further notice. 

[(c) HEARING] 

Committee Note

The language of Rule 6007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-234
(6000 Series) 15 

ORIGINAL REVISION

Rule 6008. Redemption of Property 

from Lien or Sale 

Rule 6008. Redeeming Property from 

a Lien or a Sale to Enforce a Lien 

On motion by the debtor, trustee, or 

debtor in possession and after hearing 

on notice as the court may direct, the 

court may authorize the redemption of 

property from a lien or from a sale to 

enforce a lien in accordance with 

applicable law. 

On motion by the debtor, trustee, or debtor in 

possession and after a hearing on notice as the 

court may order, the court may authorize 

property to be redeemed from a lien or from a 

sale to enforce a lien under applicable law. 

Committee Note

The language of Rule 6008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-235
(6000 Series) 16 

ORIGINAL REVISION

Rule 6009. Prosecution and Defense 

of Proceedings by Trustee or Debtor 

in Possession 

Rule 6009. Right of the Trustee or 

Debtor in Possession to Prosecute and 

Defend Proceedings 

With or without court approval, the 

trustee or debtor in possession may 

prosecute or may enter an appearance 

and defend any pending action or 

proceeding by or against the debtor, or 

commence and prosecute any action or 

proceeding in behalf of the estate before 

any tribunal. 

With or without court approval, the trustee or 

debtor in possession may: 

(a) prosecute—or appear in and defend—any 

pending action or proceeding by or 

against the debtor; or 

(b) commence and prosecute in any tribunal an 

action or proceeding on the estate’s behalf. 

Committee Note

The language of Rule 6009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-236
(6000 Series) 17 

ORIGINAL REVISION

Rule 6010. Proceeding to Avoid 

Indemnifying Lien or Transfer to 

Surety 

Rule 6010. Avoiding an Indemnifying 

Lien or a Transfer to a Surety 

If a lien voidable under § 547 of the 

Code has been dissolved by the 

furnishing of a bond or other obligation 

and the surety thereon has been 

indemnified by the transfer of, or the 

creation of a lien upon, nonexempt 

property of the debtor, the surety shall 

be joined as a defendant in any 

proceeding to avoid the indemnifying 

transfer or lien. Such proceeding is 

governed by the rules in Part VII. 

This rule applies if a lien voidable under § 547 

has been dissolved by furnishing a bond or 

other obligation, and the surety has been 

indemnified by the transfer of or creation of a 

lien on the debtor’s nonexempt property. The 

surety must be joined as a defendant in any 

proceeding to avoid that transfer or lien. Part 

VII governs the proceeding. 

Committee Note

The language of Rule 6010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-237
(6000 Series) 18 

ORIGINAL REVISION

Rule 6011. Disposal of Patient 

Records in Health Care Business 

Case 

Rule 6011. Claiming Patient Records 

Scheduled for Destruction in a 

Health-Care-Business Case 

(a) NOTICE BY PUBLICATION 

UNDER § 351(1)(A). A notice 

regarding the claiming or disposing of 

patient records under § 351(1)(A) shall 

not identify any patient by name or 

other identifying information, but shall: 

(1) identify with particularity the 

health care facility whose patient records 

the trustee proposes to destroy; 

(2) state the name, address, 

telephone number, email address, and 

website, if any, of a person from whom 

information about the patient records 

may be obtained; 

(3) state how to claim the patient 

records; and 

(4) state the date by which 

patient records must be claimed, and 

that if they are not so claimed the 

records will be destroyed. 

(a) Notice by Publication About the 

Records. A notice by publication about 

destroying or claiming patient records 

under § 351(1)(A) must not identify any 

patient by name or contain other 

identifying information. The notice must: 

(1) identify with particularity the healthcare facility whose patient records the 

trustee proposes to destroy; 

(2) state the name, address, telephone 

number, email address, and website (if 

any) of the person from whom 

information about the records may be 

obtained; 

(3) state how to claim the records and the 

final date for doing so; and 

(4) state that if they are not claimed by 

that date, they will be destroyed. 

(b) NOTICE BY MAIL UNDER 

§ 351(1)(B). Subject to applicable 

nonbankruptcy law relating to patient 

privacy, a notice regarding the claiming 

or disposing of patient records under § 

351(1)(B) shall, in addition to including 

the information in subdivision (a), direct 

that a patient’s family member or other 

representative who receives the notice 

inform the patient of the notice. Any 

notice under this subdivision shall be 

mailed to the patient and any family 

member or other contact person whose 

name and address have been given to 

the trustee or the debtor for the purpose 

of providing information regarding the 

patient’s health care, to the Attorney 

General of the State where the health 

care facility is located, and to any 

(b) Notice by Mail About the Records. 

(1) Required Information. Subject to 

applicable nonbankruptcy law 

relating to patient privacy, a notice by 

mail about destroying or claiming 

patient records under § 351(1)(B) 

must: 

(A) include the information described 

in (a); and 

(B) direct a family member or other 

representative who receives the 

notice to tell the patient about it. 

(2) Mailing. The notice must be mailed 

to: 

 the patient; 

Rules Appendix B-238
(6000 Series) 19 

ORIGINAL REVISION

insurance company known to have 

provided health care insurance to the 

patient. 

 any family member or other 

contact person whose name and 

address have been given to the 

trustee or debtor for providing 

information about the patient’s 

health care; 

 the Attorney General of the 

State where the health-care 

facility is located; and 

 any insurance company known 

to have provided health-care 

insurance to the patient. 

(c) PROOF OF COMPLIANCE WITH 

NOTICE REQUIREMENT. Unless 

the court orders the trustee to file proof 

of compliance with § 351(1)(B) under 

seal, the trustee shall not file, but shall 

maintain, the proof of compliance for a 

reasonable time. 

(c) Proof of Compliance with Notice 

Requirements. Unless the court orders the 

trustee to file a proof of compliance with 

§ 351(1)(B) under seal, the trustee must 

keep the proof of compliance for a 

reasonable time but not file it. 

(d) REPORT OF DESTRUCTION OF 

RECORDS. The trustee shall file, no 

later than 30 days after the destruction 

of patient records under § 351(3), a 

report certifying that the unclaimed 

records have been destroyed and 

explaining the method used to effect the 

destruction. The report shall not 

identify any patient by name or other 

identifying information. 

(d) Report on the Destruction of 

Unclaimed Records. Within 30 days after 

a patient’s unclaimed records have been 

destroyed under § 351(3), the trustee must 

file a report that certifies the destruction 

and explains the method used. The report 

must not identify any patient by name or by 

other identifying information. 

Committee Note 

The language of Rule 6011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-239
 (7000 Series) 

PROPOSED AMENDMENTS TO THE

FEDERAL RULES OF BANKRUPTCY PROCEDURE

7000 Series 

Rules Appendix B-240
(7000 Series) 2 

ORIGINAL REVISION

PART VII—ADVERSARY 

PROCEEDINGS 

PART VII. ADVERSARY PROCEEDINGS 

Rule 7001. Scope of Rules of Part VII Rule 7001. Types of Adversary 

Proceedings1

An adversary proceeding is governed by 

the rules of this Part VII. The following 

are adversary proceedings: 

(1) a proceeding to recover 

money or property, other than a 

proceeding to compel the debtor to 

deliver property to the trustee, or a 

proceeding under § 554(b) or § 725 of 

the Code, Rule 2017, or Rule 6002; 

(2) a proceeding to determine 

the validity, priority, or extent of a lien 

or other interest in property, but not a 

proceeding under Rule 3012 or Rule 

4003(d); 

(3) a proceeding to obtain 

approval under § 363(h) for the sale of 

both the interest of the estate and of a 

co-owner in property; 

(4) a proceeding to object to or 

revoke a discharge, other than an 

objection to discharge under 

§§ 727(a)(8)2

, (a)(9), or 1328(f); 

(5) a proceeding to revoke an 

order of confirmation of a chapter 11, 

chapter 12, or chapter 13 plan; 

(6) a proceeding to determine 

the dischargeability of a debt; 

(7) a proceeding to obtain an 

injunction or other equitable relief, 

except when a chapter 9, chapter 11, 

chapter 12, or chapter 13 plan provides 

for the relief; 

An adversary proceeding is governed by the 

rules in this Part VII. The following are 

adversary proceedings: 

(a) a proceeding to recover money or 

property—except a proceeding to compel 

the debtor to deliver property to the 

trustee, or a proceeding under § 554(b), § 

725, Rule 2017, or Rule 6002; 

(b) a proceeding to determine the validity, 

priority, or extent of a lien or other 

interest in property—except a proceeding 

under Rule 3012 or Rule 4003(d); 

(c) a proceeding to obtain authority under 

§ 363(h) to sell both the estate’s interest in 

property and that of a co-owner; 

(d) a proceeding to revoke or object to a 

discharge—except an objection under 

§ 727(a)(8) or (a)(9), or § 1328(f); 

(e) a proceeding to revoke an order 

confirming a plan in a Chapter 11, 12, or 

13 case; 

(f) a proceeding to determine whether a debt 

is dischargeable; 

(g) a proceeding to obtain an injunction or 

other equitable relief—except when the 

relief is provided in a Chapter 9, 11, 12, or 

13 plan; 

(h) a proceeding to subordinate an allowed 

claim or interest—except when 

subordination is provided in a Chapter 9, 

11, 12, or 13 plan; 

1 The rule as set out here shows only the restyling changes. A separate substantive amendment to Rule 7001 is set 

out (along with these style changes) infra at Rules Appendix B-462. 

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

Rules Appendix B-241
(7000 Series) 3 

ORIGINAL REVISION

(8) a proceeding to subordinate 

any allowed claim or interest, except 

when a chapter 9, chapter 11, chapter 

12, or chapter 13 plan provides for 

subordination; 

(9) a proceeding to obtain a 

declaratory judgment relating to any of 

the foregoing; or 

(10) a proceeding to determine a 

claim or cause of action removed under 

28 U.S.C. § 1452. 

(i) a proceeding to obtain a declaratory 

judgment related to any proceeding 

described in (a)–(h); and 

(j) a proceeding to determine a claim or 

cause of action removed under 28 U.S.C. 

§ 1452. 

Committee Note

The language of Rule 7001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-242
(7000 Series) 4 

ORIGINAL REVISION

Rule 7002. References to Federal 

Rules of Civil Procedure 

Rule 7002. References to the Federal 

Rules of Civil Procedure 

Whenever a Federal Rule of Civil 

Procedure applicable to adversary 

proceedings makes reference to another 

Federal Rule of Civil Procedure, the 

reference shall be read as a reference to 

the Federal Rule of Civil Procedure as 

modified in this Part VII. 

When a Federal Rule of Civil Procedure 

applicable to an adversary proceeding refers to 

another civil rule, that reference is to the civil 

rule as modified by this Part VII. 

Committee Note

The language of Rule 7002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-243
(7000 Series) 5 

ORIGINAL REVISION

Rule 7003. Commencement of 

Adversary Proceeding 

Rule 7003. Commencing an Adversary 

Proceeding 

Rule 3 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 3 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-244
(7000 Series) 6 

ORIGINAL REVISION

Rule 7004. Process; Service of 

Summons, Complaint 

Rule 7004. Process; Issuing and 

Serving a Summons and Complaint 

(a) SUMMONS; SERVICE; PROOF 

OF SERVICE. 

(1) Except as provided in Rule 

7004(a)(2), Rule 4(a), (b), (c)(1),(d)(5), 

(e)–(j), (l), and (m) F.R.Civ.P. applies in 

adversary proceedings. Personal service 

under Rule 4(e)–(j) F.R.Civ.P. may be 

made by any person at least 18 years of 

age who is not a party, and the 

summons may be delivered by the clerk 

to any such person. 

(2) The clerk may sign, seal, and 

issue a summons electronically by 

putting an ‘‘s/’’ before the clerk’s name 

and including the court’s seal on the 

summons. 

(a) Issuing, Delivering, and Personally 

Serving a Summons and Complaint. 

(1) In General. Except as provided in 

(2), Fed. R. Civ. P. 4(a), (b), (c)(1), 

(d)(5), (e)–(j), (l), and (m) applies in 

an adversary proceeding. 

(2) Issuing and Delivering a 

Summons. The clerk may:

(A) sign, seal, and issue the summons 

electronically by placing an “s/” 

before the clerk’s name and 

adding the court’s seal to the 

summons; and 

(B) deliver the summons to the 

person who will serve it. 

(3) Personally Serving a Summons and 

Complaint. Any person who is at 

least 18 years old and not a party may 

personally serve a summons and 

complaint under Fed. R. Civ. P. 4(e)–

(j). 

(b) SERVICE BY FIRST CLASS MAIL. 

Except as provided in subdivision (h), in 

addition to the methods of service 

authorized by Rule 4(e)–(j) F.R.Civ.P., 

service may be made within the United 

States by first class mail postage prepaid 

as follows: 

(1) Upon an individual other 

than an infant or incompetent, by 

mailing a copy of the summons and 

complaint to the individual’s 

dwelling house or usual place of 

abode or to the place where the 

individual regularly conducts a 

business or profession. 

(b) Service by Mail as an Alternative. Except 

as provided in subdivision (h), in addition 

to the methods of service authorized by 

Fed. R. Civ. P. 4(e)–(j), a copy of a 

summons and complaint may be served by 

first-class mail, postage prepaid, within the 

United States on: 

(1) an individual except an infant or an 

incompetent person—by mailing the 

copy to the individual’s dwelling or 

usual place of abode or where the 

individual regularly conducts a 

business or profession; 

Rules Appendix B-245
(7000 Series) 7 

ORIGINAL REVISION

(2) Upon an infant or an 

incompetent person, by mailing a copy 

of the summons and complaint to the 

person upon whom process is 

prescribed to be served by the law of 

the state in which service is made when 

an action is brought against such a 

defendant in the courts of general 

jurisdiction of that state. The summons 

and complaint in that case shall be 

addressed to the person required to be 

served at that person’s dwelling house 

or usual place of abode or at the place 

where the person regularly conducts a 

business or profession. 

(3) Upon a domestic or foreign 

corporation or upon a partnership or 

other unincorporated association, by 

mailing a copy of the summons and 

complaint to the attention of an officer, 

a managing or general agent, or to any 

other agent authorized by appointment 

or by law to receive service of process 

and, if the agent is one authorized by 

statute to receive service and the statute 

so requires, by also mailing a copy to the 

defendant. 

(4) Upon the United States, by 

mailing a copy of the summons and 

complaint addressed to the civil process 

clerk at the office of the United States 

attorney for the district in which the 

action is brought and by mailing a copy 

of the summons and complaint to the 

Attorney General of the United States at 

Washington, District of Columbia, and 

in any action attacking the validity of an 

order of an officer or an agency of the 

United States not made a party, by also 

mailing a copy of the summons and 

complaint to that officer or agency. The 

(2) an infant or incompetent person—by 

mailing the copy: 

(A) to a person who, under the law of 

the state where service is made, is 

authorized to receive service on 

behalf of the infant or 

incompetent person when an 

action is brought in that state’s 

courts of general jurisdiction; and 

(B) at that person’s dwelling or usual 

place of abode or where the 

person regularly conducts a 

business or profession; 

(3) a domestic or foreign corporation, or a 

partnership or other unincorporated 

association—by mailing the copy: 

(A) to an officer, a managing or 

general agent, or an agent 

authorized by appointment or by 

law to receive service; and 

(B) also to the defendant if a statute 

authorizes an agent to receive 

service and the statute so requires; 

(4) the United States, with these 

requirements: 

(A) a copy of the summons and 

complaint must be mailed to: 

(i) the civil-process clerk in the 

United States attorney’s office 

in the district where the action 

is filed; 

(ii) the Attorney General of the 

United States in Washington, 

D.C.; and 

(iii) in an action attacking the 

validity of an order of a 

United States officer or agency 

that is not a party, also to that 

officer or agency; and 

Rules Appendix B-246
(7000 Series) 8 

ORIGINAL REVISION

court shall allow a reasonable time for 

service pursuant to this subdivision for 

the purpose of curing the failure to mail 

a copy of the summons and complaint 

to multiple officers, agencies, or 

corporations of the United States if the 

plaintiff has mailed a copy of the 

summons and complaint either to the 

civil process clerk at the office of the 

United States attorney or to the 

Attorney General of the United States. 

(5) Upon any officer or agency 

of the United States, by mailing a copy 

of the summons and complaint to the 

United States as prescribed in paragraph 

(4) of this subdivision and also to the 

officer or agency. If the agency is a 

corporation, the mailing shall be as 

prescribed in paragraph (3) of this 

subdivision of this rule. The court shall 

allow a reasonable time for service 

pursuant to this subdivision for the 

purpose of curing the failure to mail a 

copy of the summons and complaint to 

multiple officers, agencies, or 

corporations of the United States if the 

plaintiff has mailed a copy of the 

summons and complaint either to the 

civil process clerk at the office of the 

United States attorney or to the 

Attorney General of the United States. 

If the United States trustee is the trustee 

in the case and service is made upon the 

United States trustee solely as trustee, 

service may be made as prescribed in 

paragraph (10) of this subdivision of 

this rule. 

(B) if the plaintiff has mailed a copy 

of the summons and complaint to 

a person specified in either (A)(i) 

or (ii), the court must allow a 

reasonable time to serve the 

others that must be served under 

(A); 

(5) an officer or agency of the United 

States, with these requirements: 

(A) the summons and complaint must 

be mailed not only to the officer 

or the agency—as prescribed in 

(3) if the agency is a 

corporation—but also to the 

United States, as prescribed in (4); 

(B) if the plaintiff has mailed a copy 

of the summons and complaint to 

a person specified in either 

(4)(A)(i) or (ii), the court must 

allow a reasonable time to serve 

the others that must be served 

under (A); and 

(C) if a United States trustee is the 

trustee in the case, service may be 

made on the United States trustee 

solely as trustee, as prescribed in 

(10); 

(6) a state or municipal corporation or 

other governmental organization 

subject to suit, with these 

requirements: 

(A) the summons and complaint must 

be mailed to the person or office 

that, under the law of the state 

where service is made, is 

authorized to receive service in a 

case filed against that defendant in 

that state’s courts of general 

jurisdiction; and 

Rules Appendix B-247
(7000 Series) 9 

ORIGINAL REVISION

(6) Upon a state or municipal 

corporation or other governmental 

organization thereof subject to suit, by 

mailing a copy of the summons and 

complaint to the person or office upon 

whom process is prescribed to be served 

by the law of the state in which service is 

made when an action is brought against 

such a defendant in the courts of general 

jurisdiction of that state, or in the 

absence of the designation of any such 

person or office by state law, then to the 

chief executive officer thereof. 

(7) Upon a defendant of any 

class referred to in paragraph (1) or (3) 

of this subdivision of this rule, it is also 

sufficient if a copy of the summons and 

complaint is mailed to the entity upon 

whom service is prescribed to be served 

by any statute of the United States or by 

the law of the state in which service is 

made when an action is brought against 

such a defendant in the court of general 

jurisdiction of that state. 

(8) Upon any defendant, it is 

also sufficient if a copy of the summons 

and complaint is mailed to an agent of 

such defendant authorized by 

appointment or by law to receive service 

of process, at the agent’s dwelling house 

or usual place of abode or at the place 

where the agent regularly carries on a 

business or profession and, if the 

authorization so requires, by mailing also 

a copy of the summons and complaint 

to the defendant as provided in this 

subdivision. 

(9) Upon the debtor, after a 

petition has been filed by or served 

upon the debtor and until the case is 

dismissed or closed, by mailing a copy of 

the summons and complaint to the 

debtor at the address shown in the 

(B) if there is no such authorized 

person or office, the summons 

and complaint must be mailed to 

the defendant’s chief executive 

officer; 

(7) a defendant of any class referred to in 

(1) and (3)—for whom it also suffices 

to mail the summons and complaint to 

the entity on which service must be 

made under a federal statute or under 

the law of the state where service is 

made when an action is brought 

against that defendant in that state’s 

courts of general jurisdiction; 

(8) any defendant—for whom it also 

suffices to mail the summons and 

complaint to the defendant’s agent 

under these conditions: 

(A) the agent is authorized by 

appointment or by law to accept 

service; 

(B) the mail is addressed to the agent’s 

dwelling or usual place of abode 

or where the agent regularly 

conducts a business or profession; 

and 

(C) if the agent’s authorization so 

requires, a copy is also mailed to 

the defendant as provided in this 

subdivision (b); 

(9) the debtor, after a petition has been 

filed by or served upon a debtor, and 

until the case is dismissed or closed—

by mailing the copy to the address 

shown on the debtor’s petition or the 

address the debtor specifies in a filed 

writing; 

(10) a United States trustee who is the 

trustee in the case and service is made 

upon the United States trustee solely as 

Rules Appendix B-248
(7000 Series) 10 

ORIGINAL REVISION

petition or to such other address as the 

debtor may designate in a filed writing. 

(10) Upon the United States 

trustee, when the United States trustee is 

the trustee in the case and service is 

made upon the United States trustee 

solely as trustee, by mailing a copy of the 

summons and complaint to an office of 

the United States trustee or another 

place designated by the United States 

trustee in the district where the case 

under the Code is pending. 

trustee—by addressing the mail to 

the United States trustee’s office or 

other place that the United States 

trustee designates within the district. 

(c) SERVICE BY PUBLICATION. If a 

party to an adversary proceeding to 

determine or protect rights in property 

in the custody of the court cannot be 

served as provided in Rule 4(e)–(j) 

F.R.Civ.P. or subdivision (b) of this rule, 

the court may order the summons and 

complaint to be served by mailing copies 

thereof by first class mail, postage 

prepaid, to the party’s last known 

address, and by at least one publication 

in such manner and form as the court 

may direct. 

(c) Service by Publication in an Adversary 

Proceeding Involving Property Rights. 

If a party to an adversary proceeding to 

determine or protect rights in property in 

the court’s custody cannot be served 

under (b) or Fed. R. Civ. P. 4(e)–(j), the 

court may order the summons and 

complaint to be served by: 

(1) first-class mail, postage prepaid, to the 

party’s last known address; and 

(2) at least one publication in a form and 

manner as the court orders. 

(d) NATIONWIDE SERVICE OF 

PROCESS. The summons and 

complaint and all other process except 

a subpoena may be served anywhere in 

the United States. 

(d) Nationwide Service of Process. A 

summons and complaint (and all other 

process, except a subpoena) may be served 

anywhere within the United States. 

(e) SUMMONS: TIME LIMIT FOR 

SERVICE WITHIN THE UNITED 

STATES. Service made under Rule 4(e), 

(g), (h)(1), (i), or (j)(2) F.R.Civ.P. shall be 

by delivery of the summons and 

complaint within 7 days after the 

summons is issued. If service is by any 

authorized form of mail, the summons 

and complaint shall be deposited in the 

mail within 7 days after the summons is 

issued. If a summons is not timely 

delivered or mailed, another summons 

(e) Time to Serve a Summons and 

Complaint. 

(1) In General. A summons and 

complaint served by delivery under 

Fed. R. Civ. P. 4(e), (g), (h)(1), (i), or 

(j)(2) must be served within 7 days 

after the summons is issued. If served 

by mail, they must be deposited in the 

mail within 7 days after the summons 

is issued. If a summons is not timely 

delivered or mailed, a new summons 

must be issued. 

Rules Appendix B-249
(7000 Series) 11 

ORIGINAL REVISION

will be issued for service. This 

subdivision does not apply to service in 

a foreign country. 

(2) Exception. This subdivision (e) 

does not apply to service in a 

foreign country. 

(f) PERSONAL JURISDICTION. If 

the exercise of jurisdiction is consistent 

with the Constitution and laws of the 

United States, serving a summons or 

filing a waiver of service in accordance 

with this rule or the subdivisions of 

Rule 4 F.R.Civ.P. made applicable by 

these rules is effective to establish 

personal jurisdiction over the person of 

any defendant with respect to a case 

under the Code or a civil proceeding 

arising under the Code, or arising in or 

related to a case under the Code. 

(f) Establishing Personal Jurisdiction. If 

exercising jurisdiction is consistent with 

the United States Constitution and laws, 

serving a summons or filing a waiver of 

service under this Rule 7004 or the 

applicable provisions of Fed. R. Civ. P. 4 

establishes personal jurisdiction over a 

defendant: 

(1) in a bankruptcy case; or 

(2) in a civil proceeding arising under 

the Code, or arising in or related to 

a case under the Code. 

(g) SERVICE ON DEBTOR’S 

ATTORNEY. If the debtor is 

represented by an attorney, whenever 

service is made upon the debtor under 

this Rule, service shall also be made 

upon the debtor’s attorney by any 

means authorized under Rule 5(b) 

F.R.Civ.P. 

(g) Serving a Debtor’s Attorney. If, when 

served, a debtor is represented by an 

attorney, the attorney must also be served 

by any means authorized by Fed. R. Civ. 

P. 5(b). 

(h) SERVICE OF PROCESS ON AN 

INSURED DEPOSITORY 

INSTITUTION. Service on an insured 

depository institution (as defined in 

section 3 of the Federal Deposit 

Insurance Act) in a contested matter or 

adversary proceeding shall be made by 

certified mail addressed to an officer of 

the institution unless— 

(h) Service of Process on an Insured 

Depository Institution. Service on an 

insured depository institution (as defined in 

section 3 of the Federal Deposit Insurance 

Act) in a contested matter or adversary 

proceeding shall be made by certified mail 

addressed to an officer of the institution 

unless— 

(1) the institution has appeared by its 

attorney, in which case the attorney 

shall be served by first class mail; 

Rules Appendix B-250
(7000 Series) 12 

ORIGINAL REVISION

(1) the institution has appeared 

by its attorney, in which case the 

attorney shall be served by first class 

mail; 

(2) the court orders otherwise 

after service upon the institution by 

certified mail of notice of an application 

to permit service on the institution by 

first class mail sent to an officer of the 

institution designated by the institution; 

or 

(3) the institution has waived in 

writing its entitlement to service by 

certified mail by designating an officer 

to receive service. 

(2) the court orders otherwise after service 

upon the institution by certified mail of 

notice of an application to permit 

service on the institution by first class 

mail sent to an officer of the institution 

designated by the institution; or 

(3) the institution has waived in writing its 

entitlement to service by certified mail 

by designating an officer to receive 

service. 

(i) SERVICE OF PROCESS BY 

TITLE. This subdivision (i) applies to 

service on a domestic or foreign 

corporation or partnership or other 

unincorporated association under Rule 

7004(b)(3) or on an officer of an insured 

depository institution under Rule 

7004(h). The defendant’s officer or 

agent need not be correctly named in 

the address – or even be named – if the 

envelope is addressed to the defendant’s 

proper address and directed to the 

attention of the officer’s or agent’s 

position or title. 

(i) Service of Process by Title. This 

subdivision (i) applies to service on a 

domestic or foreign corporation or 

partnership or other unincorporated 

association under Rule 7004(b)(3), or on 

an officer of an insured depository 

institution under Rule 7004(h). The 

defendant’s officer or agent need not be 

correctly named in the address—or even 

be named—if the envelope is addressed 

to the defendant’s proper address and 

directed to the attention of the officer’s or 

agent’s position or title. 

Committee Note

The language of Rule 7004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. The beginning of Rule 

7004(b) (through the words “in addition”) and all of Rule 7004(h) have not been restyled because 

they were enacted by Congress, P.L. 103-394, Sec. 114, 108 Stat. 4106, 4118 (1994). The 

Bankruptcy Rules Enabling Act, 28 U.S.C. § 2075, provides no authority to modify statutory 

language. 

Rules Appendix B-251
(7000 Series) 13 

ORIGINAL REVISION

Rule 7005. Service and Filing of 

Pleadings and Other Papers 

Rule 7005. Serving and Filing 

Pleadings and Other Papers 

Rule 5 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 5 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-252
(7000 Series) 14 

ORIGINAL REVISION

Rule 7007. Pleadings Allowed Rule 7007. Pleadings Allowed 

Rule 7 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 7 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-253
(7000 Series) 15 

ORIGINAL REVISION

Rule 7007.1. Corporate Ownership 

Statement

Rule 7007.1. Corporate Ownership 

Statement 

(a) REQUIRED DISCLOSURE. Any 

nongovernmental corporation that is a 

party to an adversary proceeding, other 

than the debtor, shall file a statement 

that identifies any parent corporation 

and any publicly held corporation that 

owns 10% or more of its stock or states 

that there is no such corporation. The 

same requirement applies to a 

nongovernmental corporation that seeks 

to intervene. 

(a) Required Disclosure. Any 

nongovernmental corporation—other than 

the debtor—that is a party to an adversary 

proceeding must file a statement 

identifying any parent corporation and any 

publicly held corporation that owns 10% or 

more of its stock or stating that there is no 

such corporation. The same requirement 

applies to a nongovernmental corporation 

that seeks to intervene. 

(b) TIME FOR FILING; 

SUPPLEMENTAL FILING. The 

corporate ownership statement shall: 

 (1) be filed with the corporation’s 

first appearance, pleading, motion, 

response, or other request addressed to 

the court; and 

 (2) be supplemented whenever the 

information required by this rule changes. 

(b) Time for Filing; Supplemental Filing. 

The statement must:

(1) be filed with the corporation’s first 

appearance, pleading, motion, 

response, or other request to the 

court; and 

(2) be supplemented whenever the 

information required by this rule 

changes. 

Committee Note

The language of Rule 7007.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-254
(7000 Series) 16 

ORIGINAL REVISION

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

Rule 8 F.R.Civ.P. applies in adversary 

proceedings. The allegation of 

jurisdiction required by Rule 8(a) shall 

also contain a reference to the name, 

number, and chapter of the case under 

the Code to which the adversary 

proceeding relates and to the district and 

division where the case under the Code 

is pending. In an adversary proceeding 

before a bankruptcy court, the 

complaint, counterclaim, cross-claim, or 

third-party complaint shall contain a 

statement that the pleader does or does 

not consent to entry of final orders or 

judgment by the bankruptcy court. 

Fed. R. Civ. P. 8 applies in an adversary 

proceeding. The allegation of jurisdiction 

required by that rule must include a reference to 

the name, number, and Code chapter of the case 

that the adversary proceeding relates to and the 

district and division where it is pending. In an 

adversary proceeding before a bankruptcy court, 

a complaint, counterclaim, crossclaim, or thirdparty complaint must state whether the pleader 

does or does not consent to the entry of final 

orders or judgment by the bankruptcy court. 

Committee Note

The language of Rule 7008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-255
(7000 Series) 17 

ORIGINAL REVISION

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

Rule 9 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 9 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-256
(7000 Series) 18 

ORIGINAL REVISION

Rule 7010. Form of Pleadings Rule 7010. Form of Pleadings in an 

Adversary Proceeding 

Rule 10 F.R.Civ.P. applies in adversary 

proceedings, except that the caption of 

each pleading in such a proceeding shall 

conform substantially to the appropriate 

Official Form. 

Fed. R. Civ. P. 10 applies in an adversary 

proceeding—except that a pleading’s caption 

must substantially conform to the appropriate 

version of Form 416. 

Committee Note

The language of Rule 7010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-257
(7000 Series) 19 

ORIGINAL REVISION

Rule 7012. Defenses and 

Objections—When and How 

Presented— By Pleading or 

Motion—Motion for Judgment on 

the Pleadings 

Rule 7012. Defenses; Effect of a 

Motion; Motion for Judgment on the 

Pleadings and Other Procedural 

Matters 

(a) WHEN PRESENTED. If a 

complaint is duly served, the defendant 

shall serve an answer within 30 days 

after the issuance of the summons, 

except when a different time is 

prescribed by the court. The court shall 

prescribe the time for service of the 

answer when service of a complaint is 

made by publication or upon a party in a 

foreign country. A party served with a 

pleading stating a cross-claim shall serve 

an answer thereto within 21 days after 

service. The plaintiff shall serve a reply 

to a counterclaim in the answer within 

21 days after service of the answer or, if 

a reply is ordered by the court, within 21 

days after service of the order, unless the 

order otherwise directs. The United 

States or an officer or agency thereof 

shall serve an answer to a complaint 

within 35 days after the issuance of the 

summons, and shall serve an answer to a 

cross-claim, or a reply to a counterclaim, 

within 35 days after service upon the 

United States attorney of the pleading in 

which the claim is asserted. The service 

of a motion permitted under this rule 

alters these periods of time as follows, 

unless a different time is fixed by order 

of the court: (1) if the court denies the 

motion or postpones its disposition until 

the trial on the merits, the responsive 

pleading shall be served within 14 days 

after notice of the court’s action; (2) if 

the court grants a motion for a more 

definite statement, the responsive 

pleading shall be served within 14 days 

after the service of a more definite 

statement. 

(a) Time to Serve. The time to serve a 

responsive pleading is as follows: 

(1) Answer to a Complaint in General.

A defendant must serve an answer to a 

complaint within 30 days after the 

summons was issued, unless the court 

sets a different time. 

(2) Answer to a Complaint Served by 

Publication or on a Party in a 

Foreign Country. The court must set 

the time to serve an answer to a 

complaint served by publication or 

served on a party in a foreign country. 

(3) Answer to a Crossclaim. A party 

served with a pleading that states a 

crossclaim must serve an answer to the 

crossclaim within 21 days after being 

served. 

(4) Answer to a Counterclaim. A 

plaintiff served with an answer that 

contains a counterclaim must serve 

an answer to the counterclaim 

within 21 days after service of: 

(A) the answer; or 

(B) a court order requiring an answer, 

unless the order states otherwise. 

(5) Answer to a Complaint or 

Crossclaim—or Answer to a 

Counterclaim—Served on the 

United States or an Officer or 

Agency. The United States or its 

officer or agency must serve: 

(A) an answer to a complaint within 

35 days after the summons was 

issued; and 

Rules Appendix B-258
(7000 Series) 20 

ORIGINAL REVISION

(B) an answer to a crossclaim or a 

counterclaim within 35 days 

after the United States attorney 

is served with the pleading that 

asserts the claim. 

(6) Effect of a Motion. Unless the court 

sets a different time, serving a motion 

under this rule alters these times as 

follows: 

(A) if the court denies the motion or 

postpones disposition until trial, 

the responsive pleading must be 

served within 14 days after notice 

of the court’s action; or 

(B) if the court grants a motion for a 

more definite statement, the 

responsive pleading must be 

served within 14 days after the 

statement is served. 

(b) APPLICABILITY OF RULE 12(b)–

(i) F.R.CIV.P. Rule 12(b)–(i) F.R.Civ.P. 

applies in adversary proceedings. A 

responsive pleading shall include a 

statement that the party does or does not 

consent to entry of final orders or 

judgment by the bankruptcy court. 

(b) Applicability of Civil Rule 12(b)–(i). Fed. 

R. Civ. P. 12(b)–(i) applies in an adversary 

proceeding. A responsive pleading must 

state whether the party does or does not 

consent to the entry of final orders or 

judgment by the bankruptcy court. 

Committee Note

The language of Rule 7012 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-259
(7000 Series) 21 

ORIGINAL REVISION

Rule 7013. Counterclaim and CrossClaim 

Rule 7013. Counterclaim and 

Crossclaim 

Rule 13 F.R.Civ.P. applies in adversary 

proceedings, except that a party sued by 

a trustee or debtor in possession need 

not state as a counterclaim any claim 

that the party has against the debtor, the 

debtor’s property, or the estate, unless 

the claim arose after the entry of an 

order for relief. A trustee or debtor in 

possession who fails to plead a 

counterclaim through oversight, 

inadvertence, or excusable neglect, or 

when justice so requires, may by leave 

of court amend the pleading, or 

commence a new adversary proceeding 

or separate action. 

Fed. R. Civ. P. 13 applies in an adversary 

proceeding. But a party sued by a trustee or 

debtor in possession need not state as a 

counterclaim any claim the party has against the 

debtor, the debtor’s property, or the estate, 

unless the claim arose after the order for relief. 

If, through oversight, inadvertence, or excusable 

neglect, a trustee or debtor in possession fails to 

plead a counterclaim—or when justice so 

requires—the court may permit the trustee or 

debtor in possession to: 

(a) amend the pleading; or 

(b) commence a new adversary proceeding or 

separate action. 

Committee Note

The language of Rule 7013 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-260
(7000 Series) 22 

ORIGINAL REVISION

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

Rule 14 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 14 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7014 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-261
(7000 Series) 23 

ORIGINAL REVISION

Rule 7015. Amended and 

Supplemental Pleadings 

Rule 7015. Amended and 

Supplemental Pleadings 

Rule 15 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 15 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7015 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-262
(7000 Series) 24 

ORIGINAL REVISION

Rule 7016. Pretrial Procedures Rule 7016. Pretrial Procedures 

(a) PRETRIAL CONFERENCES; 

SCHEDULING; MANAGEMENT. 

Rule 16 F.R.Civ.P. applies in adversary 

proceedings. 

(a) Pretrial Conferences; Scheduling; 

Management. Fed. R. Civ. P. 16 applies 

in an adversary proceeding.

(b) Determining Procedure. On its own or 

a party’s timely motion, the court must 

decide whether: 

(1) to hear and determine the proceeding; 

(2) to hear it and issue proposed findings 

of fact and conclusions of law; or 

(3) to take other action. 

(b) DETERMINING PROCEDURE. 

The bankruptcy court shall decide, on its 

own motion or a party’s timely motion, 

whether: 

(1) to hear and determine the 

proceeding; 

(2) to hear the proceeding and 

issue proposed findings of fact and 

conclusions of law; or 

(3) to take some other action. 

Committee Note

The language of Rule 7016 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-263
(7000 Series) 25 

ORIGINAL REVISION

Rule 7017. Parties Plaintiff and 

Defendant; Capacity 

Rule 7017. Plaintiff and Defendant; 

Capacity; Public Officers 

Rule 17 F.R.Civ.P. applies in adversary 

proceedings, except as provided in Rule 

2010(b). 

Fed. R. Civ. P. 17 applies in an adversary 

proceeding, except as provided in Rule 2010(b). 

Committee Note

The language of Rule 7017 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-264
(7000 Series) 26 

ORIGINAL REVISION

Rule 7018. Joinder of Claims and 

Remedies 

Rule 7018. Joinder of Claims 

Rule 18 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 18 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7018 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-265
(7000 Series) 27 

ORIGINAL REVISION

Rule 7019. Joinder of Persons 

Needed for Just Determination 

Rule 7019. Required Joinder of 

Parties 

Rule 19 F.R.Civ.P. applies in adversary 

proceedings, except that (1) if an entity 

joined as a party raises the defense that 

the court lacks jurisdiction over the 

subject matter and the defense is 

sustained, the court shall dismiss such 

entity from the adversary proceedings 

and (2) if an entity joined as a party 

properly and timely raises the defense of 

improper venue, the court shall 

determine, as provided in 28 U.S.C. 

§ 1412, whether that part of the 

proceeding involving the joined party 

shall be transferred to another district, 

or whether the entire adversary 

proceeding shall be transferred to 

another district. 

Fed. R. Civ. P. 19 applies in an adversary 

proceeding. But these exceptions apply: 

(a) if an entity joined as a party raises the 

defense that the court lacks subjectmatter jurisdiction and the defense is 

sustained, the court must dismiss the 

party; and 

(b) if an entity joined as a party properly and 

timely raises the defense of improper 

venue, the court must determine under 28 

U.S.C. § 1412 whether to transfer to 

another district the entire adversary 

proceeding or just that part involving the 

joined party. 

Committee Note

The language of Rule 7019 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-266
(7000 Series) 28 

ORIGINAL REVISION

Rule 7020. Permissive Joinder of 

Parties 

Rule 7020. Permissive Joinder of 

Parties 

Rule 20 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 20 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7020 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-267
(7000 Series) 29 

ORIGINAL REVISION

Rule 7021. Misjoinder and NonJoinder of Parties 

Rule 7021. Misjoinder and Nonjoinder 

of Parties 

Rule 21 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 21 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7021 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-268
(7000 Series) 30 

ORIGINAL REVISION

Rule 7022. Interpleader Rule 7022. Interpleader 

Rule 22(a) F.R.Civ.P. applies in adversary 

proceedings. This rule supplements—and 

does not limit—the joinder of parties 

allowed by Rule 7020. 

Fed. R. Civ. P. 22(a) applies in an adversary 

proceeding. This rule supplements and does not 

limit the joinder of parties under Rule 7020. 

Committee Note

The language of Rule 7022 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-269
(7000 Series) 31 

ORIGINAL REVISION

Rule 7023. Class Proceedings Rule 7023. Class Actions 

Rule 23 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 23 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7023 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-270
(7000 Series) 32 

ORIGINAL REVISION

Rule 7023.1. Derivative Actions Rule 7023.1. Derivative Actions 

Rule 23.1 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 23.1 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7023.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-271
(7000 Series) 33 

ORIGINAL REVISION

Rule 7023.2. Adversary Proceedings 

Relating to Unincorporated 

Associations 

Rule 7023.2. Adversary Proceedings 

Relating to Unincorporated 

Associations 

Rule 23.2 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 23.2 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7023.2 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-272
(7000 Series) 34 

ORIGINAL REVISION

Rule 7024. Intervention Rule 7024. Intervention 

Rule 24 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 24 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7024 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-273
(7000 Series) 35 

ORIGINAL REVISION

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

Subject to the provisions of Rule 2012, 

Rule 25 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 25 applies in an adversary 

proceeding—but is subject to Rule 2012. 

Committee Note

The language of Rule 7025 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-274
(7000 Series) 36 

ORIGINAL REVISION

Rule 7026. General Provisions 

Governing Discovery 

Rule 7026. Duty to Disclose; General 

Provisions Governing Discovery 

Rule 26 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 26 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7026 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-275
(7000 Series) 37 

ORIGINAL REVISION

Rule 7027. Depositions Before 

Adversary Proceedings or Pending 

Appeal 

Rule 7027. Depositions to Perpetuate 

Testimony 

Rule 27 F.R.Civ.P. applies to adversary 

proceedings. 

Fed. R. Civ. P. 27 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7027 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-276
(7000 Series) 38 

ORIGINAL REVISION 

Rule 7028. Persons Before Whom 

Depositions May Be Taken 

Rule 7028. Persons Before Whom 

Depositions May Be Taken 

Rule 28 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 28 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7028 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-277
(7000 Series) 39 

ORIGINAL REVISION 

Rule 7029. Stipulations Regarding 

Discovery Procedure 

Rule 7029. Stipulations About 

Discovery Procedure 

Rule 29 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 29 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7029 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-278
(7000 Series) 40 

ORIGINAL REVISION

Rule 7030. Depositions Upon Oral 

Examination 

Rule 7030. Depositions by Oral 

Examination 

Rule 30 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 30 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7030 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-279
(7000 Series) 41 

ORIGINAL REVISION

Rule 7031. Deposition Upon Written 

Questions 

Rule 7031. Depositions by Written 

Questions 

Rule 31 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 31 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7031 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-280
(7000 Series) 42 

ORIGINAL REVISION

Rule 7032. Use of Depositions in 

Adversary Proceedings 

Rule 7032. Using Depositions in 

Court Proceedings 

Rule 32 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 32 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7032 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-281
(7000 Series) 43 

ORIGINAL REVISION

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

Rule 33 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 33 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7033 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-282
(7000 Series) 44 

ORIGINAL REVISION

Rule 7034. Production of Documents 

and Things and Entry Upon Land 

for Inspection and Other Purposes 

Rule 7034. Producing Documents, 

Electronically Stored Information, 

and Tangible Things, or Entering 

onto Land, for Inspection and Other 

Purposes 

Rule 34 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 34 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7034 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-283
(7000 Series) 45 

ORIGINAL REVISION

Rule 7035. Physical and Mental 

Examination of Persons 

Rule 7035. Physical and Mental 

Examinations 

Rule 35 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 35 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7035 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-284
(7000 Series) 46 

ORIGINAL REVISION

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

Rule 36 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 36 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7036 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-285
(7000 Series) 47 

ORIGINAL REVISION

Rule 7037. Failure to Make 

Discovery: Sanctions 

Rule 7037. Failure to Make 

Disclosures or to Cooperate in 

Discovery; Sanctions 

Rule 37 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 37 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7037 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-286
(7000 Series) 48 

ORIGINAL REVISION

Rule 7040. Assignment of Cases for 

Trial 

Rule 7040. Scheduling Cases for Trial 

Rule 40 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 40 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7040 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-287
(7000 Series) 49 

ORIGINAL REVISION

Rule 7041. Dismissal of Adversary 

Proceedings 

Rule 7041. Dismissing Adversary 

Proceedings 

Rule 41 F.R.Civ.P. applies in adversary 

proceedings, except that a complaint 

objecting to the debtor’s discharge shall 

not be dismissed at the plaintiff’s 

instance without notice to the trustee, 

the United States trustee, and such other 

persons as the court may direct, and 

only on order of the court containing 

terms and conditions which the court 

deems proper. 

Fed. R. Civ. P. 41 applies in an adversary 

proceeding. But a complaint objecting to the 

debtor’s discharge may be dismissed on the 

plaintiff’s motion only: 

(a) by a court order setting out any terms and 

conditions for the dismissal; and 

(b) with notice to the trustee, the United 

States trustee, and any other person 

the court designates. 

Committee Note

The language of Rule 7041 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-288
(7000 Series) 50 

ORIGINAL REVISION

Rule 7042. Consolidation of 

Adversary Proceedings; Separate 

Trials 

Rule 7042. Consolidating Adversary 

Proceedings; Separate Trials 

Rule 42 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 42 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7042 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-289
(7000 Series) 51 

ORIGINAL REVISION

Rule 7052. Findings by the Court Rule 7052. Findings and Conclusions 

by the Court; Judgment on Partial 

Findings 

Rule 52 F.R.Civ.P. applies in adversary 

proceedings, except that any motion 

under subdivision (b) of that rule for 

amended or additional findings shall be 

filed no later than 14 days after entry of 

judgment. In these proceedings, the 

reference in Rule 52 F.R.Civ.P. to the 

entry of judgment under Rule 58 

F.R.Civ.P. shall be read as a reference to 

the entry of a judgment or order under 

Rule 5003(a). 

Fed. R. Civ. P. 52 applies in an adversary 

proceeding—except that a motion under Fed. 

R. Civ. P. 52(b) to amend or add findings must 

be filed within 14 days after the judgment is 

entered. The reference in Fed. R. Civ. P. 52(a) 

to entering a judgment under Fed. R. Civ. P. 58 

must be read as referring to entering a 

judgment or order under Rule 5003(a). 

Committee Note

The language of Rule 7052 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-290
(7000 Series) 52 

ORIGINAL REVISION

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

(a) JUDGMENTS. Rule 54(a)–(c) 

F.R.Civ.P. applies in adversary 

proceedings. 

(a) Judgment. Fed. R. Civ. P. 54(a)–(c) 

applies in an adversary proceeding. 

(b) COSTS; ATTORNEY’S FEES. 

(1) Costs Other Than Attorney’s 

Fees. The court may allow costs to the 

prevailing party except when a statute 

of the United States or these rules 

otherwise provides. Costs against the 

United States, its officers and agencies 

shall be imposed only to the extent 

permitted by law. Costs may be taxed 

by the clerk on 14 days’ notice; on 

motion served within seven days 

thereafter, the action of the clerk may 

be reviewed by the court. 

(2) Attorney’s Fees. 

(A) Rule 54(d)(2)(A)–(C) and 

(E) F.R.Civ.P. applies in adversary 

proceedings except for the reference in 

Rule 54(d)(2)(C) to Rule 78. 

(B) By local rule, the court 

may establish special procedures to 

resolve fee-related issues without 

extensive evidentiary hearings. 

(b) Costs and Attorney’s Fees. 

(1) Costs Other Than Attorney’s Fees.

The court may allow costs to the 

prevailing party, unless a federal statute 

or these rules provide otherwise. Costs 

against the United States, its officers, 

and its agencies may be imposed only 

to the extent permitted by law. The 

clerk, on 14 days’ notice, may tax costs, 

and the court, on motion served within 

the next 7 days, may review the clerk’s 

action. 

(2) Attorney’s Fees.

(A) In General. Fed. R. Civ. P. 

54(d)(2)(A)–(C) and (E) applies in 

an adversary proceeding—except 

for the reference in 54(d)(2)(C) to 

Civil Rule 78. 

(B) Local Rules for Resolving Issues. By 

local rule, the court may establish 

special procedures to resolve feerelated issues without extensive 

evidentiary hearings. 

Committee Note

The language of Rule 7054 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-291
(7000 Series) 53 

ORIGINAL REVISION

Rule 7055. Default Rule 7055. Default; Default Judgment 

Rule 55 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 55 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7055 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-292
(7000 Series) 54 

ORIGINAL REVISION

Rule 7056. Summary Judgment Rule 7056. Summary Judgment 

Rule 56 F.R.Civ.P. applies in adversary 

proceedings, except that any motion for 

summary judgment must be made at least 

30 days before the initial date set for an 

evidentiary hearing on any issue for which 

summary judgment is sought, unless a 

different time is set by local rule or the 

court orders otherwise. 

Fed. R. Civ. P. 56 applies in an adversary 

proceeding. But a motion for summary judgment 

must be filed at least 30 days before the first date 

set for an evidentiary hearing on any issue that the 

motion addresses, unless a local rule sets a 

different time or the court orders otherwise. 

Committee Note

The language of Rule 7056 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-293
(7000 Series) 55 

ORIGINAL REVISION

Rule 7058. Entering Judgment in 

Adversary Proceeding 

Rule 7058. Entering Judgment 

Rule 58 F.R.Civ.P. applies in adversary 

proceedings. In these proceedings, the 

reference in Rule 58 F.R.Civ.P. to the 

civil docket shall be read as a reference to 

the docket maintained by the clerk under 

Rule 5003(a). 

Fed. R. Civ. P. 58 applies in an adversary 

proceeding. A reference in that rule to the civil 

docket must be read as referring to the docket 

maintained by the clerk under Rule 5003(a). 

Committee Note

The language of Rule 7058 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-294
(7000 Series) 56 

ORIGINAL REVISION

Rule 7062. Stay of Proceedings to 

Enforce a Judgment 

Rule 7062. Stay of Proceedings to 

Enforce a Judgment 

Rule 62 F.R.Civ.P. applies in adversary 

proceedings, except that proceedings to 

enforce a judgment are stayed for 14 days 

after its entry. 

Fed. R. Civ. P. 62 applies in an adversary 

proceeding—except that a proceeding to enforce 

a judgment is stayed for 14 days after its entry. 

Committee Note

The language of Rule 7062 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-295
(7000 Series) 57 

ORIGINAL REVISION

Rule 7064. Seizure of Person or 

Property 

Rule 7064. Seizing a Person or 

Property 

Rule 64 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 64 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7064 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-296
(7000 Series) 58 

ORIGINAL REVISION

Rule 7065. Injunctions Rule 7065. Injunctions 

Rule 65 F.R.Civ.P. applies in adversary 

proceedings, except that a temporary 

restraining order or preliminary 

injunction may be issued on application 

of a debtor, trustee, or debtor in 

possession without compliance with 

Rule 65(c). 

Fed. R. Civ. P. 65 applies in an adversary 

proceeding. But on application of a debtor, 

trustee, or debtor in possession, the court may 

issue a temporary restraining order or 

preliminary injunction without complying with 

subdivision (c) of that rule. 

Committee Note

The language of Rule 7065 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-297
(7000 Series) 59 

ORIGINAL REVISION

Rule 7067. Deposit in Court Rule 7067. Deposit into Court 

Rule 67 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 67 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7067 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-298
(7000 Series) 60 

ORIGINAL REVISION

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

Rule 68 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 68 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7068 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-299
(7000 Series) 61 

ORIGINAL REVISION

Rule 7069. Execution Rule 7069. Execution 

Rule 69 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 69 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7069 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-300
(7000 Series) 62 

ORIGINAL REVISION

Rule 7070. Judgment for Specific 

Acts; Vesting Title 

Rule 7070. Enforcing a Judgment for 

a Specific Act; Vesting Title 

Rule 70 F.R.Civ.P. applies in adversary 

proceedings and the court may enter a 

judgment divesting the title of any party 

and vesting title in others whenever the 

real or personal property involved is 

within the jurisdiction of the court. 

Fed. R. Civ. P. 70 applies in an adversary 

proceeding. When real or personal property is 

within the court’s jurisdiction, the court may 

enter a judgment divesting a party’s title and 

vesting it in another person. 

Committee Note

The language of Rule 7070 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-301
(7000 Series) 63 

ORIGINAL REVISION

Rule 7071. Process in Behalf of and 

Against Persons Not Parties 

Rule 7071. Enforcing Relief for or 

Against a Nonparty 

Rule 71 F.R.Civ.P. applies in adversary 

proceedings. 

Fed. R. Civ. P. 71 applies in an adversary 

proceeding. 

Committee Note

The language of Rule 7071 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-302
(7000 Series) 64 

ORIGINAL REVISION

Rule 7087. Transfer of Adversary 

Proceeding 

Rule 7087. Transferring an Adversary 

Proceeding 

On motion and after a hearing, the court 

may transfer an adversary proceeding or 

any part thereof to another district 

pursuant to 28 U.S.C. § 1412, except as 

provided in Rule 7019(2). 

On motion and after a hearing, the court may 

transfer an adversary proceeding, or any part of 

it, to another district under 28 U.S.C. § 1412—

except as provided in Rule 7019(b). 

Committee Note

The language of Rule 7087 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-303
(8000 Series) 

PROPOSED AMENDMENTS TO THE

FEDERAL RULES OF BANKRUPTCY PROCEDURE

8000 Series 

Rules Appendix B-304
 (8000 Series) 2 

ORIGINAL REVISION

PART VIII—APPEALS TO 

DISTRICT COURT OR 

BANKRUPTCY APPELLATE 

PANEL 

PART VIII. APPEAL TO A

DISTRICT COURT OR A

BANKRUPTCY APPELLATE

PANEL

Rule 8001. Scope of Part VIII Rules; 

Definition of ‘‘BAP’’; Method of 

Transmission 

Rule 8001. Scope; Definition of 

“BAP”; Sending Documents 

Electronically 

(a) GENERAL SCOPE. These Part 

VIII rules govern the procedure in a 

United States district court and a 

bankruptcy appellate panel on appeal 

from a judgment, order, or decree of a 

bankruptcy court. They also govern 

certain procedures on appeal to a United 

States court of appeals under 28 U.S.C. 

§ 158(d). 

(a) Scope. These Part VIII rules govern the 

procedure in a United States district court 

and in a bankruptcy appellate panel on 

appeal from a bankruptcy court’s 

judgment, order, or decree. They also 

govern certain procedures on appeal to a 

United States court of appeals under 28 

U.S.C. § 158(d). 

(b) DEFINITION OF ‘‘BAP.’’ ‘‘BAP’’ 

means a bankruptcy appellate panel 

established by a circuit’s judicial council 

and authorized to hear appeals from a 

bankruptcy court under 28 U.S.C. § 158. 

(b) Definition of “BAP.” “BAP” means a 

bankruptcy appellate panel established by a 

circuit judicial council and authorized to 

hear appeals from a bankruptcy court under 

28 U.S.C. § 158. 

(c) METHOD OF TRANSMITTING 

DOCUMENTS. A document must be 

sent electronically under these Part VIII 

rules, unless it is being sent by or to an 

individual who is not represented by 

counsel or the court’s governing rules 

permit or require mailing or other 

means of delivery. 

(c) Requirement to Send Documents 

Electronically. Under these Part VIII 

rules, a document must be sent 

electronically, unless: 

(1) it is sent by or to an individual who is 

not represented by counsel; or 

(2) the court’s local rules permit or require 

mailing or delivery by other means. 

Committee Note

The language of Rule 8001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-305
(8000 Series) 3 

ORIGINAL REVISION

Rule 8002. Time for Filing Notice of 

Appeal 

Rule 8002. Time to File a Notice of 

Appeal 

(a) IN GENERAL. 

(1) Fourteen-Day Period. Except as 

provided in subdivisions (b) and (c), a 

notice of appeal must be filed with the 

bankruptcy clerk within 14 days after 

entry of the judgment, order, or decree 

being appealed. 

(2) Filing Before the Entry of 

Judgment. A notice of appeal filed after 

the bankruptcy court announces a 

decision or order—but before entry of 

the judgment, order, or decree—is 

treated as filed on the date of and after 

the entry. 

(3) Multiple Appeals. If one party 

files a timely notice of appeal, any 

other party may file a notice of appeal 

within 14 days after the date when the 

first notice was filed, or within the time 

otherwise allowed by this rule, 

whichever period ends later. 

(4) Mistaken Filing in Another 

Court. If a notice of appeal is mistakenly 

filed in a district court, BAP, or court of 

appeals, the clerk of that court must 

state on the notice the date on which it 

was received and transmit it to the 

bankruptcy clerk. The notice of appeal is 

then considered filed in the bankruptcy 

court on the date so stated. 

(5) Entry Defined. 

(A) A judgment, order, 

or decree is entered for purposes of this 

Rule 8002(a): 

(i) when it is 

entered in the docket under Rule 

5003(a), or 

(a) In General. 

(1) Time to File. Except as (b) and (c) 

provide otherwise, a notice of appeal 

must be filed with the bankruptcy clerk 

within 14 days after the judgment, 

order, or decree to be appealed is 

entered. 

(2) Filing Before the Entry of 

Judgment. A notice of appeal filed 

after the bankruptcy court announces a 

decision or order—but before entry of 

the judgment, order, or decree—is 

treated as filed on the date of and after 

the entry. 

(3) Multiple Appeals. If one party timely 

files a notice of appeal, any other 

party may file a notice of appeal 

within 14 days after the date when the 

first notice was filed, or within the 

time otherwise allowed by this rule—

whichever is later. 

(4) Mistaken Filing in Another Court.

If a notice of appeal is mistakenly filed 

in a district court, BAP, or court of 

appeals, that court’s clerk must note on 

it the date when it was received and 

send it to the bankruptcy clerk. The 

notice is then considered filed in the 

bankruptcy court on the date noted. 

(5) Entry Defined.

(A) In General. A judgment, order, or 

decree is entered for purposes of 

this subdivision (a): 

(i) when it is entered in the 

docket under Rule 5003(a); or 

(ii) if Rule 7058 applies and Fed. 

R. Civ. P. 58(a) requires a 

separate document, when the 

Rules Appendix B-306
(8000 Series) 4 

ORIGINAL REVISION

(ii) if Rule 7058 

applies and Rule 58(a) F.R.Civ.P. 

requires a separate document, when the 

judgment, order, or decree is entered in 

the docket under Rule 5003(a) and when 

the earlier of these events occurs: 

 the judgment, order, or 

decree is set out in a 

separate document; or 

 150 days have run from 

entry of the judgment, 

order, or decree in the 

docket under Rule 

5003(a). 

(B) A failure to set out a 

judgment, order, or decree in a separate 

document when required by Rule 58(a) 

F.R.Civ.P. does not affect the validity of 

an appeal from that judgment, order, or 

decree. 

judgment, order, or decree is 

entered in the docket under 

Rule 5003(a) and when the 

earlier of these events occurs: 

 the judgment, order, or 

decree is set out in a 

separate document; or 

 150 days have run from 

entry of the judgment, 

order, or decree in the 

docket under Rule 5003(a). 

(B) Failure to Use a Separate Document. A 

failure to set out a judgment, order, 

or decree in a separate document 

when required by Fed. R. Civ. P. 

58(a) does not affect the validity of 

an appeal from that judgment, 

order, or decree. 

(b) EFFECT OF A MOTION 

ON THE TIME TO APPEAL. 

(1) In General. If a party files in 

the bankruptcy court any of the 

following motions and does so within 

the time allowed by these rules, the time 

to file an appeal runs for all parties from 

the entry of the order disposing of the 

last such remaining motion: 

(b) Effect of a Motion on the Time to 

Appeal. 

(1) In General. If a party files in the 

bankruptcy court any of the following 

motions—and does so within the time 

allowed by these rules—the time to file 

an appeal runs for all parties from the 

entry of the order disposing of the last 

such remaining motion: 

Rules Appendix B-307
(8000 Series) 5 

ORIGINAL REVISION

(A) to amend or make 

additional findings under Rule 7052, 

whether or not granting the motion 

would alter the judgment; 

(B) to alter or amend the 

judgment under Rule 9023; 

(C) for a new trial under 

Rule 9023; or 

(D) for relief under Rule 

9024 if the motion is filed within 14 days 

after the judgment is entered. 

(2) Filing an Appeal Before the 

Motion is Decided. If a party files a notice 

of appeal after the court announces or 

enters a judgment, order, or decree—

but before it disposes of any motion 

listed in subdivision (b)(1)—the notice 

becomes effective when the order 

disposing of the last such remaining 

motion is entered. 

(3) Appealing the Ruling on the 

Motion. If a party intends to challenge an 

order disposing of any motion listed in 

subdivision (b)(1)—or the alteration or 

amendment of a judgment, order, or 

decree upon the motion—the party 

must file a notice of appeal or an 

amended notice of appeal. The notice 

or amended notice must comply with 

Rule 8003 or 8004 and be filed within 

the time prescribed by this rule, 

measured from the entry of the order 

disposing of the last such remaining 

motion. 

(4) No Additional Fee. No 

additional fee is required to file an 

amended notice of appeal. 

(A) to amend or make additional 

findings under Rule 7052, whether 

or not granting the motion would 

alter the judgment; 

(B) to alter or amend the judgment 

under Rule 9023; 

(C) for a new trial under Rule 9023; or 

(D)for relief under Rule 9024 if the 

motion is filed within 14 days after 

the judgment is entered. 

(2) Notice of Appeal Filed Before a 

Motion Is Decided. If a party files a 

notice of appeal after the court 

announces or enters a judgment, order, 

or decree—but before it disposes of 

any motion listed in (1)—the notice 

becomes effective when the order 

disposing of the last such remaining 

motion is entered. 

(3) Appealing a Ruling on a Motion. A 

party intending to challenge an order 

disposing of a motion listed in (1)—or 

an alteration or amendment of a 

judgment, order, or decree made by a 

decision on the motion—must file a 

notice of appeal or an amended notice 

of appeal. It must: 

(A) comply with Rule 8003 or 8004; 

and 

(B) be filed within the time allowed 

by this rule, measured from the 

entry of the order disposing of the 

last such remaining motion. 

(4) No Additional Fee for an Amended 

Notice. No additional fee is required 

to file an amended notice of appeal. 

Rules Appendix B-308
(8000 Series) 6 

ORIGINAL REVISION

(c) APPEAL BY AN INMATE 

CONFINED IN AN INSTITUTION. 

(1) In General. If an institution 

has a system designed for legal mail, an 

inmate confined there must use that 

system to receive the benefit of this Rule 

8002(c)(1). If an inmate files a notice of 

appeal from a judgment, order, or 

decree of a bankruptcy court, the notice 

is timely if it is deposited in the 

institution’s internal mail system on or 

before the last day for filing and: 

(A) it is accompanied by: 

(i) a declaration 

in compliance with 28 U.S.C. § 1746— 

or a notarized statement—setting out 

the date of deposit and stating that firstclass postage is being pre-paid; or 

(ii) evidence 

(such as a postmark or date stamp) 

showing that the notice was so 

deposited and that postage was prepaid; 

or 

(B) the appellate court 

exercises its discretion to permit the 

later filing of a declaration or notarized 

statement that satisfies Rule 

8002(c)(1)(A)(i). 

(2) Multiple Appeals. If an 

inmate files under this subdivision the 

first notice of appeal, the 14-day 

period provided in subdivision (a)(3) 

for another party to file a notice of 

appeal runs from the date when the 

bankruptcy clerk dockets the first 

notice. 

(c) Appeal by an Inmate Confined in an 

Institution. 

(1) In General. If an institution has a 

system designed for legal mail, an 

inmate confined there must use that 

system to receive the benefit of this 

paragraph (1). If an inmate files a 

notice of appeal from a bankruptcy 

court’s judgment, order, or decree, the 

notice is timely if it is deposited in the 

institution’s internal mail system on or 

before the last day for filing and: 

(A) it is accompanied by: 

(i) a declaration in compliance 

with 28 U.S.C. § 1746—or a 

notarized statement—setting 

out the date of deposit and 

stating that first-class 

postage is being prepaid; or 

(ii) evidence (such as a postmark 

or date stamp) showing that 

the notice was so deposited 

and that postage was prepaid; 

or 

(B) the appellate court exercises its 

discretion to permit the later filing 

of a declaration or notarized 

statement that satisfies (A)(i). 

(2) Multiple Appeals. If an inmate files 

under this subdivision (c) the first 

notice of appeal, the 14-day period 

provided in (a)(3) for another party to 

file a notice of appeal runs from the 

date when the bankruptcy clerk 

dockets the first notice. 

Rules Appendix B-309
(8000 Series) 7 

ORIGINAL REVISION

(d) EXTENDING THE TIME TO 

APPEAL. 

(1) When the Time May be 

Extended. Except as provided in 

subdivision (d)(2), the bankruptcy court 

may extend the time to file a notice of 

appeal upon a party’s motion that is 

filed: 

(A) within the time 

prescribed by this rule; or 

(B) within 21 days after 

that time, if the party shows excusable 

neglect. 

(2) When the Time May Not be 

Extended. The bankruptcy court may 

not extend the time to file a notice of 

appeal if the judgment, order, or decree 

appealed from: 

(A) grants relief from an 

automatic stay under § 362, 922, 1201, 

or 1301 of the Code; 

(B) authorizes the sale 

or lease of property or the use of cash 

collateral under § 363 of the Code; 

(C) authorizes the 

obtaining of credit under § 364 of the 

Code; 

(D) authorizes the 

assumption or assignment of an 

executory contract or unexpired lease 

under § 365 of the Code; 

(E) approves a 

disclosure statement under § 1125 of 

the Code; or 

(F) confirms a plan 

under § 943, 1129, 1225, or 1325 of the 

Code. 

(d) Extending the Time to File a Notice of 

Appeal. 

(1) When the Time May Be Extended.

Except as (2) provides otherwise, the 

bankruptcy court may, on motion, 

extend the time to file a notice of 

appeal if the motion is filed: 

(A) within the time allowed by this 

rule; or 

(B) within 21 days after that time 

expires if the party shows 

excusable neglect. 

(2) When the Time Must Not Be 

Extended. The bankruptcy court 

must not extend the time to file the 

notice if the judgment, order, or 

decree being appealed: 

(A) grants relief from an automatic 

stay under § 362, 922, 1201, or 

1301; 

(B) authorizes the sale or lease 

of property or the use of 

cash collateral under § 363; 

(C) authorizes obtaining credit under 

§ 364; 

(D) authorizes assuming or assigning 

an executory contract or unexpired 

lease under § 365; 

(E) approves a disclosure statement 

under § 1125; or 

(F) confirms a plan under § 943, 1129, 

1225, or 1325. 

Rules Appendix B-310
(8000 Series) 8 

ORIGINAL REVISION

(3) TIME LIMITS ON AN 

EXTENSION. No extension of time 

may exceed 21 days after the time 

prescribed by this rule, or 14 days after 

the order granting the motion to extend 

time is entered, whichever is later. 

(3) Limit on Extending Time. An 

extension of time must not exceed 

21 days after the time allowed by this 

rule, or 14 days after the order 

granting the motion to extend time is 

entered—whichever is later. 

Committee Note

The language of Rule 8002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-311
(8000 Series) 9 

ORIGINAL REVISION

Rule 8003.1 Appeal as of Right—

How Taken; Docketing the Appeal 

Rule 8003. Appeal as of Right—How 

Taken; Docketing the Appeal 

(a) FILING THE NOTICE OF 

APPEAL. 

(1) In General. An appeal from a 

judgment, order, or decree of a 

bankruptcy court to a district court or 

BAP under 28 U.S.C. § 158(a)(1) or 

(a)(2) may be taken only by filing a 

notice of appeal with the bankruptcy 

clerk within the time allowed by Rule 

8002. 

(2) Effect of Not Taking Other 

Steps. An appellant’s failure to take any 

step other than the timely filing of a 

notice of appeal does not affect the 

validity of the appeal, but is ground only 

for the district court or BAP to act as it 

considers appropriate, including 

dismissing the appeal. 

(3) Contents. The notice of 

appeal must: 

(A) conform substantially 

to the appropriate Official Form; 

(B) be accompanied by 

the judgment—or the appealable 

order or decree—from which the 

appeal is taken; and 

(C) be accompanied by 

the prescribed fee. 

(a) Filing a Notice of Appeal. 

(1) Time to File. An appeal under 28 

U.S.C. § 158(a)(1) or (2) from a 

bankruptcy court’s judgment, order, 

or decree to a district court or a BAP 

may be taken only by filing a notice of 

appeal with the bankruptcy clerk 

within the time allowed by Rule 8002. 

(2) Failure to Take Any Other Step. An 

appellant’s failure to take any step 

other than timely filing a notice of 

appeal does not affect the appeal’s 

validity, but is ground only for the 

district court or BAP to act as it 

considers appropriate, including 

dismissing the appeal. 

(3) Content of the Notice of Appeal. A 

notice of appeal must: 

(A) conform substantially to 

Form 417A; 

(B) be accompanied by the 

judgment—or the appealable 

order or decree—from which the 

appeal is taken; and 

(C) be accompanied by the 

prescribed filing fee. 

(4) Merger. The notice of 

appeal encompasses all orders that, 

for purposes of appeal, merge into 

the identified judgment or appealable 

order or decree. It is not necessary to 

identify those orders in the notice of 

appeal. 

(5) Final Judgment. The notice 

(4) Merger. The notice of appeal 

encompasses all orders that, for 

purposes of appeal, merge into the 

identified judgment or appealable 

order or decree. It is not necessary to 

identify those orders in the notice of 

appeal. 

(5) Final Judgment. The notice of 

1

 Rule 8003 original text shows changes on track to go into effect on December 1, 2023. 

Rules Appendix B-312
(8000 Series) 10 

ORIGINAL REVISION

of appeal encompasses the final 

judgment, whether or not that 

judgment is set out in a separate 

document under Rule 7058, if the 

notice identifies: 

(A) an order that 

adjudicates all remaining claims and 

the rights and liabilities of all 

remaining parties; or 

(B) an order described in 

Rule 8002(b)(1). 

(6) Limited Appeal. An 

appellant may identify only part of a 

judgment or appealable order or 

decree by expressly stating that the 

notice of appeal is so limited. 

Without such an express statement, 

specific identifications do not limit 

the scope of the notice of appeal. 

(7) Impermissible Ground for 

Dismissal. An appeal must not be 

dismissed for failure to properly 

identify the judgment or appealable 

order or decree if the notice of appeal 

was filed after entry of the judgment 

or appealable order or decree and 

identifies an order that merged into 

that judgment or appealable order or 

decree. 

(8) Additional Copies. If 

requested to do so, the appellant 

must furnish the bankruptcy clerk 

with enough copies of the notice to 

enable the clerk to comply with 

subdivision (c). 

appeal encompasses the final 

judgment, whether or not that 

judgment is set out in a separate 

document under Rule 7058, if the 

notice identifies: 

(A) an order that adjudicates all 

remaining claims and the rights 

and liabilities of all remaining 

parties; or 

(B) an order described in Rule 

8002(b)(1). 

(6) Limited Appeal. An appellant may 

identify only part of a judgment or 

appealable order or decree by 

expressly stating that the notice of 

appeal is so limited. Without such an 

express statement, specific 

identifications do not limit the scope 

of the notice of appeal. 

(7) Impermissible Ground for 

Dismissal. An appeal must not be 

dismissed for failure to properly 

identify the judgment or appealable 

order or decree if the notice of appeal 

was filed after entry of the judgment 

or appealable order or decree and 

identifies an order that merged into 

that judgment or appealable order or 

decree. 

(8) Clerk’s Request for Additional 

Copies of the Notice of Appeal. On 

the bankruptcy clerk’s request, the 

appellant must provide enough copies 

of the notice of appeal to enable the 

clerk to comply with (c). 

Rules Appendix B-313
(8000 Series) 11 

ORIGINAL REVISION

(b) JOINT OR CONSOLIDATED 

APPEALS. 

(1) Joint Notice of Appeal. When 

two or more parties are entitled to 

appeal from a judgment, order, or 

decree of a bankruptcy court and their 

interests make joinder practicable, they 

may file a joint notice of appeal. They 

may then proceed on appeal as a single 

appellant. 

(2) Consolidating Appeals. When 

parties have separately filed timely 

notices of appeal, the district court or 

BAP may join or consolidate the 

appeals. 

(b) Joint or Consolidated Appeals. 

(1) Joint Notice of Appeal. When two or 

more parties are entitled to appeal 

from a bankruptcy court’s judgment, 

order, or decree and their interests 

make joinder practicable, they may file 

a joint notice of appeal. They may then 

proceed on appeal as a single 

appellant. 

(2) Consolidating Appeals. When parties 

have separately filed timely notices of 

appeal, the district court or BAP may 

join or consolidate the appeals. 

(c) SERVING THE NOTICE OF 

APPEAL. 

(1) Serving Parties and Transmitting 

to the United States Trustee. The 

bankruptcy clerk must serve the notice 

of appeal on counsel of record for each 

party to the appeal, excluding the 

appellant, and transmit it to the United 

States trustee. If a party is proceeding 

pro se, the clerk must send the notice 

of appeal to the party’s last known 

address. The clerk must note, on each 

copy, the date when the notice of 

appeal was filed. 

(2) Effect of Failing to Serve or 

Transmit Notice. The bankruptcy clerk’s 

failure to serve notice on a party or 

transmit notice to the United States 

trustee does not affect the validity of 

the appeal. 

 (3) Noting Service on the Docket. The 

clerk must note on the docket the names 

of the parties served and the date and 

method of the service. 

(c) Serving the Notice of Appeal. 

(1) Serving Parties; Sending to the 

United States Trustee. The 

bankruptcy clerk must serve the notice 

of appeal by sending a copy to counsel 

of record for each party to the 

appeal—excluding the appellant’s 

counsel—and send it to the United 

States trustee. If a party is proceeding 

pro se, the clerk must send the notice 

to the party’s last known address. The 

clerk must note, on each copy, the date 

when the notice of appeal was filed. 

(2) Failure to Serve the Notice of 

Appeal. The bankruptcy clerk’s failure 

to serve notice on a party or send 

notice to the United States trustee does 

not affect the appeal’s validity. 

(3) Entry of Service on the Docket. The 

clerk must note on the docket the 

names of the parties served and the 

date and method of service. 

Rules Appendix B-314
(8000 Series) 12 

ORIGINAL REVISION

(d) TRANSMITTING THE NOTICE 

OF APPEAL TO THE DISTRICT 

COURT OR BAP; DOCKETING 

THE APPEAL. 

(1) Transmitting the Notice. The 

bankruptcy clerk must promptly 

transmit the notice of appeal to the BAP 

clerk if a BAP has been established for 

appeals from that district and the 

appellant has not elected to have the 

district court hear the appeal. Otherwise, 

the bankruptcy clerk must promptly 

transmit the notice to the district clerk. 

(2) Docketing in the District Court 

or BAP. Upon receiving the notice of 

appeal, the district or BAP clerk must 

docket the appeal under the title of the 

bankruptcy case and the title of any 

adversary proceeding, and must 

identify the appellant, adding the 

appellant’s name if necessary. 

(d) Sending the Notice of Appeal to the 

District Court or BAP; Docketing the 

Appeal. 

(1) Where to Send the Notice of 

Appeal. If a BAP has been established 

to hear appeals from that district—and 

an appellant has not elected to have 

the appeal heard in the district court—

the bankruptcy clerk must promptly 

send the notice of appeal to the BAP 

clerk. Otherwise, the bankruptcy clerk 

must promptly send it to the district 

clerk. 

(2) Docketing the Appeal. Upon 

receiving the notice of appeal, the 

district or BAP clerk must: 

(A) docket the appeal under the title of 

the bankruptcy case and the title of 

any adversary proceeding; and 

(B) identify the appellant, adding the 

appellant’s name if necessary. 

Committee Note

The language of Rule 8003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-315
(8000 Series) 13 

ORIGINAL REVISION

Rule 8004. Appeal by Leave—How 

Taken; Docketing the Appeal 

Rule 8004. Leave to Appeal from an 

Interlocutory Order or Decree Under 

28 U.S.C. § 158(a)(3) 

(a) NOTICE OF APPEAL AND 

MOTION FOR LEAVE TO APPEAL. 

To appeal from an interlocutory order 

or decree of a bankruptcy court under 

28 U.S.C. § 158(a)(3), a party must file 

with the bankruptcy clerk a notice of 

appeal as prescribed by Rule 8003(a). 

The notice must: 

(1) be filed within the time 

allowed by Rule 8002; 

(2) be accompanied by a motion 

for leave to appeal prepared in 

accordance with subdivision (b); and 

(3) unless served electronically 

using the court’s transmission 

equipment, include proof of service in 

accordance with Rule 8011(d). 

(a) Notice of Appeal and Accompanying 

Motion for Leave to Appeal. To appeal 

under 28 U.S.C. § 158(a)(3) from a 

bankruptcy court’s interlocutory order or 

decree, a party must file with the 

bankruptcy clerk a notice of appeal under 

Rule 8003(a). The notice must: 

(1) be filed within the time allowed by 

Rule 8002; 

(2) be accompanied by a motion for leave 

to appeal prepared in accordance with 

(b); and 

(3) unless served electronically using the 

court’s electronic-filing system, include 

proof of service in accordance with 

Rule 8011(d). 

(b) CONTENTS OF THE MOTION; 

RESPONSE. 

 (1) Contents. A motion for leave 

to appeal under 28 U.S.C. § 158(a)(3) 

must include the following: 

 (A) the facts necessary 

to understand the question presented; 

 (B) the question itself; 

 (C) the relief sought; 

 (D) the reasons why 

leave to appeal should be granted; and 

 (E) a copy of the 

interlocutory order or decree and any 

related opinion or memorandum. 

(b) Content of the Motion for Leave to 

Appeal; Response. 

(1) Content. A motion for leave to appeal 

under 28 U.S.C. § 158(a)(3) must 

include: 

(A) the facts needed to understand the 

question presented; 

(B) the question itself; 

(C) the relief sought; 

(D) the reasons why leave to appeal 

should be granted; and 

(E) a copy of the interlocutory order or 

decree and any related opinion or 

memorandum. 

Rules Appendix B-316
(8000 Series) 14 

ORIGINAL REVISION

(2) Response. A party may file 

with the district or BAP clerk a response 

in opposition or a cross-motion within 

14 days after the motion is served. 

(2) Response. Within 14 days after the 

motion for leave is served, a party 

may file with the district or BAP clerk 

a response in opposition or a crossmotion. 

(c) TRANSMITTING THE NOTICE 

OF APPEAL AND THE MOTION; 

DOCKETING THE APPEAL; 

DETERMINING THE MOTION. 

(1) Transmitting to the District Court 

or BAP. The bankruptcy clerk must 

promptly transmit the notice of appeal 

and the motion for leave to the BAP 

clerk if a BAP has been established for 

appeals from that district and the 

appellant has not elected to have the 

district court hear the appeal. Otherwise, 

the bankruptcy clerk must promptly 

transmit the notice and motion to the 

district clerk. 

(2) Docketing in the District Court 

or BAP. Upon receiving the notice and 

motion, the district or BAP clerk must 

docket the appeal under the title of the 

bankruptcy case and the title of any 

adversary proceeding, and must 

identify the appellant, adding the 

appellant’s name if necessary. 

(3) Oral Argument Not Required.

The motion and any response or 

cross-motion are submitted without 

oral argument unless the district court 

or BAP orders otherwise. 

(c) Sending the Notice of Appeal and 

Motion for Leave to Appeal; Docketing 

the Appeal; Oral Argument Not 

Required. 

(1) Sending to the District Court or 

BAP. If a BAP has been established to 

hear appeals from that district—and an 

appellant has not elected to have the 

appeal heard in the district court—the 

bankruptcy clerk must promptly send 

to the BAP clerk the notice of appeal 

and the motion for leave to appeal. 

Otherwise, the bankruptcy clerk must 

promptly send the notice and motion 

to the district clerk. 

(2) Docketing the Appeal. Upon 

receiving the notice and motion, the 

district or BAP clerk must docket the 

appeal as prescribed by Rule 

8003(d)(2). 

(3) Oral Argument Not Required. 

Unless the district court or BAP orders 

otherwise, a motion, a cross-motion, 

and any response will be submitted 

without oral argument. 

(d) FAILURE TO FILE A MOTION 

WITH A NOTICE OF APPEAL. If an 

appellant timely files a notice of appeal 

under this rule but does not include a 

motion for leave, the district court or 

BAP may order the appellant to file a 

motion for leave, or treat the notice of 

appeal as a motion for leave and either 

(d) Failure to File a Motion for Leave to 

Appeal. If an appellant files a timely notice 

of appeal under this rule but fails to include 

a motion for leave to appeal, the district 

court or BAP may: 

(1) treat the notice of appeal as a motion 

for leave to appeal and grant or deny it; 

or 

Rules Appendix B-317
(8000 Series) 15 

ORIGINAL REVISION

grant or deny it. If the court orders that 

a motion for leave be filed, the appellant 

must do so within 14 days after the 

order is entered, unless the order 

provides otherwise. 

(2) order the appellant to file a motion 

for leave to appeal within 14 days 

after the order has been entered—

unless the order provides otherwise.

(e) DIRECT APPEAL TO A COURT 

OF APPEALS. If leave to appeal an 

interlocutory order or decree is required 

under 28 U.S.C. § 158(a)(3), an 

authorization of a direct appeal by the 

court of appeals under 28 U.S.C. 

§ 158(d)(2) satisfies the requirement. 

(e) Direct Appeal to a Court of Appeals. If 

leave to appeal an interlocutory order or 

decree is required under 28 U.S.C. 

§ 158(a)(3), an authorization by a court of 

appeals for a direct appeal under 28 U.S.C. 

§ 158(d)(2) satisfies the requirement. 

Committee Note

The language of Rule 8004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-318
(8000 Series) 16 

ORIGINAL REVISION

Rule 8005. Election to Have an 

Appeal Heard by the District Court 

Instead of the BAP 

Rule 8005. Election to Have an 

Appeal Heard in the District 

Court Instead of the BAP 

(a) FILING OF A STATEMENT OF 

ELECTION. To elect to have an 

appeal heard by the district court, a 

party must: 

(1) file a statement of election 

that conforms substantially to the 

appropriate Official Form; and 

(2) do so within the time 

prescribed by 28 U.S.C. § 158(c)(1). 

(a) Filing a Statement of Election. To elect 

to have the district court hear an appeal, a 

party must file a statement of election 

within the time prescribed by 28 U.S.C. § 

158(c)(1). The statement must substantially 

conform to Form 417A. 

(b) TRANSMITTING THE 

DOCUMENTS RELATED TO THE 

APPEAL. Upon receiving an appellant’s 

timely statement of election, the 

bankruptcy clerk must transmit to the 

district clerk all documents related to the 

appeal. Upon receiving a timely 

statement of election by a party other 

than the appellant, the BAP clerk must 

transmit to the district clerk all 

documents related to the appeal and 

notify the bankruptcy clerk of the 

transmission. 

(b) Sending Documents Relating to the 

Appeal. Upon receiving an appellant’s 

timely statement of election, the bankruptcy 

clerk must send all documents related to 

the appeal to the district clerk. A BAP clerk 

who receives a timely statement of election 

from a party other than the appellant must: 

(1) send those documents to the district 

clerk; and 

(2) notify the bankruptcy clerk that 

they have been sent. 

(c) DETERMINING THE VALIDITY 

OF AN ELECTION. A party seeking a 

determination of the validity of an 

election must file a motion in the court 

where the appeal is then pending. The 

motion must be filed within 14 days 

after the statement of election is filed. 

(c) Determining the Validity of an Election.

Within 14 days after the statement of 

election has been filed, a party seeking to 

determine the election’s validity must file a 

motion in the court where the appeal is 

pending. 

(d) MOTION FOR LEAVE 

WITHOUT A NOTICE OF 

APPEAL—EFFECT ON THE 

TIMING OF AN ELECTION. If an 

appellant moves for leave to appeal 

under Rule 8004 but fails to file a 

separate notice of appeal with the 

(d) Effect of Filing a Motion for Leave to 

Appeal Without Filing a Notice of 

Appeal. If an appellant moves for leave to 

appeal under Rule 8004 but fails to file a 

notice of appeal with the motion, it must be 

treated as a notice of appeal in determining 

Rules Appendix B-319
(8000 Series) 17 

ORIGINAL REVISION

motion, the motion must be treated as a 

notice of appeal for purposes of 

determining the timeliness of a 

statement of election. 

whether the statement of election has been 

timely filed. 

Committee Note

The language of Rule 8005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-320
(8000 Series) 18 

ORIGINAL REVISION

Rule 8006. Certifying a Direct Appeal 

to the Court of Appeals 

Rule 8006. Certifying a Direct Appeal 

to a Court of Appeals 

(a) EFFECTIVE DATE OF A 

CERTIFICATION. A certification of a 

judgment, order, or decree of a 

bankruptcy court for direct review in a 

court of appeals under 28 U.S.C. 

§ 158(d)(2) is effective when: 

(1) the certification has been 

filed; 

(2) a timely appeal has been 

taken under Rule 8003 or 8004; and 

(3) the notice of appeal has 

become effective under Rule 8002. 

(a) Effective Date of a Certification. A 

certification of a bankruptcy court’s 

judgment, order, or decree to a court of 

appeals for direct review under 28 U.S.C. 

§ 158(d)(2) becomes effective when: 

(1) it is filed; 

(2) a timely appeal is taken under 

Rule 8003 or Rule 8004; and 

(3) the notice of appeal becomes effective 

under Rule 8002. 

(b) FILING THE CERTIFICATION. 

The certification must be filed with the 

clerk of the court where the matter is 

pending. For purposes of this rule, a 

matter remains pending in the 

bankruptcy court for 30 days after the 

effective date under Rule 8002 of the 

first notice of appeal from the judgment, 

order, or decree for which direct review 

is sought. A matter is pending in the 

district court or BAP thereafter. 

(b) Filing the Certification. The certification 

must be filed with the clerk of the court 

where the matter is pending. For purposes 

of this rule, a matter remains pending in the 

bankruptcy court for 30 days after the first 

notice of appeal concerning that matter 

becomes effective under Rule 8002. After 

that time, the matter is pending in the 

district court or BAP. 

(c) JOINT CERTIFICATION BY ALL 

APPELLANTS AND APPELLEES. 

(1) How Accomplished. A joint 

certification by all the appellants and 

appellees under 28 U.S.C. § 158(d)(2)(A) 

must be made by using the appropriate 

Official Form. The parties may 

supplement the certification with a short 

statement of the basis for the 

certification, which may include the 

information listed in subdivision (f)(2). 

(c) Joint Certification by All Appellants and 

Appellees. 

(1) In General. A joint certification by all 

appellants and appellees under 28 

U.S.C. § 158(d)(2)(A) must be made 

using Form 424. The parties may 

supplement the certification with a 

short statement about its basis. The 

statement may include the 

information required by (f)(2). 

Rules Appendix B-321
(8000 Series) 19 

ORIGINAL REVISION

(2) Supplemental Statement by the 

Court. Within 14 days after the parties’ 

certification, the bankruptcy court or 

the court in which the matter is then 

pending may file a short supplemental 

statement about the merits of the 

certification. 

(2) Supplemental Statement by the 

Court. Within 14 days after the parties 

file the certification, the bankruptcy 

court—or the court where the matter 

is pending—may file a short 

supplemental statement about the 

certification’s merits. 

(d) THE COURT THAT MAY MAKE 

THE CERTIFICATION. Only the 

court where the matter is pending, as 

provided in subdivision (b), may certify 

a direct review on request of parties or 

on its own motion. 

(d) Court’s Authority to Certify a Direct 

Appeal. Only the court where the matter is 

pending under (b) may certify a direct 

appeal to a court of appeals. The court 

may do so on a party’s request or on its 

own. 

(e) CERTIFICATION ON THE 

COURT’S OWN MOTION. 

 (1) How Accomplished. A 

certification on the court’s own motion 

must be set forth in a separate document. 

The clerk of the certifying court must 

serve it on the parties to the appeal in the 

manner required for service of a notice of 

appeal under Rule 8003(c)(1). The 

certification must be accompanied by an 

opinion or memorandum that contains 

the information required by subdivision 

(f)(2)(A)–(D). 

 (2) Supplemental Statement by a 

Party. Within 14 days after the court’s 

certification, a party may file with the 

clerk of the certifying court a short 

supplemental statement regarding the 

merits of certification. 

(e) Certification by the Court Acting on 

Its Own. 

(1) Separate Document Required; 

Service; Content. A certification by a 

court acting on its own must be set 

forth in a separate document. The 

clerk of the certifying court must serve 

the document on the parties to the 

appeal in the manner required for 

serving a notice of appeal under 

Rule 8003(c)(1). It must be 

accompanied by an opinion or 

memorandum that contains the 

information required by (f)(2)(A)–(D). 

(2) Supplemental Statement by a Party.

Within 14 days after the court’s 

certification, a party may file with the 

clerk of the certifying court a short 

supplemental statement about the 

merits of certification. 

Rules Appendix B-322
(8000 Series) 20 

ORIGINAL REVISION

(f) CERTIFICATION BY THE 

COURT ON REQUEST. 

(1) How Requested. A request by 

a party for certification that a 

circumstance specified in 28 U.S.C. 

§158(d)(2)(A)(i)–(iii) applies—or a 

request by a majority of the 

appellants and a majority of the 

appellees—must be filed with the 

clerk of the court where the matter is 

pending within 60 days after the entry 

of the judgment, order, or decree. 

(2) Service and Contents. The 

request must be served on all parties to 

the appeal in the manner required for 

service of a notice of appeal under Rule 

8003(c)(1), and it must include the 

following: 

(A) the facts necessary to 

understand the question presented; 

(B) the question itself; 

(C) the relief sought; 

(D) the reasons why the 

direct appeal should be allowed, 

including which circumstance specified 

in 28 U.S.C. § 158(d)(2)(A)(i)–(iii) 

applies; and 

(E) a copy of the 

judgment, order, or decree and any 

related opinion or memorandum. 

 (3) Time to File a Response or a CrossRequest. A party may file a response to the 

request within 14 days after the request is 

served, or such other time as the court 

where the matter is pending allows. A 

party may file a cross- request for 

certification within 14 days after the 

request is served, or within 60 days after 

the entry of the judgment, order, or 

decree, whichever occurs first. 

(f) Certification by the Court on Request. 

(1) How Requested. A party’s request 

for certification under 28 U.S.C. 

§ 158(d)(2)(A)—or a request by a 

majority of the appellants and of the 

appellees—must be filed with the clerk 

of the court where the matter is 

pending. The request must be filed 

within 60 days after the judgment, 

order, or decree is entered. 

(2) Service; Content. The request must 

be served on all parties to the appeal in 

the manner required for serving a 

notice of appeal under Rule 8003(c)(1). 

The request must include: 

(A) the facts needed to understand the 

question presented; 

(B) the question itself; 

(C) the relief sought; 

(D) the reasons why a direct appeal 

should be allowed, including which 

circumstance specified in 28 U.S.C. 

§ 158(d)(2)(A)(i)–(iii) applies; and 

(E) the judgment, order, or decree, and 

any related opinion or 

memorandum. 

(3) Time to File a Response or a CrossRequest. 

(A) Response. A party may file a 

response within 14 days after the 

request has been served, or within 

such other time as the court where 

the matter is pending allows. 

(B) Cross-Request. A party may file a 

cross-request for certification 

within 14 days after the request has 

been served or within 60 days after 

the judgment, order, or decree has 

been entered—whichever occurs 

first. 

Rules Appendix B-323
(8000 Series) 21 

ORIGINAL REVISION

(4) Oral Argument Not Required. 

The request, cross-request, and any 

response are submitted without oral 

argument unless the court where the 

matter is pending orders otherwise. 

(5) Form and Service of the 

Certification. If the court certifies a direct 

appeal in response to the request, it 

must do so in a separate document. The 

certification must be served on the 

parties to the appeal in the manner 

required for service of a notice of appeal 

under Rule 8003(c)(1). 

(4) Oral Argument Not Required. 

Unless the court where the matter is 

pending orders otherwise, a request, a 

cross-request, and any response will be 

submitted without oral argument. 

(5) Form of a Certification; Service. The 

court that certifies a direct appeal in 

response to a request must do so in a 

separate document served on all parties 

to the appeal in the manner required 

for serving a notice of appeal under 

Rule 8003(c)(1). 

(g) PROCEEDING IN THE COURT 

OF APPEALS FOLLOWING A 

CERTIFICATION. Within 30 days 

after the date the certification becomes 

effective under subdivision (a), a request 

for permission to take a direct appeal to 

the court of appeals must be filed with 

the circuit clerk in accordance with 

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

(g) Request for Leave to Take a Direct 

Appeal to a Court of Appeals After 

Certification. Within 30 days after the 

certification has become effective under (a), 

a request for leave to take a direct appeal to 

a court of appeals must be filed with the 

circuit clerk in accordance with Fed. R. 

App. P. 6(c). 

Committee Note

The language of Rule 8006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-324
(8000 Series) 22 

ORIGINAL REVISION

Rule 8007. Stay Pending Appeal; 

Bonds; Suspension of Proceedings 

Rule 8007. Stay Pending Appeal; 

Bond; Suspending Proceedings 

(a) INITIAL MOTION IN THE 

BANKRUPTCY COURT. 

(1) In General. Ordinarily, a 

party must move first in the bankruptcy 

court for the following relief: 

(A) a stay of a judgment, 

order, or decree of the bankruptcy court 

pending appeal; 

(B) the approval of a 

bond or other security provided to 

obtain a stay of judgment; 

(C) an order suspending, 

modifying, restoring, or granting an 

injunction while an appeal is pending; or 

(D) the suspension or 

continuation of proceedings in a case or 

other relief permitted by subdivision (e). 

(2) Time to File. The motion 

may be made either before or after the 

notice of appeal is filed. 

(a) Initial Motion in the Bankruptcy Court. 

(1) In General. Ordinarily, a party must 

move first in the bankruptcy court for 

the following relief: 

(A) a stay of the bankruptcy court’s 

judgment, order, or decree 

pending appeal; 

(B) the approval of a bond or other 

security provided to obtain a stay 

of judgment; 

(C) an order suspending, modifying, 

restoring, or granting an injunction 

while an appeal is pending; or 

(D) an order suspending or continuing 

proceedings or granting other 

relief permitted by (e). 

(2) Time to File. The motion may be 

filed either before or after the notice of 

appeal is filed. 

(b) MOTION IN THE DISTRICT 

COURT, THE BAP, OR THE COURT 

OF APPEALS ON DIRECT APPEAL. 

(1) Request for Relief. A motion 

for the relief specified in subdivision 

(a)(1)—or to vacate or modify a 

bankruptcy court’s order granting such 

relief—may be made in the court where 

(b) Motion in the District Court, BAP, or 

Court of Appeals on Direct Appeal. 

(1) In General. A motion for the relief 

specified in (a)(1)—or to vacate or 

modify a bankruptcy court’s order 

granting such relief—may be filed in 

the court where the appeal is 

pending. 

Rules Appendix B-325
(8000 Series) 23 

ORIGINAL REVISION

the appeal is pending. 

(2) Showing or Statement 

Required. The motion must: 

(A) show that moving 

first in the bankruptcy court would be 

impracticable; or 

(B) if a motion was made 

in the bankruptcy court, either state that 

the court has not yet ruled on the 

motion, or state that the court has ruled 

and set out any reasons given for the 

ruling. 

(3) Additional Content. The 

motion must also include: 

(A) the reasons for 

granting the relief requested and 

the facts relied upon; 

(B) affidavits or other 

sworn statements supporting facts 

subject to dispute; and 

(C) relevant parts of the 

record. 

(4) Serving Notice. The movant 

must give reasonable notice of the 

motion to all parties. 

(2) Required Showing. The motion 

must: 

(A) show that moving first in the 

bankruptcy court would be 

impracticable; or 

(B) if a motion has already been made 

in the bankruptcy court, state 

whether the court has ruled on it, 

and if so, state any reasons given 

for the ruling. 

(3) Additional Requirements. The 

motion must also include: 

(A) the reasons for granting the 

relief requested and the facts 

relied on; 

(B) affidavits or other sworn 

statements supporting facts subject 

to dispute; and 

(C) relevant parts of the record. 

(4) Serving Notice. The movant must 

give reasonable notice of the motion to 

all parties. 

(c) FILING A BOND OR OTHER 

SECURITY. The district court, BAP, or 

court of appeals may condition relief on 

filing a bond or other security with the 

bankruptcy court. 

(c) Filing a Bond or Other Security as a 

Condition of Relief. The district court, 

BAP, or court of appeals may condition 

relief on filing a bond or other security 

with the bankruptcy court. 

Rules Appendix B-326
(8000 Series) 24 

ORIGINAL REVISION

(d) BOND OR OTHER SECURITY 

FOR A TRUSTEE OR THE UNITED 

STATES. The court may require a 

trustee to file a bond or other security 

when the trustee appeals. A bond or 

other security is not required when an 

appeal is taken by the United States, its 

officer, or its agency or by direction of 

any department of the federal 

government. 

(d) Bond or Other Security for a Trustee; 

Not for the United States. The court may 

require a trustee who appeals to file a bond 

or other security. No bond or security is 

required when: 

(1) the United States, its officer, or its 

agency appeals; or 

(2) an appeal is taken by direction of any 

federal governmental department. 

(e) CONTINUATION OF 

PROCEEDINGS IN THE 

BANKRUPTCY COURT. Despite Rule 

7062 and subject to the authority of the 

district court, BAP, or court of appeals, 

the bankruptcy court may: 

(1) suspend or order the 

continuation of other proceedings in the 

case; or 

(2) issue any other appropriate 

orders during the pendency of an appeal 

to protect the rights of all parties in 

interest. 

(e) Continuing Proceedings in the 

Bankruptcy Court. Despite Rule 7062—

but subject to the authority of the district 

court, BAP, or court of appeals—while the 

appeal is pending, the bankruptcy court 

may: 

(1) suspend or order the continuation of 

other proceedings in the case, or 

(2) issue any appropriate order to protect 

the rights of all parties in interest. 

Committee Note

The language of Rule 8007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-327
(8000 Series) 25 

ORIGINAL REVISION

Rule 8008. Indicative Rulings Rule 8008. Indicative Rulings 

(a) RELIEF PENDING APPEAL. If a 

party files a timely motion in the 

bankruptcy court for relief that the court 

lacks authority to grant because of an 

appeal that has been docketed and is 

pending, the bankruptcy court may: 

(1) defer considering the motion; 

(2) deny the motion; or 

(3) state that the court would 

grant the motion if the court where the 

appeal is pending remands for that 

purpose, or state that the motion raises a 

substantial issue. 

(a) Motion for Relief Filed When an Appeal 

Is Pending; Bankruptcy Court’s 

Options. If a party files a timely motion in 

the bankruptcy court for relief that the 

court lacks authority to grant because an 

appeal has been docketed and is pending, 

the bankruptcy court may: 

(1) defer considering the motion; 

(2) deny the motion; 

(3) state that it would grant the motion if 

the court where the appeal is pending 

remands for that purpose; or 

(4) state that the motion raises a 

substantial issue. 

(b) NOTICE TO THE COURT 

WHERE THE APPEAL IS 

PENDING. The movant must 

promptly notify the clerk of the court 

where the appeal is pending if the 

bankruptcy court states that it would 

grant the motion or that the motion 

raises a substantial issue. 

(b) Notice to the Court Where the Appeal 

Is Pending. If the bankruptcy court states 

that it would grant the motion or that the 

motion raises a substantial issue, the 

movant must promptly notify the clerk of 

the court where the appeal is pending. 

(c) REMAND AFTER AN 

INDICATIVE RULING. If the 

bankruptcy court states that it would 

grant the motion or that the motion 

raises a substantial issue, the district 

court or BAP may remand for further 

proceedings, but it retains jurisdiction 

unless it expressly dismisses the appeal. 

If the district court or BAP remands but 

retains jurisdiction, the parties must 

promptly notify the clerk of that court 

when the bankruptcy court has decided 

the motion on remand. 

(c) Remand After an Indicative Ruling. If 

the bankruptcy court states that it would 

grant the motion or that the motion raises a 

substantial issue, the district court or BAP 

may remand for further proceedings but 

retains jurisdiction unless it expressly 

dismisses the appeal. If the district court or 

BAP remands but retains jurisdiction, the 

parties must promptly notify the clerk of 

that court when the bankruptcy court has 

decided the motion on remand. 

Rules Appendix B-328
(8000 Series) 26 

Committee Note

The language of Rule 8008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-329
(8000 Series) 27 

ORIGINAL REVISION

Rule 8009. Record on Appeal; Sealed 

Documents 

Rule 8009. Record on Appeal; Sealed 

Documents 

(a) DESIGNATING THE RECORD 

ON APPEAL; STATEMENT OF THE 

ISSUES. 

(1) Appellant. 

(A) The appellant must 

file with the bankruptcy clerk and serve 

on the appellee a designation of the 

items to be included in the record on 

appeal and a statement of the issues to 

be presented. 

(B) The appellant must 

file and serve the designation and 

statement within 14 days after: 

(i) the appellant’s 

notice of appeal as of right becomes 

effective under Rule 8002; or 

(ii) an order 

granting leave to appeal is entered. A 

designation and statement served 

prematurely must be treated as served 

on the first day on which filing is timely. 

(2) Appellee and Cross- Appellant.

Within 14 days after being served, the 

appellee may file with the bankruptcy 

clerk and serve on the appellant a 

designation of additional items to be 

included in the record. An appellee who 

files a cross-appeal must file and serve a 

designation of additional items to be 

included in the record and a statement 

of the issues to be presented on the 

cross-appeal. 

(3) Cross-Appellee. Within 14 

days after service of the crossappellant’s designation and statement, a 

cross-appellee may file with the 

(a) Designating the Record on Appeal; 

Statement of the Issues; Content of the 

Record. 

(1) Appellant’s Designation and 

Statement of the Issues. The 

appellant must: 

(A) file with the bankruptcy clerk a 

designation of the items to be 

included in the record on appeal 

and a statement of the issues to be 

presented; and 

(B) file and serve the designation and 

statement on the appellee within 

14 days after: 

 the notice of appeal as of 

right has become effective 

under Rule 8002; or 

 an order granting leave to 

appeal has been entered. 

Premature service is treated as 

service on the first day on which 

filing is timely. 

(2) Appellee’s and Cross-Appellant’s 

Designation and Statement of 

the Issues. 

(A) Appellee. Within 14 days after 

being served, the appellee may file 

with the bankruptcy clerk and 

serve on the appellant a 

designation of additional items to 

be included in the record. 

(B) Cross-Appellant. An appellee who 

files a cross-appeal must file and 

serve a designation of additional 

items to be included in the record 

and a statement of the issues to be 

presented on the cross-appeal. 

Rules Appendix B-330
(8000 Series) 28 

ORIGINAL REVISION

bankruptcy clerk and serve on the crossappellant a designation of additional 

items to be included in the record. 

(4) Record on Appeal. The 

record on appeal must include the 

following: 

 docket entries kept by the 

bankruptcy clerk; 

 items designated by the 

parties; 

 the notice of appeal; 

 the judgment, order, or 

decree being appealed; 

 any order granting leave to 

appeal; 

 any certification required 

for a direct appeal to the 

court of appeals; 

 any opinion, findings of fact, 

and conclusions of law 

relating to the issues on 

appeal, including transcripts 

of all oral rulings; 

 any transcript ordered 

under subdivision (b); 

 any statement required by 

subdivision (c); and 

 any additional items from 

the record that the court 

where the appeal is pending 

orders. 

(5) Copies for the Bankruptcy 

Clerk. If paper copies are needed, a 

party filing a designation of items 

must provide a copy of any of those 

items that the bankruptcy clerk 

requests. If the party fails to do so, the 

bankruptcy clerk must prepare the 

copy at the party’s expense. 

(3) Cross-Appellee’s Designation.

Within 14 days after the crossappellant’s designation and statement 

have been served, the cross-appellee 

may file with the bankruptcy clerk and 

serve on the cross-appellant a 

designation of additional items to be 

included in the record. 

(4) Record on Appeal. The record on 

appeal must include: 

 the docket entries kept by the 

bankruptcy clerk; 

 items designated by the parties; 

 the notice of appeal; 

 the judgment, order, or 

decree being appealed; 

 any order granting leave to appeal; 

 any certification required for a 

direct appeal to the court of 

appeals; 

 any opinion, findings of fact and 

conclusions of law relating to the 

issues on appeal, including 

transcripts of all oral rulings; 

 any transcript ordered under (b); 

 any statement required by (c); and 

 any other items from the record 

that the court where the appeal is 

pending orders to be included. 

(5) Copies for the Bankruptcy Clerk. If 

paper copies are needed and the 

bankruptcy clerk requests copies of 

designated items, the party filing the 

designation must provide them. If the 

party fails to do so, the bankruptcy 

clerk must prepare them at that party’s 

expense. 

Rules Appendix B-331
(8000 Series) 29 

ORIGINAL REVISION

(b) TRANSCRIPT OF 

PROCEEDINGS. 

(1) Appellant’s Duty to Order.

Within the time period prescribed by 

subdivision (a)(1), the appellant must: 

(A) order in writing from 

the reporter, as defined in Rule 

8010(a)(1), a transcript of such parts of 

the proceedings not already on file as 

the appellant considers necessary for the 

appeal, and file a copy of the order with 

the bankruptcy clerk; or 

(B) file with the 

bankruptcy clerk a certificate stating that 

the appellant is not ordering a transcript. 

(2) Cross-Appellant’s Duty to Order.

Within 14 days after the appellant files a 

copy of the transcript order or a 

certificate of not ordering a transcript, 

the appellee as cross-appellant must: 

(A) order in writing from 

the reporter, as defined in Rule 

8010(a)(1), a transcript of such 

additional parts of the proceedings as 

the cross-appellant considers necessary 

for the appeal, and file a copy of the 

order with the bankruptcy clerk; or 

(B) file with the 

bankruptcy clerk a certificate stating that 

the cross-appellant is not ordering a 

transcript. 

(b) Transcript of Proceedings. 

(1) Appellant’s Duty to Order. Within 

the period prescribed by (a)(1), the 

appellant must: 

(A) order in writing from the 

reporter, as defined in Rule 

8010(a)(1), a transcript of such 

parts of the proceedings not 

already on file as the appellant 

considers necessary for the 

appeal, and file a copy of the 

order with the bankruptcy clerk; 

or 

(B) file with the bankruptcy clerk a 

certificate stating that the appellant 

is not ordering a transcript. 

(2) Appellee’s Duty to Order as a CrossAppellant. Within 14 days after the 

appellant has filed a copy of the 

transcript order—or a certificate stating 

that the appellant is not ordering a 

transcript—the appellee as crossappellant must:

(A) order in writing from the reporter 

a transcript of such additional 

parts of the proceedings as the 

cross-appellant considers 

necessary for the appeal, and file a 

copy of the order with the 

bankruptcy clerk; or 

(B) file with the bankruptcy clerk a 

certificate stating that the crossappellant is not ordering a 

transcript. 

Rules Appendix B-332
(8000 Series) 30 

ORIGINAL REVISION

(3) Appellee’s or Cross- Appellee’s 

Right to Order. Within 14 days after the 

appellant or cross- appellant files a copy 

of a transcript order or certificate of not 

ordering a transcript, the appellee or 

cross-appellee may order in writing 

from the reporter a transcript of such 

additional parts of the proceedings as 

the appellee or cross- appellee considers 

necessary for the appeal. A copy of the 

order must be filed with the bankruptcy 

clerk. 

(4) Payment. At the time of 

ordering, a party must make 

satisfactory arrangements with the 

reporter for paying the cost of the 

transcript. 

(5) Unsupported Finding or 

Conclusion. If the appellant intends to 

argue on appeal that a finding or 

conclusion is unsupported by the 

evidence or is contrary to the evidence, 

the appellant must include in the record 

a transcript of all relevant testimony 

and copies of all relevant exhibits. 

(3) Appellee’s or Cross-Appellee’s 

Right to Order. Within 14 days after 

the appellant or cross-appellant has 

filed a copy of a transcript order—or a 

certificate stating that the appellant or 

cross-appellant is not ordering a 

transcript—the appellee or crossappellee: 

(A) (A) may order in writing from the 

reporter a transcript of any 

additional parts of the proceeding 

that the appellee or cross-appellee 

considers necessary for the 

appeal; and 

(B) must file a copy of the order with 

the bankruptcy clerk. 

(4) Payment. At the time of ordering, a 

party must make satisfactory 

arrangements with the reporter to pay 

for the transcript. 

(5) Unsupported Finding or 

Conclusion. If the appellant intends 

to argue on appeal that a finding or 

conclusion is unsupported by the 

evidence or is contrary to the evidence, 

the appellant must include in the 

record a transcript of all relevant 

testimony and a copy of all relevant 

exhibits. 

(c) STATEMENT OF THE 

EVIDENCE WHEN A TRANSCRIPT 

IS UNAVAILABLE. If a transcript of a 

hearing or trial is unavailable, the 

appellant may prepare a statement of the 

evidence or proceedings from the best 

available means, including the 

appellant’s recollection. The statement 

(c) When a Transcript Is Unavailable. 

(1) Statement of the Evidence. If a 

transcript of a hearing or trial is 

unavailable, the appellant may prepare 

a statement of the evidence or 

proceedings from the best available 

means, including the appellant’s 

Rules Appendix B-333
(8000 Series) 31 

ORIGINAL REVISION

must be filed within the time prescribed 

by subdivision (a)(1) and served on the 

appellee, who may serve objections or 

proposed amendments within 14 days 

after being served. The statement and 

any objections or proposed amendments 

must then be submitted to the 

bankruptcy court for settlement and 

approval. As settled and approved, the 

statement must be included by the 

bankruptcy clerk in the record on 

appeal. 

recollection. The statement must be 

filed within the time prescribed by 

(a)(1) and served on the appellee. 

(2) Appellee’s Response. The appellee 

may serve objections or proposed 

amendments within 14 days after being 

served. 

(3) Court Approval. The statement and 

any objections or proposed 

amendments must then be submitted 

to the bankruptcy court for settlement 

and approval. As settled and approved, 

the statement must be included by the 

bankruptcy clerk in the record on 

appeal. 

(d) AGREED STATEMENT AS THE 

RECORD ON APPEAL. Instead of the 

record on appeal as defined in 

subdivision (a), the parties may prepare, 

sign, and submit to the bankruptcy court 

a statement of the case showing how the 

issues presented by the appeal arose and 

were decided in the bankruptcy court. 

The statement must set forth only those 

facts alleged and proved or sought to be 

proved that are essential to the court’s 

resolution of the issues. If the statement 

is accurate, it—together with any 

additions that the bankruptcy court may 

consider necessary to a full presentation 

of the issues on appeal—must be 

approved by the bankruptcy court and 

must then be certified to the court 

where the appeal is pending as the 

record on appeal. The bankruptcy clerk 

must then transmit it to the clerk of that 

court within the time provided by Rule 

8010. A copy of the agreed statement 

may be filed in place of the appendix 

required by Rule 8018(b) or, in the case 

of a direct appeal to the court of 

appeals, by F.R.App.P. 30. 

(d) Agreed Statement as the Record on 

Appeal. 

(1) Agreed Statement. Instead of the 

record on appeal as defined in (a), the 

parties may prepare, sign, and submit 

to the bankruptcy court a statement of 

the case showing how the issues 

presented by the appeal arose and were 

decided in the bankruptcy court. 

(2) Content. The statement must set forth 

only those facts alleged and proved or 

sought to be proved that are essential 

to the court’s resolution of the issues. 

If the statement is accurate, it—

together with any additions that the 

bankruptcy court considers necessary 

to a full presentation of the issues on 

appeal—must be: 

(A) approved by the bankruptcy court; 

and 

(B) certified to the court where the 

appeal is pending as the record on 

appeal. 

(3) Time to Send the Agreed Statement 

to the Appellate Court. The 

bankruptcy clerk must then send the 

Rules Appendix B-334
(8000 Series) 32 

ORIGINAL REVISION

agreed statement to the clerk of the 

court where the appeal is pending 

within the time provided by Rule 8010. 

A copy may be filed in place of the 

appendix required by Rule 8018(b) or, 

in the case of a direct appeal to the 

court of appeals, by Fed. R. App. P. 

30. 

(e) CORRECTING OR 

MODIFYING THE RECORD. 

(1) Submitting to the Bankruptcy 

Court. If any difference arises about 

whether the record accurately discloses 

what occurred in the bankruptcy court, 

the difference must be submitted to and 

settled by the bankruptcy court and the 

record conformed accordingly. If an 

item has been improperly designated as 

part of the record on appeal, a party may 

move to strike that item. 

(2) Correcting in Other Ways. If 

anything material to either party is 

omitted from or misstated in the record 

by error or accident, the omission or 

misstatement may be corrected, and a 

supplemental record may be certified 

and transmitted: 

(A) on stipulation of the 

parties; 

(B) by the bankruptcy 

court before or after the record has been 

forwarded; or 

(C) by the court where 

the appeal is pending. 

(3) Remaining Questions. All 

other questions as to the form and 

content of the record must be 

presented to the court where the 

appeal is pending. 

(e) Correcting or Modifying the Record. 

(1) Differences About Accuracy; 

Improper Designations. If any 

difference arises about whether the 

record accurately discloses what 

occurred in the bankruptcy court, the 

difference must be submitted to and 

settled by the bankruptcy court and the 

record conformed accordingly. If an 

item has been improperly designated as 

part of the record on appeal, a party 

may move to strike that item. 

(2) Omissions and Misstatements. If 

anything material to either party is 

omitted from or misstated in the 

record by error or accident, the 

omission or misstatement may be 

corrected, and a supplemental record 

may be certified and sent: 

(A) on stipulation of the parties; 

(B) by the bankruptcy court before or 

after the record has been sent; or 

(C) by the court where the appeal is 

pending. 

(3) Remaining Questions. All other 

questions about the form and content 

of the record must be presented to the 

court where the appeal is pending. 

Rules Appendix B-335
(8000 Series) 33 

ORIGINAL REVISION

(f) SEALED DOCUMENTS. A 

document placed under seal by the 

bankruptcy court may be designated as 

part of the record on appeal. In doing 

so, a party must identify it without 

revealing confidential or secret 

information, but the bankruptcy clerk 

must not transmit it to the clerk of the 

court where the appeal is pending as 

part of the record. Instead, a party must 

file a motion with the court where the 

appeal is pending to accept the 

document under seal. If the motion is 

granted, the movant must notify the 

bankruptcy court of the ruling, and the 

bankruptcy clerk must promptly 

transmit the sealed document to the 

clerk of the court where the appeal is 

pending. 

(f) Sealed Documents. 

(1) In General. A document placed under 

seal by the bankruptcy court may be 

designated as a part of the record on 

appeal. But a document so designated: 

(A) must be identified without 

revealing confidential or secret 

information; and 

(B) may be sent only as (2) prescribes. 

(2) When to Send a Sealed Document.

To have a sealed document sent as part 

of the record, a party must file in the 

court where the appeal is pending a 

motion to accept the document under 

seal. If the motion is granted, the 

movant must notify the bankruptcy 

court, and the bankruptcy clerk must 

promptly send the sealed document to 

the clerk of the court where the appeal 

is pending. 

(g) OTHER NECESSARY ACTIONS. 

All parties to an appeal must take any 

other action necessary to enable the 

bankruptcy clerk to assemble and 

transmit the record. 

(g) Duty to Assist the Bankruptcy Clerk. 

All parties to an appeal must take any other 

action needed to enable the bankruptcy 

clerk to assemble and send the record. 

Committee Note

The language of Rule 8009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-336
(8000 Series) 34 

ORIGINAL REVISION

Rule 8010. Completing and 

Transmitting the Record 

Rule 8010. Transcribing the 

Proceedings; Filing the Transcript; 

Sending the Record 

(a) REPORTER’S DUTIES. 

(1) Proceedings Recorded Without a 

Reporter Present. If proceedings were 

recorded without a reporter being 

present, the person or service selected 

under bankruptcy court procedures to 

transcribe the recording is the reporter 

for purposes of this rule. 

(2) Preparing and Filing the 

Transcript. The reporter must prepare 

and file a transcript as follows: 

(A) Upon receiving an 

order for a transcript in accordance with 

Rule 8009(b), the reporter must file in 

the bankruptcy court an 

acknowledgment of the request that 

shows when it was received, and when 

the reporter expects to have the 

transcript completed. 

(B) After completing the 

transcript, the reporter must file it with 

the bankruptcy clerk, who will notify the 

district, BAP, or circuit clerk of its filing. 

(C) If the transcript 

cannot be completed within 30 days 

after receiving the order, the reporter 

must request an extension of time from 

the bankruptcy clerk. The clerk must 

enter on the docket and notify the 

parties whether the extension is granted. 

(D)If the reporter does 

not file the transcript on time, the 

bankruptcy clerk must notify the 

bankruptcy judge. 

(a) Reporter’s Duties. 

(1) Proceedings Recorded Without a 

Court Reporter Present. If 

proceedings are recorded without a 

reporter present, the person or service 

selected under bankruptcy court 

procedures to transcribe the recording 

is the reporter for purposes of this 

rule. 

(2) Preparing and Filing the 

Transcript. The reporter must prepare 

and file a transcript as follows: 

(A) Initial Steps. Upon receiving a 

transcript order under Rule 

8009(b), the reporter must file in 

the bankruptcy court an 

acknowledgment showing when 

the order was received and when 

the reporter expects to have the 

transcript completed. 

(B) Filing the Transcript. After 

completing the transcript, the 

reporter must file it with the 

bankruptcy clerk, who will notify 

the district, BAP, or circuit clerk of 

its filing. 

(C) Extending the Time to Complete a 

Transcript. If the transcript cannot 

be completed within 30 days after 

the order has been received, the 

reporter must request an extension 

from the bankruptcy clerk. The 

clerk must enter on the docket and 

notify the parties whether the 

extension is granted. 

(D) Failure to File on Time. If the 

reporter fails to file the 

transcript on time, the 

bankruptcy clerk must notify the 

bankruptcy judge. 

Rules Appendix B-337
(8000 Series) 35 

ORIGINAL REVISION

(b) CLERK’S DUTIES. 

(1) Transmitting the Record—In 

General. Subject to Rule 8009(f) and 

subdivision (b)(5) of this rule, when the 

record is complete, the bankruptcy clerk 

must transmit to the clerk of the court 

where the appeal is pending either the 

record or a notice that the record is 

available electronically. 

(2) Multiple Appeals. If there are 

multiple appeals from a judgment, order, 

or decree, the bankruptcy clerk must 

transmit a single record. 

(3) Receiving the Record. Upon 

receiving the record or notice that it is 

available electronically, the district, BAP, 

or circuit clerk must enter that 

information on the docket and promptly 

notify all parties to the appeal. 

(4) If Paper Copies Are Ordered. If 

the court where the appeal is pending 

directs that paper copies of the record 

be provided, the clerk of that court must 

so notify the appellant. If the appellant 

fails to provide them, the bankruptcy 

clerk must prepare them at the 

appellant’s expense. 

(5) When Leave to Appeal is 

Requested. Subject to subdivision (c), if a 

motion for leave to appeal has been 

filed under Rule 8004, the bankruptcy 

clerk must prepare and transmit the 

record only after the district court, 

BAP, or court of appeals grants leave. 

(b) Clerk’s Duties. 

(1) Sending the Record. Subject to 

Rule 8009(f) and (5) below, when the 

record is complete, the bankruptcy 

clerk must send to the clerk of the 

court where the appeal is pending 

either the record or a notice that it is 

available electronically. 

(2) Multiple Appeals. If there are 

multiple appeals from a judgment, 

order, or decree, the bankruptcy clerk 

must send a single record. 

(3) Docketing the Record in the 

Appellate Court. Upon receiving the 

record—or a notice that it is available 

electronically—the district, BAP, or 

circuit clerk must enter that 

information on the docket and 

promptly notify all parties to the 

appeal. 

(4) If the Court Orders Paper Copies. If 

the court where the appeal is pending 

orders that paper copies of the record 

be provided, the clerk of that court 

must so notify the appellant. If the 

appellant fails to provide them, the 

bankruptcy clerk must prepare them at 

the appellant’s expense. 

(5) Motion for Leave to Appeal. Subject 

to (c), if a motion for leave to appeal is 

filed under Rule 8004, the bankruptcy 

clerk must prepare and send the record 

only after the motion is granted. 

Rules Appendix B-338
(8000 Series) 36 

ORIGINAL REVISION

(c) RECORD FOR A PRELIMINARY 

MOTION IN THE DISTRICT 

COURT, BAP, OR COURT OF 

APPEALS. This subdivision (c) applies 

if, before the record is transmitted, a 

party moves in the district court, BAP, 

or court of appeals for any of the 

following relief: 

 leave to appeal; 

 dismissal; 

 a stay pending appeal; 

 approval of a bond or other 

security provided to obtain a stay 

of judgment; or 

 any other intermediate order. 

The bankruptcy clerk must then 

transmit to the clerk of the court where 

the relief is sought any parts of the 

record designated by a party to the 

appeal or a notice that those parts are 

available electronically. 

(c) When a Preliminary Motion Is Filed in 

the District Court, BAP, or Court of 

Appeals. 

(1) In General. This subdivision (c) 

applies if, before the record is sent, a 

party moves in the district court, BAP, 

or court of appeals for: 

(A) leave to appeal; 

(B) dismissal; 

(C) a stay pending appeal; 

(D) approval of a bond or other 

security provided to obtain a stay 

of judgment; or 

(E) any other intermediate order. 

(2) Sending the Record. The bankruptcy 

clerk must send to the clerk of the 

court where the relief is sought any 

parts of the record designated by a 

party to the appeal—or send a notice 

that they are available electronically. 

Committee Note

The language of Rule 8010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-339
(8000 Series) 37 

ORIGINAL REVISION

Rule 8011. Filing and Service; 

Signature 

Rule 8011. Filing and Service; 

Signature 

(a) FILING. 

(1) With the Clerk. A document 

required or permitted to be filed in a 

district court or BAP must be filed with 

the clerk of that court. 

(2) Method and Timeliness. 

(A) Nonelectronic Filing. 

(i) In General. For a 

document not filed electronically, filing 

may be accomplished by mail addressed 

to the clerk of the district court or 

BAP. Except as provided in subdivision 

(a)(2)(A)(ii) and (iii), filing is timely only 

if the clerk receives the document 

within the time fixed for filing. 

(ii)Brief or Appendix. A 

brief or appendix not filed electronically 

is also timely filed if, on or before the 

last day for filing, it is: 

 mailed to the clerk by first-class 

mail—or other class of mail that is 

at least as expeditious—postage 

prepaid; or 

 dispatched to a third-party 

commercial carrier for delivery 

within 3 days to the clerk. 

(iii) Inmate Filing. If an 

institution has a system designed for 

legal mail, an inmate confined there 

must use that system to receive the 

benefit of this Rule 8011(a)(2)(A)(iii). A 

document not filed electronically by an 

inmate confined in an institution is 

timely if it is deposited in the 

institution’s internal mailing system on 

or before the last day for filing and: 

(a) Filing. 

(1) With the Clerk. A document required 

or permitted to be filed in a district 

court or BAP must be filed with the 

clerk of that court. 

(2) Method and Timeliness.

(A) Nonelectronic Filing. 

(i) In General. For a document 

not filed electronically, filing 

may be accomplished by mail 

addressed to the district or 

BAP clerk. Except as 

provided in (ii) and (iii), 

filing is timely only if the 

clerk receives the document 

within the time set for filing. 

(ii) Brief or Appendix. A brief or 

appendix not filed 

electronically is also timely 

filed if, on or before the last 

day for filing, it is: 

 mailed to the clerk by firstclass mail—or other class 

of mail that is at least as 

expeditious—postage 

prepaid; or 

 dispatched to a third-party 

commercial carrier for 

delivery to the clerk within 

3 days. 

(iii) Inmate Filing. If an 

institution has a system 

designed for legal mail, an 

inmate confined there must 

use that system to receive the 

benefit of this item (iii). A 

document not filed 

electronically by an inmate 

Rules Appendix B-340
(8000 Series) 38 

ORIGINAL REVISION

 it is accompanied by a declaration 

in compliance with 28 U.S.C. § 

1746—or a notarized statement— 

setting out the date of deposit and 

stating that first-class postage is 

being prepaid; or evidence (such as 

a postmark or date stamp) showing 

that the notice was so deposited 

and that postage was prepaid; or 

 the appellate court exercises its 

discretion to permit the later filing 

of a declaration or notarized 

statement that satisfies this Rule 

8011(a)(2)(A)(iii). 

(B) Electronic Filing. 

(i) owed or required 

by local rule. By a Represented Person—

Generally Required; Exceptions. An 

entity represented by an attorney must 

file electronically, unless nonelectronic 

filing is allowed by the court for good 

cause or is all 

(ii) By an 

Unrepresented Individual—When 

Allowed or Required. An individual not 

represented by an attorney: 

 may file electronically only if 

allowed by court order or by local 

rule; and 

 may be required to file 

electronically only by court order, 

or by a local rule that includes 

reasonable exceptions. 

(iii) Same as a 

Written Paper. A document filed 

electronically is a written paper for 

purposes of these rules. 

confined in an institution is 

timely if it is deposited in the 

institution’s internal mailing 

system on or before the last 

day for filing and: 

 it is accompanied by a 

declaration in compliance 

with 28 U.S.C. § 1746—or 

a notarized statement—

setting out the date of 

deposit and stating that 

first-class postage is being 

prepaid; or by evidence 

(such as a postmark or date 

stamp) showing that the 

notice was so deposited 

and that postage was 

prepaid; or 

 the appellate court 

exercises its discretion to 

permit the later filing of a 

declaration or notarized 

statement that satisfies this 

item (iii). 

(B) Electronic Filing. 

(i) By a Represented Person—

Generally Required; 

Exceptions. An entity 

represented by an attorney 

must file electronically, unless 

nonelectronic filing is allowed 

by the court for cause or is 

allowed or required by local 

rule. 

(ii) By an Unrepresented 

Individual—When 

Allowed or Required. An 

individual not represented 

by an attorney: 

 may file electronically only 

if allowed by court order or 

by local rule; and 

Rules Appendix B-341
(8000 Series) 39 

ORIGINAL REVISION

(C) Copies. If a document 

is filed electronically, no paper copy is 

required. If a document is filed by mail 

or delivery to the district court or BAP, 

no additional copies are required. But 

the district court or BAP may require by 

local rule or by order in a particular case 

the filing or furnishing of a specified 

number of paper copies. 

(3) Clerk’s Refusal of Documents. 

The court’s clerk must not refuse to 

accept for filing any document 

transmitted for that purpose solely 

because it is not presented in proper 

form as required by these rules or by 

any local rule or practice. 

 may be required to file 

electronically only by court 

order, or by a local rule 

that includes reasonable 

exceptions. 

(iii) Same as a Written Paper. A 

document filed electronically 

is a written paper for 

purposes of these rules. 

(C) When Paper Copies Are Required. No 

paper copies are required when a 

document is filed electronically. If 

a document is filed by mail or by 

delivery to the district court or 

BAP, no additional copies are 

required. But the district court or 

BAP may, by local rule or order in 

a particular case, require that a 

specific number of paper copies be 

filed or furnished. 

(3) Clerk’s Refusal of Documents. The 

court clerk must not refuse to accept 

for filing any document solely because 

it is not presented in proper form as 

required by these rules or by any local 

rule or practice. 

(b) SERVICE OF ALL DOCUMENTS 

REQUIRED. Unless a rule requires 

service by the clerk, a party must, at or 

before the time of the filing of a 

document, serve it on the other parties 

to the appeal. Service on a party 

represented by counsel must be made on 

the party’s counsel. 

(b) Service of All Documents Required.

Unless a rule requires service by the clerk, a 

party must, at or before the time of the 

filing of a document, serve it on the other 

parties to the appeal. Service on a party 

represented by counsel must be made on 

the party’s counsel. 

Rules Appendix B-342
(8000 Series) 40 

ORIGINAL REVISION

(c) MANNER OF SERVICE. 

(1) Nonelectronic Service.

Nonelectronic service may be by any of 

the following: 

(A) personal delivery; 

(B) mail; or 

(C) third-party 

commercial carrier for delivery within 3 

days. 

(2) Electronic Service. Electronic 

service may be made by sending a 

document to a registered user by filing it 

with the court’s electronic-filing system 

or by using other electronic means that 

the person served consented to in 

writing. 

(3) When Service Is Complete.

Service by electronic means is complete 

on filing or sending, unless the person 

making service receives notice that the 

document was not received by the 

person served. Service by mail or by 

commercial carrier is complete on 

mailing or delivery to the carrier. 

(c) Manner of Service. 

(1) Nonelectronic Service.

Nonelectronic service may be by any 

of the following: 

(A) personal delivery; 

(B) mail; or 

(C) third-party commercial carrier for 

delivery within 3 days. 

(2) Service By Electronic Means.

Electronic service may be made by:

(A) sending a document to a registered 

user by filing it with the court’s 

electronic-filing system; or 

(B) using other electronic means that 

the person served consented to in 

writing. 

(3) When Service Is Complete. Service 

by mail or by third-party commercial 

carrier is complete on mailing or 

delivery to the carrier. Service by 

electronic means is complete on filing 

or sending, unless the person making 

service receives notice that the 

document was not received by the 

person served. 

(d) PROOF OF SERVICE. 

(1) What Is Required. A 

document presented for filing must 

contain either of the following if it was 

served other than through the court’s 

electronic-filing system: 

(d) Proof of Service. 

(1) Requirements. A document presented 

for filing must contain either of the 

following if it was served other than 

through the court’s electronic-filing 

system: 

Rules Appendix B-343
(8000 Series) 41 

ORIGINAL REVISION

(A) an acknowledgment 

of service by the person served; or 

(B) proof of service 

consisting of a statement by the person 

who made service certifying: 

(i) the date and 

manner of service; 

(ii) the names of 

the persons served; and 

(iii) the mail or 

electronic address, the fax number, or 

the address of the place of delivery, as 

appropriate for the manner of service, 

for each person served. 

(2) Delayed Proof. The district or 

BAP clerk may permit documents to 

be filed without acknowledgment or 

proof of service, but must require the 

acknowledgment or proof to be filed 

promptly thereafter. 

(3) Brief or Appendix. When a 

brief or appendix is filed, the proof of 

service must also state the date and 

manner by which it was filed. 

(A) an acknowledgement of service by 

the person served; or 

(B) proof of service consisting of a 

statement by the person who made 

service certifying: 

(i) the date and manner of 

service; 

(ii) the names of the persons 

served; and 

(iii) the mail or electronic address, 

the fax number, or the 

address of the place of 

delivery—as appropriate for 

the manner of service—for 

each person served. 

(2) Delayed Proof of Service. A district 

or BAP clerk may accept a document 

for filing without an acknowledgement 

or proof of service, but must require 

the acknowledgment or proof of 

service to be filed promptly thereafter. 

(3) For a Brief or Appendix. When a 

brief or appendix is filed, the proof of 

service must also state the date and 

manner by which it was filed. 

(e) SIGNATURE. Every document filed 

electronically must include the electronic 

signature of the person filing it or, if the 

person is represented, the electronic 

signature of counsel. A filing made 

through a person’s electronic-filing 

account and authorized by that person, 

together with that person’s name on a 

(e) Signature Always Required. 

(1) Electronic Filing. Every document 

filed electronically must include the 

electronic signature of the person filing 

it or, if the person is represented, the 

counsel’s electronic signature. A filing 

made through a person’s electronicfiling account and authorized by that 

Rules Appendix B-344
(8000 Series) 42 

ORIGINAL REVISION

signature block, constitutes the person’s 

signature. Every document filed in paper 

form must be signed by the person filing 

the document or, if the person is 

represented, by counsel. 

person—together with that person’s 

name on a signature block—constitutes 

the person’s signature. 

(2) Paper Filing. Every document filed 

in paper form must be signed by the 

person filing it or, if the person is 

represented, by the person’s counsel. 

Committee Note

The language of Rule 8011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-345
(8000 Series) 43 

ORIGINAL REVISION

Rule 8012. Disclosure Statement Rule 8012. Disclosure Statement 

(a) NONGOVERNMENTAL 

COPRORATIONS. Any 

nongovernmental corporation that is a 

party to a proceeding in the district 

court or BAP must file a statement that 

identifies any parent corporation and 

any publicly held corporation that owns 

10% or more of its stock or states that 

there is no such corporation. The same 

requirement applies to a 

nongovernmental corporation that seeks 

to intervene. 

(a) Disclosure by a Nongovernmental 

Corporation. Any nongovernmental 

corporation that is a party to a districtcourt or BAP proceeding or that seeks to 

intervene must file a statement that: 

(1) identifies any parent corporation and 

any publicly held corporation that 

owns 10% or more of its stock; or 

(2) states that there is no such 

corporation. 

(b) DISCLOSURE ABOUT THE 

DEBTOR. The debtor, the trustee, or, if 

neither is a party, the appellant must file 

a statement that: 

(1) identifies each debtor not 

named in the caption; and 

(2) for each debtor that is a 

corporation, discloses the information 

required by Rule 8012(a). 

(b) Disclosure About the Debtor. The 

debtor, the trustee, or, if neither is a 

party, the appellant must file a statement 

that: 

(1) identifies each debtor not named in the 

caption; and 

(2) for each debtor that is a corporation, 

discloses the information required by 

(a). 

(c) TIME TO FILE; 

SUPPLEMENTAL FILING. A Rule 

8012 statement must: 

(1) be filed with the principal 

brief or upon filing a motion, response, 

petition, or answer in the district court 

or BAP, whichever occurs first, unless a 

local rule requires earlier filing; 

(2) be included before the table 

of contents in the principal brief; and 

(3) be supplemented whenever 

the information required by Rule 8012 

changes. 

(c) Time to File; Supplemental Filing. A 

Rule 8012 statement must: 

(1) be filed with the principal brief or 

upon filing a motion, response, 

petition, or answer in the district court 

or BAP, whichever occurs first—

unless a local rule requires earlier 

filing; 

(2) be included before the table of 

contents in the principal brief; and 

(3) be supplemented whenever the 

information required by this rule 

changes. 

Committee Note

The language of Rule 8012 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-346
(8000 Series) 44 

ORIGINAL REVISION

Rule 8013. Motions; Intervention Rule 8013. Motions; Interventions 

(a) CONTENTS OF A MOTION; 

RESPONSE; REPLY. 

(1) Request for Relief. A request 

for an order or other relief is made by 

filing a motion with the district or BAP 

clerk. 

(2) Contents of a Motion. 

(A) Grounds and the Relief 

Sought. A motion must state with 

particularity the grounds for the motion, 

the relief sought, and the legal argument 

necessary to support it. 

(B) Motion to Expedite an 

Appeal. A motion to expedite an appeal 

must explain what justifies considering 

the appeal ahead of other matters. If the 

district court or BAP grants the motion, 

it may accelerate the time to transmit 

the record, the deadline for filing briefs 

and other documents, oral argument, 

and the resolution of the appeal. A 

motion to expedite an appeal may be 

filed as an emergency motion under 

subdivision (d). 

(C) Accompanying 

Documents. 

(i) Any affidavit 

or other document necessary to support 

a motion must be served and filed with 

the motion. 

(ii) An affidavit 

must contain only factual information, 

not legal argument. 

(iii) A motion 

seeking substantive relief must include a 

copy of the bankruptcy court’s 

judgment, order, or decree, and any 

accompanying opinion as a separate 

exhibit 

(a) Content of a Motion; Response; Reply. 

(1) Request for Relief. A request for an 

order or other relief is made by filing a 

motion with the district or BAP clerk. 

(2) Content of a Motion.

(A) Grounds, Relief Sought, and 

Supporting Argument. A motion 

must state with particularity the 

grounds for the motion, the 

relief sought, and the legal 

argument supporting it. 

(B) Motion to Expedite an Appeal. A 

motion to expedite an appeal must 

explain what justifies considering 

the appeal ahead of other matters. 

The motion may be filed as an 

emergency motion under (d). If it 

is granted, the district court or 

BAP may accelerate the time to: 

(i) send the record; 

(ii) file briefs and other 

documents; 

(iii) conduct oral argument; and 

(iv) resolve the appeal. 

(C) Accompanying Documents. 

(i) Supporting Document. Any 

affidavit or other document 

necessary to support a 

motion must be served and 

filed with the motion. 

(ii) Content of Affidavit. An 

affidavit must contain only 

factual information, not legal 

argument. 

(iii) Motion Seeking Substantive 

Relief. A motion seeking 

substantive relief must 

include a copy of the 

Rules Appendix B-347
(8000 Series) 45 

ORIGINAL REVISION

(D) Documents Barred or 

Not Required. 

(i) A separate 

brief supporting or responding to a 

motion must not be filed. 

(ii) Unless 

the court orders otherwise, a notice 

of motion or a proposed order is not 

required. 

(3) Response and Reply; Time to 

File. Unless the district court or BAP 

orders otherwise, 

(A) any party to the 

appeal may file a response to the motion 

within 7 days after service of the 

motion; and 

(B) the movant may file a 

reply to a response within 7 days after 

service of the response, but may only 

address matters raised in the response. 

bankruptcy court’s judgment, 

order, or decree, and any 

accompanying opinion as a 

separate exhibit. 

(D) Documents Barred or Not Required. 

(i) No Separate Brief. A separate 

brief supporting or 

responding to a motion must 

not be filed. 

(ii) Notice and Proposed Order 

Not Required. Unless the 

court orders otherwise, a 

notice of motion or a 

proposed order is not 

required. 

(3) Response and Reply; Time to File. 

Unless the district court or BAP orders 

otherwise: 

(A) any party to the appeal may—

within 7 days after the motion is 

served—file a response to the 

motion; and 

(B) the movant may—within 7 days 

after the response is served—file a 

reply that addresses only matters 

raised in the response. 

(b) DISPOSITION OF A MOTION 

FOR A PROCEDURAL ORDER. The 

district court or BAP may rule on a 

motion for a procedural order— 

including a motion under Rule 9006(b) 

or (c)—at any time without awaiting a 

response. A party adversely affected by 

the ruling may move to reconsider, 

vacate, or modify it within 7 days after 

the procedural order is served. 

(b) Disposition of a Motion for a 

Procedural Order. The district court or 

BAP may rule on a motion for a procedural 

order—including a motion under Rule 

9006(b) or (c)—at any time, without 

awaiting a response. A party adversely 

affected by the ruling may move to 

reconsider, vacate, or modify it within 7 

days after the order is served. 

(c) ORAL ARGUMENT. A motion will 

be decided without oral argument unless 

the district court or BAP orders 

otherwise. 

(c) Oral Argument. A motion will be 

decided without oral argument unless the 

district court or BAP orders otherwise. 

Rules Appendix B-348
(8000 Series) 46 

ORIGINAL REVISION

(d) EMERGENCY MOTION. 

(1) Noting the Emergency. When 

a movant requests expedited action on 

a motion because irreparable harm 

would occur during the time needed 

to consider a response, the movant 

must insert the word ‘‘Emergency’’ 

before the title of the 

motion. 

(2) Contents of the Motion. The 

emergency motion must 

(A) be accompanied by 

an affidavit setting out the nature of the 

emergency; 

(B) state whether all 

grounds for it were submitted to the 

bankruptcy court and, if not, why the 

motion should not be remanded for the 

bankruptcy court to consider; 

(C) include the e-mail 

addresses, office addresses, and 

telephone numbers of moving counsel 

and, when known, of opposing counsel 

and any unrepresented parties to the 

appeal; and 

(D) be served as 

prescribed by Rule 8011. 

(3) Notifying Opposing Parties. 

Before filing an emergency motion, the 

movant must make every practicable 

effort to notify opposing counsel and any 

unrepresented parties in time for them to 

respond. The affidavit accompanying the 

emergency motion must state when and 

how notice was given or state why giving 

it was impracticable. 

(d) Emergency Motion. 

(1) Noting the Emergency. A movant 

who requests expedited action—

because irreparable harm would occur 

during the time needed to consider a 

response—must insert “Emergency” 

before the motion’s title. 

(2) Content. An emergency motion 

must: 

(A) be accompanied by an 

affidavit setting forth the 

nature of the emergency; 

(B) state whether all grounds for it 

were previously submitted to the 

bankruptcy court and, if not, why 

the motion should not be 

remanded; 

(C) include: 

(i) the email address, office 

address, and telephone 

number of the moving 

counsel; and 

(ii) when known, the same 

information as in (i) for 

opposing counsel and any 

unrepresented party to the 

appeal; and 

(D) be served as Rule 8011 prescribes. 

(3) Notifying Opposing Parties. Before 

filing an emergency motion, the 

movant must make every practicable 

effort to notify opposing counsel and 

any unrepresented party in time for 

them to respond. The affidavit 

accompanying the motion must state: 

(A) when and how notice was given; or 

(B) why giving it was impracticable. 

Rules Appendix B-349
(8000 Series) 47 

ORIGINAL REVISION

(e) POWER OF A SINGLE BAP 

JUDGE TO ENTERTAIN A 

MOTION. 

(1) Single Judge’s Authority. A 

BAP judge may act alone on any 

motion, but may not dismiss or 

otherwise determine an appeal, deny a 

motion for leave to appeal, or deny a 

motion for a stay pending appeal if 

denial would make the appeal moot. 

(2) Reviewing a Single Judge’s 

Action. The BAP may review a single 

judge’s action, either on its own motion 

or on a party’s motion. 

(e) Motion Considered by a Single BAP 

Judge. 

(1) Judge’s Authority. A BAP judge may 

act alone on any motion but may not: 

(A) dismiss or otherwise determine an 

appeal; 

(B) deny a motion for leave to appeal; 

or 

(C) deny a motion for a stay pending 

appeal if denial would make the 

appeal moot. 

(2) Reviewing a Single Judge’s Action. 

The BAP, on its own or on a party’s 

motion, may review a single judge’s 

action. 

(f) FORM OF DOCUMENTS; 

LENGTH LIMITS; NUMBER OF 

COPIES. 

(1) Format of a Paper 

Document. Rule 27(d)(1) F.R.App.P. 

applies in the district court or BAP to a 

paper version of a motion, response, or 

reply. 

(2) Format of an Electronically 

Filed Document. A motion, response, or 

reply filed electronically must comply 

with the requirements for a paper 

version regarding covers, line spacing, 

margins, typeface, and type style. It must 

also comply with the length limits under 

paragraph (3). 

(3) Length Limits. Except 

by the district court’s or BAP’s 

permission, and excluding the 

accompanying documents 

authorized by subdivision (a)(2)(C): 

(f) Form of Documents; Length Limits; 

Number of Copies. 

(1) Document Filed in Paper Form. 

Fed. R. App. P. 27(d)(1) applies to a 

motion, response, or reply filed in 

paper form in the district court or 

BAP.

(2) Document Filed Electronically. A 

motion, response, or reply filed 

electronically must comply with the 

requirements in (1) for covers, line 

spacing, margins, typeface, and type 

style. It must also comply with the 

length limits in (3). 

(3) Length Limits. Except by the district 

court’s or BAP’s permission, and 

excluding the accompanying 

documents authorized by (a)(2)(C): 

Rules Appendix B-350
(8000 Series) 48 

ORIGINAL REVISION

(A) a motion or a 

response to a motion produced using a 

computer must include a certificate 

under Rule 8015(h) and not exceed 

5,200 words; 

(B) a handwritten or 

typewritten motion or a response to a 

motion must not exceed 20 pages; 

(C) a reply produced 

using a computer must include a 

certificate under Rule 8015(h) and not 

exceed 2,600 words; and 

(D) a handwritten or 

typewritten reply must not exceed 

10 pages. 

(4) Paper Copies. Paper 

copies must be provided only if 

required by local rule or by an order 

in a particular case. 

(A) a motion or a response to a motion 

produced using a computer must 

include a certificate under 

Rule 8015(h) and not exceed 5,200 

words; 

(B) a handwritten or typewritten 

motion or a response to a 

motion must not exceed 20 

pages; 

(C) a reply produced using a 

computer must include a 

certificate under Rule 8015(h) and 

not exceed 2,600 words; and 

(D) a handwritten or typewritten 

reply must not exceed 10 pages. 

(4) Providing Paper Copies. Paper 

copies must be provided only if 

required by a local rule or by an order 

in a particular case. 

(g) INTERVENING IN AN APPEAL. 

Unless a statute provides otherwise, an 

entity that seeks to intervene in an 

appeal pending in the district court or 

BAP must move for leave to intervene 

and serve a copy of the motion on the 

parties to the appeal. The motion or 

other notice of intervention authorized 

by statute must be filed within 30 days 

after the appeal is docketed. It must 

concisely state the movant’s interest, the 

grounds for intervention, whether 

intervention was sought in the 

(g) Motion for Leave to Intervene. 

(1) Time to File. Unless a statute 

provides otherwise, an entity seeking 

to intervene in an appeal in the district 

court or BAP must move for leave to 

intervene and serve a copy of the 

motion on all parties to the appeal. 

The motion—or other notice of 

intervention authorized by statute—

must be filed within 30 days after the 

appeal is docketed. 

Rules Appendix B-351
(8000 Series) 49 

ORIGINAL REVISION

bankruptcy court, why intervention is 

being sought at this stage of the 

proceeding, and why participating as an 

amicus curiae would not be adequate. 

(2) Content. The motion must concisely 

state: 

(A) the movant’s interest; 

(B) the grounds for intervention; 

(C) whether intervention was sought in 

the bankruptcy court; 

(D)why intervention is being sought at 

this stage of the proceedings; and 

(E) why participating as an amicus 

curiae—rather than intervening—

would not be adequate. 

Committee Note

The language of Rule 8013 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-352
(8000 Series) 50 

ORIGINAL REVISION

Rule 8014. Briefs Rule 8014. Briefs 

(a) APPELLANT’S BRIEF. The 

appellant’s brief must contain the 

following under appropriate headings 

and in the order indicated: 

(1) a corporate disclosure 

statement, if required by Rule 8012; 

(2) a table of contents, with page 

references; 

(3) a table of authorities—cases 

(alphabetically arranged), statutes, and 

other authorities—with references to the 

pages of the brief where they are cited; 

(4) a jurisdictional statement, 

including: 

(A) the basis for the 

bankruptcy court’s subject-matter 

jurisdiction, with citations to applicable 

statutory provisions and stating relevant 

facts establishing jurisdiction; 

(B) the basis for the 

district court’s or BAP’s jurisdiction, 

with citations to applicable statutory 

provisions and stating relevant facts 

establishing jurisdiction; 

(C) the filing dates 

establishing the timeliness of the appeal; 

and 

(D) an assertion that the 

appeal is from a final judgment, order, or 

decree, or information establishing the 

district court’s or BAP’s jurisdiction on 

another basis; 

(a) Appellant’s Brief. The appellant’s brief 

must contain the following under 

appropriate headings and in the order 

indicated: 

(1) a disclosure statement, if required by 

Rule 8012; 

(2) a table of contents, with page 

references; 

(3) a table of authorities—cases 

(alphabetically arranged), statutes, and 

other authorities—with references to 

the pages of the brief where they are 

cited; 

(4) a jurisdictional statement, including: 

(A) the basis for the bankruptcy court’s 

subject-matter jurisdiction, citing 

applicable statutory provisions and 

stating relevant facts establishing 

jurisdiction; 

(B) the basis for the district court’s or 

BAP’s jurisdiction, citing applicable 

statutory provisions and stating 

relevant facts establishing 

jurisdiction; 

(C) the filing dates establishing the 

timeliness of the appeal; and 

(D) an assertion that the appeal is from 

a final judgment, order, or 

decree—or information 

establishing the district court’s or 

BAP’s jurisdiction on another 

basis; 

(5) a statement of the issues presented 

and, for each one, a concise statement 

of the applicable standard of appellate 

review; 

(6) a concise statement of the case setting 

out the facts relevant to the issues 

submitted for review, describing the 

relevant procedural history, and 

Rules Appendix B-353
(8000 Series) 51 

ORIGINAL REVISION

(5) a statement of the issues 

presented and, for each one, a concise 

statement of the applicable standard of 

appellate review; 

(6) a concise statement of the 

case setting out the facts relevant to the 

issues submitted for review, describing 

the relevant procedural history, and 

identifying the rulings presented for 

review, with appropriate references to 

the record; 

(7) a summary of the argument, 

which must contain a succinct, clear, and 

accurate statement of the arguments 

made in the body of the brief, and which 

must not merely repeat the argument 

headings; 

(8) the argument, which must 

contain the appellant’s contentions and 

the reasons for them, with citations to 

the authorities and parts of the record 

on which the appellant relies; 

(9) a short conclusion stating the 

precise relief sought; and 

(10) the certificate of 

compliance, if required by 

Rule 8015(a)(7) or (b). 

identifying the rulings presented for 

review, with appropriate references to 

the record; 

(7) a summary of the argument, which 

must contain a succinct, clear, and 

accurate statement of the arguments 

made in the body of the brief, and 

which must not merely repeat the 

argument headings; 

(8) the argument, which must contain the 

appellant’s contentions and the reasons 

for them, with citations to the 

authorities and parts of the record on 

which the appellant relies; 

(9) a short conclusion stating the precise 

relief sought; and 

(10) the certificate of compliance, if 

required by Rule 8015(a)(7) or (b). 

Rules Appendix B-354
(8000 Series) 52 

ORIGINAL REVISION

(b) APPELLEE’S BRIEF. The 

appellee’s brief must conform to the 

requirements of subdivision (a)(1)–(8) 

and (10), except that none of the 

following need appear unless the 

appellee is dissatisfied with the 

appellant’s statement: 

(1) the jurisdictional statement; 

(2) the statement of the issues 

and the applicable standard of appellate 

review; and 

(3) the statement of the case. 

(b) Appellee’s Brief. The appellee’s brief must 

conform to the requirements of (a)(1)–(8) 

and (10), except that none of the following 

need appear unless the appellee is 

dissatisfied with the appellant’s statement: 

(1) the jurisdictional statement; 

(2) the statement of the issues and the 

applicable standard of appellate review; 

and 

(3) the statement of the case. 

(c) REPLY BRIEF. The appellant may 

file a brief in reply to the appellee’s brief. 

A reply brief must comply with the 

requirements of subdivision (a)(2)–(3). 

(c) Reply Brief. The appellant may file a brief 

in reply to the appellee’s brief. A reply brief 

must comply with (a)(2)–(3). 

(d) STATUTES, RULES, 

REGULATIONS, OR SIMILAR 

AUTHORITY. If the court’s 

determination of the issues presented 

requires the study of the Code or other 

statutes, rules, regulations, or similar 

authority, the relevant parts must be set 

out in the brief or in an addendum. 

(d) Setting Out Statutes, Rules, 

Regulations, or Similar Authorities. If 

the court’s determination of the issues 

presented requires the study of the Code 

or other statutes, rules, regulations, or 

similar authority, the relevant parts must 

be set out in the brief or in an addendum. 

(e) BRIEFS IN A CASE INVOLVING 

MULTIPLE APPELLANTS OR 

APPELLEES. In a case involving more 

than one appellant or appellee, including 

consolidated cases, any number of 

appellants or appellees may join in a 

brief, and any party may adopt by 

reference a part of another’s brief. 

Parties may also join in reply briefs. 

(e) Briefs in a Case Involving Multiple 

Appellants or Appellees. In a case 

involving more than one appellant or 

appellee, including consolidated cases, any 

number of appellants or appellees may join 

in a brief, and any party may adopt by 

reference a part of another’s brief. Parties 

may also join in reply briefs. 

(f) CITATION OF SUPPLEMENTAL 

AUTHORITIES. If pertinent and 

significant authorities come to a party’s 

(f) Citation of Supplemental Authorities. If 

pertinent and significant authorities come 

to a party’s attention after the party’s brief 

Rules Appendix B-355
(8000 Series) 53 

ORIGINAL REVISION

attention after the party’s brief has been 

filed—or after oral argument but before 

a decision— a party may promptly 

advise the district or BAP clerk by a 

signed submission setting forth the 

citations. The submission, which must 

be served on the other parties to the 

appeal, must state the reasons for the 

supplemental citations, referring either 

to the pertinent page of a brief or to a 

point argued orally. The body of the 

submission must not exceed 350 words. 

Any response must be made within 7 

days after the party is served, unless the 

court orders otherwise, and must be 

similarly limited. 

has been filed—or after oral argument but 

before a decision—a party may promptly 

advise the district or BAP clerk by a signed 

submission, with a copy to all other parties, 

setting forth the citations. The submission 

must state the reasons for the supplemental 

citations, referring either to the pertinent 

page of a brief or to a point argued orally. 

The body of the submission must not 

exceed 350 words. Any response must be 

similarly limited, and it must be made 

within 7 days after service unless the court 

orders otherwise. 

Committee Note

The language of Rule 8014 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-356
(8000 Series) 54 

ORIGINAL REVISION 

Rule 8015. Form and Length of 

Briefs; Form of Appendices and 

Other Papers 

Rule 8015. Form and Length of a 

Brief; Form of an Appendix or Other 

Paper 

(a) PAPER COPIES OF A BRIEF. If a 

paper copy of a brief may or must be 

filed, the following provisions apply: 

(1) Reproduction. 

(A) A brief may be 

reproduced by any process that yields a 

clear black image on light paper. The 

paper must be opaque and unglazed. 

Only one side of the paper may be used. 

(B) Text must be 

reproduced with a clarity that equals 

or exceeds the output of a laser 

printer. 

(C) Photographs, 

illustrations, and tables may be 

reproduced by any method that results 

in a good copy of the original. A glossy 

finish is acceptable if the original is 

glossy. 

(2) Cover. The front cover of a 

brief must contain: 

(A) the number of the 

case centered at the top; 

(B) the name of the 

court; 

(C) the title of the case 

as prescribed by Rule 8003(d)(2) or 

8004(c)(2); 

(D) the nature of the 

proceeding and the name of the court 

below; 

(E) the title of the brief, 

identifying the party or parties for whom 

the brief is filed; and 

(a) Paper Copies of a Brief. If a paper copy 

of a brief may or must be filed, the 

following provisions apply: 

(1) Reproduction. 

(A) Printing. The brief may be 

reproduced by any process that 

yields a clear black image on light 

paper. The paper must be opaque 

and unglazed. Only one side of the 

paper may be used. 

(B) Text. Text must be reproduced 

with a clarity that equals or exceeds 

the output of a laser printer. 

(C) Other Reproductions. Photographs, 

illustrations, and tables may be 

reproduced by any method that 

results in a good copy of the 

original. A glossy finish is 

acceptable if the original is glossy. 

(2) Cover. The front cover of the brief 

must contain: 

(A) the number of the case centered at 

the top; 

(B) the name of the court; 

(C) the title of the case as prescribed 

by Rule 8003(d)(2) or 8004(c)(2); 

(D) the nature of the proceeding and 

the name of the court below; 

(E) the title of the brief, identifying the 

party or parties for whom the brief 

is filed; and 

(F) the name, office address, telephone 

number, and email address of 

counsel representing the party for 

whom the brief is filed. 

Rules Appendix B-357
(8000 Series) 55 

ORIGINAL REVISION

(F) the name, office 

address, telephone number, and email address of counsel representing 

the party for whom the brief is filed. 

(3) Binding. The brief must be 

bound in any manner that is secure, does 

not obscure the text, and permits the 

brief to lie reasonably flat when open. 

(4) Paper Size, Line Spacing, and 

Margins. The brief must be on 8 1⁄2-by11 inch paper. The text must be doublespaced, but quotations more than two 

lines long may be indented and singlespaced. Headings and footnotes may be 

single-spaced. Margins must be at least 

one inch on all four sides. Page numbers 

may be placed in the margins, but no 

text may appear there. 

(5) Typeface. Either a 

proportionally spaced or monospaced 

face may be used. 

(A) A proportionally 

spaced face must include serifs, but 

sans-serif type may be used in headings 

and captions. A proportionally spaced 

face must be 14-point or larger. 

(B) A monospaced 

face may not contain more than 10 

1⁄2 characters per inch. 

(6) Type Styles. A brief must 

be set in plain, roman style, 

although italics or boldface may be 

used for emphasis. Case names 

must be italicized or underlined. 

(3) Binding. The brief must be bound in 

any manner that is secure, does not 

obscure the text, and permits the brief 

to lie reasonably flat when open. 

(4) Paper Size, Line Spacing, and 

Margins. The brief must be on 81⁄2”- 

by-11” paper. The text must be 

double-spaced, but quotations more 

than two lines long may be indented 

and single-spaced. Headings and 

footnotes may be single-spaced. 

Margins must be at least one inch on 

all four sides. Page numbers may be 

placed in the margins, but no text may 

appear there. 

(5) Typeface. Either a proportionally 

spaced or monospaced face may be 

used. 

(A) Proportional Spacing. A 

proportionally spaced face must 

include serifs, but sans-serif type 

may be used in headings and 

captions. A proportionally spaced 

face must be 14-point or larger. 

(B) Monospacing. A monospaced face 

may not contain more than 101⁄2 

characters per inch. 

(6) Type Styles. The brief must be set in 

plain, roman style, although italics or 

boldface may be used for emphasis. 

Case names must be italicized or 

underlined. 

(7) Length. 

(A) Page Limitation. A principal brief 

must not exceed 30 pages, or a 

reply brief 15 pages, unless it 

complies with (B). 

(B) Type-Volume Limitation. 

(i) Principal Brief. A principal 

brief is acceptable if it 

contains a certificate 

Rules Appendix B-358
(8000 Series) 56 

ORIGINAL REVISION

(7) Length. under (h) and: 

(A) Page Limitation. A 

principal brief must not exceed 30 

pages, or a reply brief 15 pages, unless 

it complies with subparagraph (B). 

 contains no more than 

13,000 words; or 

 uses a monospaced face 

and contains no more than 

1,300 lines of text. 

(B) Type-volume 

Limitation. 

 (i) A principal 

brief is acceptable if it contains a 

certificate under Rule 8015(h) and: 

(ii) Reply Brief. A reply brief is 

acceptable if it includes a 

certificate under (h) and 

contains no more than half 

the type volume specified in 

item (i). 

 contains no more than 

13,000 words; or

 uses a monospaced face 

and contains no more 

than 1,300 lines of text.

(ii) A reply brief 

is acceptable if it includes a certificate 

under Rule 8015(h) and contains no 

more than half of the type volume 

specified in item (i). 

Rules Appendix B-359
(8000 Series) 57 

ORIGINAL REVISION

(b) ELECTRONICALLY FILED 

BRIEFS. A brief filed electronically 

must comply with subdivision (a), except 

for (a)(1), (a)(3), and the paper 

requirement of (a)(4). 

(b) Brief Filed Electronically. A brief filed 

electronically must comply with (a)—except 

for (a)(1), (a)(3), and the paper requirement 

of (a)(4). 

(c) PAPER COPIES OF 

APPENDICES. A paper copy of an 

appendix must comply with subdivision 

(a)(1), (2), (3), and (4), with the following 

exceptions: 

(1) An appendix may include a 

legible photocopy of any document 

found in the record or of a printed 

decision. 

(2) When necessary to facilitate 

inclusion of odd-sized documents such 

as technical drawings, an appendix may 

be a size other than 8 1⁄2-by-11 inches, 

and need not lie reasonably flat when 

opened. 

(c) Paper Copies of an Appendix. A paper 

copy of an appendix must comply with 

(a)(1), (2), (3), and (4), with the following 

exceptions: 

(1) an appendix may include a legible 

photocopy of any document found in 

the record or of a printed decision; 

and 

(2) when necessary for including oddsized documents such as technical 

drawings, an appendix may be a size 

other than 81⁄2” by 11”, and need not 

lie reasonably flat when opened. 

(d) ELECTRONICALLY FILED 

APPENDICES. An appendix filed 

electronically must comply with 

subdivision (a)(2) and (4), except for the 

paper requirement of (a)(4). 

(d) Appendix Filed Electronically. An 

appendix filed electronically must comply 

with (a)(2) and (4)—except for the paper 

requirement of (a)(4). 

(e) OTHER DOCUMENTS. 

(1) Motion. Rule 8013(f) governs 

the form of a motion, response, or reply. 

(2) Paper Copies of Other 

Documents. A paper copy of any other 

document, other than a submission 

under Rule 8014(f), must comply with 

(e) Other Documents. 

(1) Motion. Rule 8013(f) governs the 

form of a motion, response, or reply. 

(2) Paper Copies of Other Documents. 

A paper copy of any other 

document—except one submitted 

under Rule 8014(f)—must comply 

with (a), with the following exceptions: 

Rules Appendix B-360
(8000 Series) 58 

ORIGINAL REVISION

subdivision (a), with the following 

exceptions: 

(A) A cover is not 

necessary if the caption and signature 

page together contain the information 

required by subdivision (a)(2). 

(B) Subdivision (a)(7) 

does not apply. 

(3) Other Documents Filed 

Electronically. Any other document filed 

electronically, other than a submission 

under Rule 8014(f), must comply with 

the appearance requirements of 

paragraph (2). 

(A) a cover is not necessary if the 

caption and signature page 

together contain the information 

required by (a)(2); and 

(B) the length limits of (a)(7) do not 

apply. 

(3) Document Filed Electronically.

Any other document filed 

electronically—except a document 

submitted under Rule 8014(f)—must 

comply with the requirements of (2). 

(f) LOCAL VARIATION. A district 

court or BAP must accept documents 

that comply with the form requirements 

of this rule and the length limits set by 

Part VIII of these rules. By local rule or 

order in a particular case, a district court 

or BAP may accept documents that do 

not meet all the form requirements of 

this rule or the length limits set by Part 

VIII of these rules. 

(f) Local Variation. A district court or BAP 

must accept documents that comply with 

the form requirements of this rule and the 

length limits set by this Part VIII. By local 

rule or order in a particular case, a district 

court or BAP may accept documents that 

do not meet all the form requirements of 

this rule or the length limits set by this 

Part VIII. 

(g) ITEMS EXCLUDED FROM 

LENGTH. In computing any length 

limit, headings, footnotes, and 

quotations count toward the limit, but 

the following items do not: 

 the cover page; 

 disclosure statement under 

Rule 8012; 

 table of contents; 

 table of citations; 

 statement regarding oral argument; 

(g) Items Excluded from Length. In 

computing any length limit, headings, 

footnotes, and quotations count toward the 

limit, but the following items do not: 

 cover page; 

 disclosure statement under Rule 8012; 

 table of contents; 

 table of citations; 

 statement regarding oral argument; 

Rules Appendix B-361
(8000 Series) 59 

ORIGINAL REVISION

 addendum containing statutes, 

rules, or regulations; 

 certificates of counsel; 

 signature block; 

 proof of service; and 

 any item specifically excluded by 

these rules or by local rule. 

 addendum containing statutes, rules, 

or regulations; 

 certificate of counsel; 

 signature block; 

 proof of service; and 

 any item specifically excluded by 

these rules or by local rule. 

(h) CERTIFICATE OF 

COMPLIANCE. 

(1) Briefs and Documents That 

Require a Certificate. A brief submitted 

under Rule 8015(a)(7)(B), 8016(d)(2), or 

8017(b)(4)—and a document submitted 

under Rule 8013(f)(3)(A), 8013(f)(3)(C), 

or 8022(b)(1)—must include a certificate 

by the attorney, or an unrepresented 

party, that the document complies with 

the type-volume limitation. The 

individual preparing the certificate may 

rely on the word or line count of the 

word-processing system used to prepare 

the document. The certificate must state 

the number of words—or the number 

of lines of mono-spaced type—in the 

document. 

(2) Acceptable Form. The 

certificate requirement is satisfied by a 

certificate of compliance that conforms 

substantially to the appropriate Official 

Form. 

(h) Certificate of Compliance. 

(1) Briefs and Documents That 

Require a Certificate. A brief 

submitted under Rule 8015(a)(7)(B), 

8016(d)(2), or 8017(b)(4)—and a 

document submitted under 

Rule 8013(f)(3)(A), 8013(f)(3)(C), or 

8022(b)(1)—must include a 

certificate by the attorney, or an 

unrepresented party, that the 

document complies with the typevolume limitation. The individual 

preparing the certificate may rely on 

the word or line count of the wordprocessing system used to prepare 

the document. The certificate must 

state the number of words—or the 

number of lines of monospaced 

type—in the document. 

(2) Using the Official Form. A 

certificate of compliance that 

conforms substantially to Form 417C 

satisfies the certificate requirement. 

Committee Note

The language of Rule 8015 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-362
(8000 Series) 60 

ORIGINAL REVISION

Rule 8016. Cross-Appeals Rule 8016. Cross-Appeals 

(a) APPLICABILITY. This rule applies 

to a case in which a cross- appeal is filed. 

Rules 8014(a)–(c), 8015(a)(7)(A)–(B), 

and 8018(a)(1)–(3) do not apply to such 

a case, except as otherwise provided in 

this rule. 

(a) Applicability. This rule applies to a case in 

which a cross-appeal is filed. Rules 8014(a)–

(c), 8015(a)(7)(A)–(B), and 8018(a)(1)–(3) 

do not apply to such a case, unless this rule 

states otherwise. 

(b) DESIGNATION OF 

APPELLANT. The party who files a 

notice of appeal first is the appellant for 

purposes of this rule and Rule 8018(a)(4) 

and (b) and Rule 8019. If notices are 

filed on the same day, the plaintiff, 

petitioner, applicant, or movant in the 

proceeding below is the appellant. These 

designations may be modified by the 

parties’ agreement or by court order. 

(b) Designation of Appellant. The party 

who files a notice of appeal first is the 

appellant for purposes of this rule and 

Rule 8018(a)(4) and (b) and Rule 8019. If 

notices are filed on the same day, the 

plaintiff, petitioner, applicant, or movant 

in the proceeding below is the appellant. 

These designations may be modified by 

the parties’ agreement or by court order. 

(c) BRIEFS. In a case involving a crossappeal: 

(1) Appellant’s Principal Brief. 

The appellant must file a principal brief 

in the appeal. That brief must comply 

with Rule 8014(a). 

(2) Appellee’s Principal and 

Response Brief. The appellee must file a 

principal brief in the cross-appeal and 

must, in the same brief, respond to the 

principal brief in the appeal. That brief 

must comply with Rule 8014(a), except 

that the brief need not include a 

statement of the case unless the appellee 

is dissatisfied with the appellant’s 

statement. 

(3) Appellant’s Response and Reply 

Brief. The appellant must file a brief that 

responds to the principal brief in the 

cross-appeal and may, in the same 

(c) Briefs. In a case involving a cross-appeal: 

(1) Appellant’s Principal Brief. The 

appellant must file a principal brief in 

the appeal. That brief must comply 

with Rule 8014(a). 

(2) Appellee’s Principal and Response 

Brief. The appellee must file a 

principal brief in the cross-appeal and 

must, in the same brief, respond to the 

principal brief in the appeal. That brief 

must comply with Rule 8014(a), but 

the brief need not include a statement 

of the case unless the appellee is 

dissatisfied with the appellant’s 

statement.

(3) Appellant’s Response and Reply 

Brief. The appellant must file a brief 

that responds to the principal brief in 

the cross-appeal and may, in the same 

brief, reply to the response in the 

appeal. That brief must comply with 

Rule 8014(a)(2)–(8) and (10), but none 

of the following need appear unless the 

appellant is dissatisfied with the 

Rules Appendix B-363
(8000 Series) 61 

ORIGINAL REVISION

brief, reply to the response in the appeal. 

That brief must comply with Rule 

8014(a)(2)–(8) and (10), except that none 

of the following need appear unless the 

appellant is dissatisfied with the 

appellee’s statement in the cross-appeal: 

(A) the jurisdictional 

statement; 

(B) the statement of the 

issues and the applicable standard of 

appellate review; and 

(C) the statement of the 

case. 

(4) Appellee’s Reply Brief. The 

appellee may file a brief in reply to the 

response in the cross-appeal. That brief 

must comply with Rule 8014(a)(2)–(3) 

and (10) and must be limited to the 

issues presented by the cross-appeal. 

appellee’s statement in the crossappeal: 

(A) the jurisdictional statement; 

(B) the statement of the issues; 

(C) the statement of the case; and 

(D) the statement of the applicable 

standard of appellate review. 

(4) Appellee’s Reply Brief. The appellee 

may file a brief in reply to the response 

in the cross-appeal. That brief must 

comply with Rule 8014(a)(2)–(3) and 

(10) and must be limited to the issues 

presented by the cross-appeal. 

(d) LENGTH. 

(1) Page Limitation. Unless it 

complies with paragraph (2), the 

appellant’s principal brief must not 

exceed 30 pages; the appellee’s 

principal and response brief, 35 

pages; the appellant’s response and 

reply brief, 30 pages; and the 

appellee’s reply brief, 15 pages. 

(2) Type-volume Limitation. 

(A) The appellant’s 

(d) Length. 

(1) Page Limitation. Unless it complies 

with (2), the appellant’s principal brief 

must not exceed 30 pages; the 

appellee’s principal and response brief, 

35 pages; the appellant’s response and 

reply brief, 30 pages; and the appellee’s 

reply brief, 15 pages. 

(2) Type-Volume Limitation.

(A) Appellant’s Brief. The appellant’s 

principal brief or the appellant’s 

response and reply brief is 

Rules Appendix B-364
(8000 Series) 62 

ORIGINAL REVISION

principal brief or the appellant’s 

response and reply brief is acceptable 

if it includes a certificate under 

Rule 8015(h) and: 

acceptable if it includes a certificate 

under Rule 8015(h) and: 

(i) contains no more than 13,000 

words; or 

(i) contains no 

more than 13,000 words; or 

(ii) uses a monospaced face and 

contains no more than 1,300 

lines of text. 

(ii) uses a 

monospaced face and contains no more 

than 1,300 lines of text. 

(B) Appellee’s Principal and Response Brief. 

The appellee’s principal and 

response brief is acceptable if it 

includes a certificate under 

Rule 8015(h) and: 

(B) The appellee’s 

principal and response brief is 

acceptable if it includes a certificate 

under Rule 8015(h) and: 

(i) contains no more than 15,300 

words; or 

(ii) uses a monospaced face and 

contains no more than 1,500 

lines of text. 

(i) contains no 

more than 15,300 words; or 

(ii) uses a 

monospaced face and contains no more 

than 1,500 lines of text. 

(C) Appellee’s Reply Brief. The appellee’s 

reply brief is acceptable if it 

includes a certificate under 

Rule 8015(h) and contains no 

more than half the type volume 

specified in (A). 

(C) The appellee’s reply 

brief is acceptable if it includes a 

certificate under Rule 8015(h) and 

contains no more than half of the type 

volume specified in subparagraph (A). 

(e) TIME TO SERVE AND FILE A 

BRIEF. Briefs must be served and filed 

as follows, unless the district court or 

BAP by order in a particular case 

excuses the filing of briefs or specifies 

different time limits: 

(1) the appellant’s principal brief, 

(e) Time to Serve and File a Brief. Briefs 

must be served and filed as follows, unless 

the district court or BAP by order in a 

particular case excuses the filing of briefs or 

sets different time limits: 

(1) the appellant’s principal brief, within 30 

days after the docketing of a notice 

Rules Appendix B-365
(8000 Series) 63 

ORIGINAL REVISION

within 30 days after the docketing of 

notice that the record has been 

transmitted or is available electronically; 

(2) the appellee’s principal and 

response brief, within 30 days after the 

appellant’s principal brief is served; 

(3) the appellant’s response and 

reply brief, within 30 days after the 

appellee’s principal and response brief is 

served; and 

(4) the appellee’s reply brief, 

within 14 days after the appellant’s 

response and reply brief is served, 

but at least 7 days before scheduled 

argument unless the district court 

or BAP, for good cause, allows a 

later filing. 

that the record has been sent or is 

available electronically; 

(2) the appellee’s principal and response 

brief, within 30 days after the 

appellant’s principal brief is served; 

(3) the appellant’s response and reply 

brief, within 30 days after the 

appellee’s principal and response brief 

is served; and 

(4) the appellee’s reply brief, within 14 

days after the appellant’s response and 

reply brief is served but at least 7 days 

before scheduled argument—unless 

the district court or BAP, for cause, 

allows a later filing. 

Committee Note

The language of Rule 8016 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-366
(8000 Series) 64 

ORIGINAL REVISION

Rule 8017. Brief of an Amicus Curiae Rule 8017. Brief of an Amicus Curiae 

(a) DURING INITIAL 

CONSIDERATION OF A CASE ON 

THE MERITS. 

(1) Applicability. This Rule 

8017(a) governs amicus filings during a 

court’s initial consideration of a case on 

the merits. 

(2) When Permitted. The United 

States or its officer or agency or a state 

may file an amicus brief without the 

consent of the parties or leave of court. 

Any other amicus curiae may file a brief 

only by leave of court or if the brief 

states that all parties have consented to 

its filing, but a district court or BAP may 

prohibit the filing of or may strike an 

amicus brief that would result in a 

judge’s disqualification. On its own 

motion, and with notice to all parties to 

an appeal, the district court or BAP may 

request a brief by an amicus curiae. 

(3) Motion for Leave to File. 

The motion must be accompanied by 

the proposed brief and state: 

(A) the movant’s 

interest; and 

(B) the reason why an 

amicus brief is desirable and why the 

matters asserted are relevant to the 

disposition of the appeal. 

(4) Contents and Form. An amicus 

brief must comply with Rule 8015. In 

addition to the requirements of 

Rule 8015, the cover must identify the 

party or parties supported and indicate 

whether the brief supports affirmance 

or reversal. If an amicus curiae is a 

corporation, the brief must include a 

(a) During the Initial Consideration of a 

Case on the Merits. 

(1) Applicability. This subdivision (a) 

governs amicus filings during a court’s 

initial consideration of a case on the 

merits. 

(2) When Permitted. The United 

States, its officer or agency, or a state 

may file an amicus brief without the 

parties’ consent or leave of court. 

Any other amicus curiae may file a 

brief only by leave of court or if the 

brief states that all parties have 

consented to its filing, but a district 

court or BAP may prohibit the filing 

of or may strike an amicus brief that 

would result in a judge’s 

disqualification. On its own, and with 

notice to all parties to an appeal, the 

district court or BAP may request a 

brief by an amicus curiae. 

(3) Motion for Leave to File. A motion 

for leave must be accompanied by the 

proposed brief and state: 

(A) the movant’s interest; and 

(B) the reason why an amicus brief is 

desirable and why the matters 

asserted are relevant to the 

disposition of the appeal. 

(4) Content and Form. An amicus brief 

must comply with Rule 8015. In 

addition, the cover must identify the 

party or parties supported and indicate 

whether the brief supports affirmance 

or reversal. If an amicus curiae is a 

corporation, the brief must include a 

disclosure statement like that required 

of parties by Rule 8012. An amicus 

Rules Appendix B-367
(8000 Series) 65 

ORIGINAL REVISION

disclosure statement like that required of 

parties by Rule 8012. An amicus brief 

need not comply with Rule 8014, but 

must include the following:

(A) a table of contents, 

with page references; 

(B) a table of 

authorities—cases (alphabetically 

arranged), statutes, and other 

authorities—with references to the 

pages of the brief where they are cited; 

(C) a concise statement 

of the identity of the amicus curiae, its 

interest in the case, and the source of its 

authority to file; 

(D) unless the amicus 

curiae is one listed in the first sentence 

of subdivision (a)(2), a statement that 

indicates whether: 

(i) a party’s 

counsel authored the brief in whole or in 

part; 

(ii) a party or a 

party’s counsel contributed money that 

was intended to fund preparing or 

submitting the brief; and 

(iii) a person— 

other than the amicus curiae, its 

members, or its counsel—contributed 

money that was intended to fund 

preparing or submitting the brief and, if 

so, identifies each such person; 

(E) an argument, which 

may be preceded by a summary and 

need not include a statement of the 

applicable standard of review; and 

brief need not comply with Rule 8014, 

but must include the following: 

(A) a table of contents, with page 

references; 

(B) a table of authorities—cases 

(alphabetically arranged), statutes, 

and other authorities—with 

references to the pages of the brief 

where they are cited; 

(C) a concise statement of the identity 

of the amicus curiae, its interest in 

the case, and the source of its 

authority to file; 

(D) unless the amicus curiae is one 

listed in the first sentence of (2), a 

statement that indicates whether: 

(i) a party’s counsel authored the 

brief in whole or in part; 

(ii) a party or a party’s counsel 

contributed money that was 

intended to fund preparing 

or submitting the brief; and 

(iii) a person—other than the 

amicus curiae, its members, 

or its counsel—contributed 

money that was intended to 

fund preparing or submitting 

the brief and, if so, identifies 

each such person; 

(E) an argument, which may be 

preceded by a summary and need 

not include a statement of the 

applicable standard of review; and 

(F) a certificate of compliance, if 

required by Rule 8015(h). 

(5) Length. Except by the district court’s 

or BAP’s permission, an amicus brief 

must be no more than one-half the 

maximum length authorized by these 

rules for a party’s principal brief. If the 

Rules Appendix B-368
(8000 Series) 66 

ORIGINAL REVISION

(F) a certificate of 

compliance, if required by Rule 8015(h). 

(5) Length. Except by the district 

court’s or BAP’s permission, an amicus 

brief must be no more than one-half the 

maximum length authorized by these 

rules for a party’s principal brief. If the 

court grants a party permission to file a 

longer brief, that extension does not 

affect the length of an amicus brief. 

(6) Time for Filing. An amicus 

curiae must file its brief, accompanied by 

a motion for filing when necessary, no 

later than 7 days after the principal brief 

of the party being supported is filed. An 

amicus curiae that does not support 

either party must file its brief no later 

than 7 days after the appellant’s principal 

brief is filed. The district court or BAP 

may grant leave for later filing, 

specifying the time within which an 

opposing party may answer. 

(7) Reply Brief. Except by the 

district court’s or BAP’s permission, an 

amicus curiae may not file a reply brief. 

(8) Oral Argument. An amicus 

curiae may participate in oral argument 

only with the district court’s or BAP’s 

permission. 

court grants a party permission to file a 

longer brief, that extension does not 

affect the length of an amicus brief. 

(6) Time for Filing. An amicus curiae 

must file its brief—accompanied by a 

motion for leave to file when 

required—within 7 days after the 

principal brief of the party being 

supported is filed. An amicus curiae 

that does not support either party must 

file its brief within 7 days after the 

appellant’s principal brief is filed. The 

district court or BAP may grant leave 

for later filing, specifying the time 

within which an opposing party may 

answer. 

(7) Reply Brief. Except by the district 

court’s or BAP’s permission, an amicus 

curiae may not file a reply brief. 

(8) Oral Argument. An amicus curiae 

may participate in oral argument only 

with the district court’s or BAP’s 

permission. 

Rules Appendix B-369
(8000 Series) 67 

ORIGINAL REVISION

(b) DURING CONSIDERATION OF 

WHETHER TO GRANT 

REHEARING. 

(1) Applicability. This Rule 

8017(b) governs amicus filings during a 

district court’s or BAP’s consideration 

of whether to grant rehearing, unless a 

local rule or order in a case provides 

otherwise. 

(2) When Permitted. The United 

States or its officer or agency or a state 

may file an amicus brief without the 

consent of the parties or leave of court. 

Any other amicus curiae may file a brief 

only by leave of court. 

(3) Motion for Leave to File. 

Rule 8017(a)(3) applies to a motion for 

leave. 

(4) Contents, Form, and Length. 

Rule 8017(a)(4) applies to the amicus 

brief. The brief must include a certificate 

under Rule 8015(h) and not exceed 

2,600 words. 

(5) Time for Filing. An amicus 

curiae supporting the motion for 

rehearing or supporting neither party 

must file its brief, accompanied by a 

motion for filing when necessary, no 

later than 7 days after the motion is 

filed. An amicus curiae opposing the 

motion for rehearing must file its 

brief, accompanied by a motion for 

filing when necessary, no later than 

the date set by the court for the 

response. 

(b) During Consideration of Whether to 

Grant Rehearing. 

(1) Applicability. This subdivision (b) 

governs amicus filings during a district 

court’s or BAP’s consideration of 

whether to grant rehearing, unless a 

local rule or order in a particular case 

provides otherwise. 

(2) When Permitted. The United States, 

its officer or agency, or a state may file 

an amicus brief without the parties’ 

consent or leave of court. Any other 

amicus curiae may file a brief only by 

leave of court. 

(3) Motion for Leave to File. Paragraph 

(a)(3) applies to a motion for leave to 

file. 

(4) Content, Form, and Length. 

Paragraph (a)(4) applies to the amicus 

brief. The brief must include a 

certificate under Rule 8015(h) and not 

exceed 2,600 words. 

(5) Time to File. An amicus curiae 

supporting a motion for rehearing or 

supporting neither party must file its 

brief—accompanied by a motion for 

leave to file when required—within 

7 days after the motion is filed. An 

amicus curiae opposing the motion 

for rehearing must file its brief—

accompanied by a motion for leave 

to file when required—no later than 

the date set by the court for the 

response. 

Committee Note

The language of Rule 8017 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-370
(8000 Series) 68 

ORIGINAL REVISION

Rule 8018. Serving and Filing Briefs; 

Appendices 

Rule 8018. Serving and Filing Briefs 

and Appendices 

(a) TIME TO SERVE AND FILE A 

BRIEF. The following rules apply unless 

the district court or BAP by order in a 

particular case excuses the filing of 

briefs or specifies different time limits: 

(1) The appellant must serve and 

file a brief within 30 days after the 

docketing of notice that the record has 

been transmitted or is available 

electronically. 

(2) The appellee must serve and 

file a brief within 30 days after service of 

the appellant’s brief. 

(3) The appellant may serve and 

file a reply brief within 14 days after 

service of the appellee’s brief, but a 

reply brief must be filed at least 7 days 

before scheduled argument unless the 

district court or BAP, for good cause, 

allows a later filing. 

(4) If an appellant fails to file a 

brief on time or within an extended time 

authorized by the district court or BAP, 

an appellee may move to dismiss the 

appeal—or the district court or BAP, 

after notice, may dismiss the appeal on 

its own motion. An appellee who fails to 

file a brief will not be heard at oral 

argument unless the district court or 

BAP grants permission. 

(a) Time to Serve and File a Brief. Unless 

the district court or BAP by order in a 

particular case excuses the filing of briefs or 

sets a different time, the following time 

limits apply: 

(1) Appellant’s Brief. The appellant must 

serve and file a brief within 30 days 

after the docketing of notice that the 

record has been sent or that it is 

available electronically. 

(2) Appellee’s Brief. The appellee must 

serve and file a brief within 30 days 

after the appellant’s brief is served. 

(3) Appellant’s Reply Brief. The 

appellant may serve and file a reply 

brief within 14 days after service of the 

appellee’s brief but at least 7 days 

before scheduled argument—unless 

the district court or BAP, for cause, 

allows a later filing. 

(4) Consequence of Failure to File. If 

an appellant fails to file a brief on time 

or within an extended time authorized 

under (a)(3), the district court or BAP 

may—on its own after notice or on the 

appellee’s motion—dismiss the appeal. 

An appellee who fails to file a brief will 

not be heard at oral argument unless 

the district court or BAP grants 

permission. 

(b) DUTY TO SERVE AND FILE AN 

APPENDIX TO THE BRIEF. 

(b) Duty to Serve and File an Appendix. 

(1) Appellant’s Duty. Subject to (e) and 

Rule 8009(d), the appellant must serve 

Rules Appendix B-371
(8000 Series) 69 

ORIGINAL REVISION

(1) Appellant. Subject to 

subdivision (e) and Rule 8009(d), the 

appellant must serve and file with its 

principal brief excerpts of the record as 

an appendix. It must contain the 

following: 

(A) the relevant entries 

in the bankruptcy docket; 

(B) the complaint and 

answer, or other equivalent filings; 

(C) the judgment, order, 

or decree from which the appeal is 

taken; 

(D) any other orders, 

pleadings, jury instructions, findings, 

conclusions, or opinions relevant to the 

appeal; 

(E) the notice of appeal; 

and 

(F) any relevant 

transcript or portion of it. 

(2) Appellee. The appellee may 

also serve and file with its brief an 

appendix that contains material required 

to be included by the appellant or 

relevant to the appeal or cross-appeal, 

but omitted by the appellant. 

(3) Cross-Appellee. The appellant 

as cross-appellee may also serve and file 

with its response an appendix that 

contains material relevant to matters 

raised initially by the principal brief in 

the cross-appeal, but omitted by the 

cross-appellant. 

and file with its principal brief an 

appendix containing excerpts from the 

record. It must contain: 

(A) the relevant docket entries; 

(B) the complaint and answer, or 

equivalent filings; 

(C) the judgment, order, or decree 

from which the appeal is taken; 

(D) any other orders, pleadings, jury 

instructions, findings, conclusions, 

or opinions relevant to the appeal; 

(E) the notice of appeal; and 

(F) any relevant transcript or portion 

of it. 

(2) Appellee’s Appendix. The appellee 

may serve and file with its brief an 

appendix containing any material that 

is required to be included or is relevant 

to the appeal or cross-appeal but that 

is omitted from the appellant’s 

appendix. 

(3) Cross-Appellee’s Appendix. The 

appellant—as cross-appellee—may 

also serve and file with its response an 

appendix containing material that is 

relevant to matters raised initially by 

the cross-appeal but that is omitted by 

the cross-appellant. 

Rules Appendix B-372
(8000 Series) 70 

ORIGINAL REVISION

(c) FORMAT OF THE APPENDIX. 

The appendix must begin with a table of 

contents identifying the page at which 

each part begins. The relevant docket 

entries must follow the table of 

contents. Other parts of the record must 

follow chronologically. When pages 

from the transcript of proceedings are 

placed in the appendix, the transcript 

page numbers must be shown in 

brackets immediately before the 

included pages. Omissions in the text of 

documents or of the transcript must be 

indicated by asterisks. Immaterial formal 

matters (captions, subscriptions, 

acknowledgments, and the like) should 

be omitted. 

(c) Format of the Appendix. 

(1) Content. The appendix must: 

 (A) begin with a table of contents 

identifying the page at which 

each part begins; 

(B) put the relevant docket entries 

after the table of contents; 

(C) then put other parts of the record 

chronologically; 

(D) when transcript pages are 

included, show the transcript 

page numbers in brackets 

immediately before the included 

pages; and 

(E) indicate omissions from the text 

of a document or of the 

transcript by asterisks. 

(2) Immaterial Formal Matters. The 

appendix should not include

immaterial formal matters, such as 

captions, subscriptions, and 

acknowledgments. 

(d) EXHIBITS. Exhibits designated for 

inclusion in the appendix may be 

reproduced in a separate volume or 

volumes, suitably indexed. 

(d) Reproducing Exhibits. Exhibits 

designated for inclusion in the appendix 

may be reproduced in a separate volume or 

volumes, suitably indexed. 

(e) APPEAL ON THE ORIGINAL 

RECORD WITHOUT AN 

APPENDIX. The district court or BAP 

may, either by rule for all cases or classes 

of cases or by order in a particular case, 

dispense with the appendix and permit 

an appeal to proceed on the original 

record, with the submission of any 

relevant parts of the record that the 

district court or BAP orders the parties 

to file. 

(e) Appeal on the Original Record Without 

an Appendix. The district court or BAP 

may, either by rule for all cases or classes of 

cases or by order in a particular case: 

(1) dispense with the appendix; and 

(2) permit an appeal to proceed on the 

original record with the submission of 

any relevant parts that the district court 

or BAP orders the parties to file. 

Rules Appendix B-373
(8000 Series) 71 

Committee Note

The language of Rule 8018 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-374
(8000 Series) 72 

ORIGINAL REVISION

Rule 8018.1. District-Court Review of 

a Judgment that the Bankruptcy 

Court Lacked the Constitutional 

Authority to Enter 

Rule 8018.1. Reviewing a Judgment 

That the Bankruptcy Court Lacked 

Authority to Enter 

If, on appeal, a district court determines 

that the bankruptcy court did not have 

the power under Article III of the 

Constitution to enter the judgment, 

order, or decree appealed from, the 

district court may treat it as proposed 

findings of fact and conclusions of law. 

If, on appeal, a district court determines that 

the bankruptcy court did not have authority 

under Article III of the Constitution to enter 

the judgment, order, or decree being appealed, 

the district court may treat it as proposed 

findings of fact and conclusions of law. 

Committee Note

The language of Rule 8018.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-375
(8000 Series) 73 

ORIGINAL REVISION

Rule 8019. Oral Argument Rule 8019. Oral Argument 

(a) PARTY’S STATEMENT. Any party 

may file, or a district court or BAP may 

require, a statement explaining why oral 

argument should, or need not, be 

permitted. 

(a) Party’s Statement. Any party may file, or 

a district court or BAP may require, a 

statement explaining why oral argument 

should, or need not, be permitted. 

(b) PRESUMPTION OF ORAL 

ARGUMENT AND EXCEPTIONS. 

Oral argument must be allowed in every 

case unless the district judge—or all the 

BAP judges assigned to hear the 

appeal—examine the briefs and record 

and determine that oral argument is 

unnecessary because 

(1) the appeal is frivolous; 

(2) the dispositive issue or issues 

have been authoritatively decided; or 

(3) the facts and legal 

arguments are adequately presented in 

the briefs and record, and the decisional 

process would not be significantly aided 

by oral argument. 

(b) Presumption of Oral Argument; 

Exceptions. Oral argument must be 

allowed in every case unless the district 

judge—or each BAP judge assigned to hear 

the appeal—examines the briefs and record 

and determines that oral argument is 

unnecessary because: 

(1) the appeal is frivolous; 

(2) the dispositive issue or issues have 

been authoritatively decided; or 

(3) the facts and legal arguments are 

adequately presented in the briefs and 

record, and the decisional process 

would not be significantly aided by oral 

argument. 

(c) NOTICE OF ARGUMENT; 

POSTPONEMENT. The district court 

or BAP must advise all parties of the 

date, time, and place for oral argument, 

and the time allowed for each side. A 

motion to postpone the argument or to 

allow longer argument must be filed 

reasonably in advance of the hearing 

date. 

(c) Notice of Oral Argument; Motion to 

Postpone. The district court or BAP must 

advise all parties of the date, time, and place 

for oral argument and the time allowed for 

each side. A motion to postpone the 

argument or to allow longer argument must 

be filed reasonably before the hearing date. 

(d) ORDER AND CONTENTS OF 

ARGUMENT. The appellant opens 

and concludes the argument. Counsel 

must not read at length from briefs, the 

record, or authorities. 

(d) Order and Content of the Argument. 

The appellant opens and concludes the 

argument. Counsel must not read at length 

from briefs, the record, or authorities. 

Rules Appendix B-376
(8000 Series) 74 

ORIGINAL REVISION

(e) CROSS-APPEALS AND 

SEPARATE APPEALS. If there is a 

cross-appeal, Rule 8016(b) determines 

which party is the appellant and which is 

the appellee for the purposes of oral 

argument. Unless the district court or 

BAP directs otherwise, a cross-appeal or 

separate appeal must be argued when 

the initial appeal is argued. Separate 

parties should avoid duplicative 

argument. 

(e) Cross-Appeals and Separate Appeals. If 

there is a cross-appeal, Rule 8016(b) 

determines which party is the appellant and 

which is the appellee for the purposes of 

oral argument. Unless the district court or 

BAP orders otherwise, a cross-appeal or 

separate appeal must be argued when the 

initial appeal is argued. Separate parties 

should avoid duplicative argument. 

(f) NONAPPEARANCE OF A 

PARTY. If the appellee fails to appear 

for argument, the district court or BAP 

may hear the appellant’s argument. If 

the appellant fails to appear for 

argument, the district court or BAP may 

hear the appellee’s argument. If neither 

party appears, the case will be decided 

on the briefs unless the district court or 

BAP orders otherwise. 

(f) Nonappearance of a Party. If the 

appellee fails to appear for argument, the 

district court or BAP may hear the 

appellant’s argument. If the appellant fails 

to appear for argument, the district court or 

BAP may hear the appellee’s argument. If 

neither party appears, the case will be 

decided on the briefs unless the district 

court or BAP orders otherwise. 

(g) SUBMISSION ON BRIEFS. The 

parties may agree to submit a case for 

decision on the briefs, but the district 

court or BAP may direct that the case be 

argued. 

(g) Submission on Briefs. The parties may 

agree to submit a case for decision on the 

briefs, but the district court or BAP may 

order that the case be argued. 

(h) USE OF PHYSICAL EXHIBITS 

AT ARGUMENT; REMOVAL. 

Counsel intending to use physical 

exhibits other than documents at the 

argument must arrange to place them in 

the courtroom on the day of the 

argument before the court convenes. 

After the argument, counsel must 

remove the exhibits from the courtroom 

unless the district court or BAP directs 

otherwise. The clerk may destroy or 

dispose of the exhibits if counsel does 

not reclaim them within a reasonable 

time after the clerk gives notice to 

remove them. 

(h) Use of Physical Exhibits at Argument; 

Removal. An attorney intending to use 

physical exhibits other than documents at 

the argument must arrange to place them in 

the courtroom on the day of the argument 

before the court convenes. After the 

argument, the attorney must remove the 

exhibits from the courtroom unless the 

district court or BAP orders otherwise. The 

clerk may destroy or dispose of them if the 

attorney does not reclaim them within a 

reasonable time after the clerk gives notice 

to do so. 

Rules Appendix B-377
(8000 Series) 75 

Committee Note

The language of Rule 8019 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-378
(8000 Series) 76 

ORIGINAL REVISION

Rule 8020. Frivolous Appeal and 

Other Misconduct 

Rule 8020. Frivolous Appeal; Other 

Misconduct 

(a) FRIVOLOUS APPEAL— 

DAMAGES AND COSTS. If the 

district court or BAP determines that an 

appeal is frivolous, it may, after a 

separately filed motion or notice from 

the court and reasonable opportunity to 

respond, award just damages and single 

or double costs to the appellee. 

(a) Frivolous Appeal; Damages and Costs. 

If the district court or BAP determines that 

an appeal is frivolous, then after a separate 

motion is filed or the court gives notice and 

a reasonable opportunity to respond, it may 

award just damages and single or double 

costs to the appellee. 

(b) OTHER MISCONDUCT. The 

district court or BAP may discipline or 

sanction an attorney or party appearing 

before it for other misconduct, including 

failure to comply with any court order. 

First, however, the court must afford the 

attorney or party reasonable notice, an 

opportunity to show cause to the 

contrary, and, if requested, a hearing. 

(b) Other Misconduct; Sanctions. The 

district court or BAP may discipline or 

sanction an attorney or party appearing 

before it for other misconduct, including a 

failure to comply with a court order. But 

the court must first give the attorney or 

party reasonable notice and an opportunity 

to show cause to the contrary—and if 

requested, grant a hearing. 

Committee Note

The language of Rule 8020 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-379
(8000 Series) 77 

ORIGINAL REVISION

Rule 8021. Costs Rule 8021. Costs 

(a) AGAINST WHOM ASSESSED. 

The following rules apply unless the law 

provides or the district court or BAP 

orders otherwise: 

(1) if an appeal is dismissed, 

costs are taxed against the appellant, 

unless the parties agree otherwise; 

(2) if a judgment, order, or 

decree is affirmed, costs are taxed 

against the appellant; 

(3) if a judgment, order, or 

decree is reversed, costs are taxed 

against the appellee; 

(4) if a judgment, order, or 

decree is affirmed or reversed in part, 

modified, or vacated, costs are taxed 

only as the district court or BAP orders. 

(a) Against Whom Assessed. The following 

rules apply unless the law provides or the 

district court or BAP orders otherwise: 

(1) if an appeal is dismissed, costs are 

taxed against the appellant, unless the 

parties agree otherwise; 

(2) if a judgment is affirmed, costs are 

taxed against the appellant; 

(3) if a judgment is reversed, costs are 

taxed against the appellee; 

(4) if a judgment is affirmed or reversed 

in part, modified, or vacated, costs are 

taxed only as the district court or 

BAP orders. 

(b) COSTS FOR AND AGAINST 

THE UNITED STATES. Costs for or 

against the United States, its agency, or 

its officer may be assessed under 

subdivision (a) only if authorized by law. 

(b) Costs for and Against the United States. 

Costs for or against the United States, its 

agency, or its officer may be assessed under 

(a) only if authorized by law. 

(c) COSTS ON APPEAL TAXABLE 

IN THE BANKRUPTCY COURT. 

The following costs on appeal are 

taxable in the bankruptcy court for the 

benefit of the party entitled to costs 

under this rule: 

(1) the production of any 

required copies of a brief, appendix, 

exhibit, or the record; 

(c) Costs on Appeal Taxable in the 

Bankruptcy Court. The following costs on 

appeal are taxable in the bankruptcy court 

for the benefit of the party entitled to costs 

under this rule: 

(1) producing any required copies of a 

brief, appendix, exhibit, or the record; 

(2) preparing and sending the record; 

(3) the reporter’s transcript, if needed to 

determine the appeal; 

Rules Appendix B-380
(8000 Series) 78 

ORIGINAL REVISION

(2) the preparation and 

transmission of the record; 

(3) the reporter’s transcript, if 

needed to determine the appeal; 

(4) premiums paid for a bond or 

other security to preserve rights pending 

appeal; and 

(5) the fee for filing the notice 

of appeal. 

(4) premiums paid for a bond or other 

security to preserve rights pending 

appeal; and 

(5) the fee for filing the notice of appeal. 

(d) BILL OF COSTS; OBJECTIONS. 

A party who wants costs taxed must, 

within 14 days after entry of judgment 

on appeal, file with the bankruptcy clerk 

and serve an itemized and verified bill of 

costs. Objections must be filed within 14 

days after service of the bill of costs, 

unless the bankruptcy court extends the 

time. 

(d) Bill of Costs; Objections. A party who 

wants costs taxed must, within 14 days after 

a judgment on appeal is entered, file with 

the bankruptcy clerk and serve an itemized 

and verified bill of costs. Objections must 

be filed within 14 days after the bill of costs 

is served, unless the bankruptcy court 

extends the time. 

Committee Note

The language of Rule 8021 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-381
(8000 Series) 79 

ORIGINAL REVISION

Rule 8022. Motion for Rehearing Rule 8022. Motion for Rehearing 

(a) TIME TO FILE; CONTENTS; 

RESPONSE; ACTION BY THE 

DISTRICT COURT OR BAP IF 

GRANTED. 

(1) Time. Unless the time is 

shortened or extended by order or local 

rule, any motion for rehearing by the 

district court or BAP must be filed 

within 14 days after entry of judgment 

on appeal. 

(2) Contents. The motion must 

state with particularity each point of law 

or fact that the movant believes the 

district court or BAP has overlooked or 

misapprehended and must argue in 

support of the motion. Oral argument is 

not permitted. 

(3) Response. Unless the district 

court or BAP requests, no response to a 

motion for rehearing is permitted. But 

ordinarily, rehearing will not be granted 

in the absence of such a request. 

(4) Action by the District Court or 

BAP. If a motion for rehearing is 

granted, the district court or BAP may 

do any of the following: 

(A) make a final 

disposition of the appeal without 

reargument; 

(B) restore the case to 

the calendar for reargument or 

resubmission; or 

(C) issue any other 

appropriate order. 

(a) Time to File; Content; Response; 

Action by the District Court or BAP 

If Granted. 

(1) Time. Unless the time is shortened or 

extended by order or local rule, any 

motion for rehearing by the district 

court or BAP must be filed within 14 

days after a judgment on appeal is 

entered. 

(2) Content. The motion must state with 

particularity each point of law or fact 

that the movant believes the district 

court or BAP has overlooked or 

misapprehended and must argue in 

support of the motion. 

(3) Response. Unless the district court or 

BAP requests, no response to a motion 

for rehearing is permitted. But 

ordinarily, rehearing will not be 

granted without such a request. 

(4) No Oral Argument. Oral argument 

is not permitted. 

(5) Action by the District Court or 

BAP. If a motion for rehearing is 

granted, the district court or BAP 

may do any of the following: 

(A) make a final disposition of the 

appeal without reargument; 

(B) restore the case to the calendar for 

reargument or resubmission; or 

(C) issue any other appropriate order. 

Rules Appendix B-382
(8000 Series) 80 

ORIGINAL REVISION

(b) FORM OF THE MOTION; 

LENGTH. The motion must comply in 

form with Rule 8013(f)(1) and (2). 

Copies must be served and filed as 

provided by Rule 8011. Except by the 

district court’s or BAP’s permission: 

(1) a motion for rehearing 

produced using a computer must include 

a certificate under Rule 8015(h) and not 

exceed 3,900 words; and 

(2) a handwritten or typewritten 

motion must not exceed 15 pages. 

(b) Form; Length. A motion for rehearing 

must comply in form with Rule 8013(f)(1) 

and (2). Copies must be served and filed as 

Rule 8011 provides. Except by the district 

court’s or BAP’s permission: 

(1) a motion produced using a computer 

must include a certificate under 

Rule 8015(h) and not exceed 3,900 

words; and 

(2) a handwritten or typewritten 

motion must not exceed 15 pages. 

Committee Note

The language of Rule 8022 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-383
(8000 Series) 81 

ORIGINAL REVISION

Rule 8023. Voluntary Dismissal Rule 8023. Voluntary Dismissal 

(a) STIPULATED DISMISSAL. The 

clerk of the district court or BAP must 

dismiss an appeal if the parties file a 

signed dismissal agreement specifying 

how costs are to be paid and pay any 

court fees that are due. 

(a) Stipulated Dismissal. The clerk of the 

district court or BAP must dismiss an 

appeal if the parties file a signed dismissal 

agreement specifying how costs are to be 

paid and pay any court fees that are due. 

(b) APPELLANT’S MOTION TO 

DISMISS. An appeal may be dismissed 

on the appellant’s motion on terms 

agreed to by the parties or fixed by the 

district court or BAP. 

(b) Appellant’s Motion to Dismiss. An 

appeal may be dismissed on the appellant’s 

motion on terms agreed to by the parties or 

fixed by the district court or BAP. 

(c) OTHER RELIEF. A court order is 

required for any relief under Rule 

8023(a) or (b) beyond the dismissal of 

an appeal—including approving a 

settlement, vacating an action of the 

bankruptcy court, or remanding the 

case to it. 

(c) Other Relief. A court order is required for 

any relief beyond the dismissal of an 

appeal—including approving a settlement, 

vacating an action of the bankruptcy court, 

or remanding the case to it. 

(d) COURT APPROVAL. This rule 

does not alter the legal requirements 

governing court approval of a 

settlement, payment, or other 

consideration. 

(d) Court Approval. This rule does not alter 

the legal requirements governing court 

approval of a settlement, payment, or other 

consideration. 

Committee Note

The language of Rule 8023 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-384
(8000 Series) 82 

Rule 8023.1. Substitution of Parties 

This set of restyled rules does not include new Rule 8023.1, which is set out infra at 

Rules Appendix B-464. 

Rules Appendix B-385
(8000 Series) 83 

ORIGINAL REVISION

Rule 8024. Clerk’s Duties on 

Disposition of the Appeal 

Rule 8024. Clerk’s Duties on 

Disposition of the Appeal 

(a) JUDGMENT ON APPEAL. The 

district or BAP clerk must prepare, sign, 

and enter the judgment after receiving 

the court’s opinion or, if there is no 

opinion, as the court instructs. Noting 

the judgment on the docket constitutes 

entry of judgment. 

(a) Preparing the Judgment. After receiving 

the court’s opinion—or instructions if there 

is no opinion—the district or BAP clerk 

must: 

(1) prepare and sign the judgment; and 

(2) note it on the docket, which act 

constitutes entry of judgment. 

(b) NOTICE OF A JUDGMENT. 

Immediately upon the entry of a 

judgment, the district or BAP clerk 

must: 

(1) transmit a notice of the entry 

to each party to the appeal, to the 

United States trustee, and to the 

bankruptcy clerk, together with a copy 

of any opinion; and 

(2) note the date of the 

transmission on the docket. 

(b) Giving Notice of the Judgment. 

Immediately after a judgment is entered, 

the district or BAP clerk must: 

(1) send notice of its entry, together with a 

copy of any opinion, to: 

 the parties to the appeal; 

 the United States trustee; and 

 the bankruptcy clerk; and 

(2) note on the docket the date the notice 

was sent. 

(c) RETURNING PHYSICAL ITEMS. 

If any physical items were transmitted as 

the record on appeal, they must be 

returned to the bankruptcy clerk on 

disposition of the appeal. 

(c) Returning Physical Items. On 

disposition of the appeal, the district or 

BAP clerk must return to the bankruptcy 

clerk any physical items sent as the record 

on appeal. 

Committee Note

The language of Rule 8024 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-386
(8000 Series) 84 

ORIGINAL REVISION

Rule 8025. Stay of a District Court or 

BAP Judgment 

Rule 8025. Staying a District Court or 

BAP Judgment 

(a) AUTOMATIC STAY OF 

JUDGMENT ON APPEAL. Unless the 

district court or BAP orders otherwise, 

its judgment is stayed for 14 days after 

entry. 

(a) Automatic Stay of a Judgment on 

Appeal. Unless the district court or BAP 

orders otherwise, its judgment is stayed for 

14 days after its entry. 

(b) STAY PENDING APPEAL TO 

THE COURT OF APPEALS. 

(1) In General. On a party’s 

motion and notice to all other parties to 

the appeal, the district court or BAP 

may stay its judgment pending an appeal 

to the court of appeals. 

(2) Time Limit. The stay must 

not exceed 30 days after the judgment is 

entered, except for cause shown. 

(3) Stay Continued. If, before a 

stay expires, the party who obtained the 

stay appeals to the court of appeals, the 

stay continues until final disposition by 

the court of appeals. 

(4) Bond or Other Security. A bond 

or other security may be required as a 

condition for granting or continuing a 

stay of the judgment. A bond or other 

security may be required if a trustee 

obtains a stay, but not if a stay is 

obtained by the United States or its 

officer or agency or at the direction of 

any department of the United States 

government. 

(b) Stay Pending an Appeal to the 

United States Court of Appeals. 

(1) In General. On a party’s motion with 

notice to all other parties to the 

appeal, the district court or BAP may 

stay its judgment pending an appeal to 

the court of appeals. 

(2) Time Limit. Except for cause, the 

stay must not exceed 30 days after the 

judgment is entered. 

(3) Stay Continued When an Appeal Is 

Filed. If, before a stay expires, the 

party who obtained it appeals to a 

court of appeals, the stay continues 

until final disposition by the court of 

appeals. 

(4) Bond or Other Security. A bond or 

other security may be required as a 

condition for granting or continuing a 

stay. If a trustee obtains a stay, a bond 

or other security may be required. But 

neither is required if a stay is obtained 

by the United States or its officer or 

agency, or by direction of any 

department of the United States 

government. 

(c) AUTOMATIC STAY OF AN 

ORDER, JUDGMENT, OR DECREE 

OF A BANKRUPTCY COURT. If the 

(c) Automatic Stay of the Bankruptcy 

Court’s Order, Judgment, or Decree. If 

the district court or BAP enters a judgment 

Rules Appendix B-387
(8000 Series) 85 

ORIGINAL REVISION

district court or BAP enters a judgment 

affirming an order, judgment, or decree 

of the bankruptcy court, a stay of the 

district court’s or BAP’s judgment 

automatically stays the bankruptcy 

court’s order, judgment, or decree for 

the duration of the appellate stay. 

affirming the bankruptcy court’s order, 

judgment, or decree, a stay of the district 

court’s or BAP’s judgment automatically 

stays the bankruptcy court’s order, 

judgment, or decree while the appellate 

stay is in effect. 

(d) POWER OF A COURT OF 

APPEALS NOT LIMITED. This rule 

does not limit the power of a court of 

appeals or any of its judges to do the 

following: 

(1) stay a judgment pending 

appeal; 

(2) stay proceedings while an 

appeal is pending; 

(3) suspend, modify, restore, 

vacate, or grant a stay or an injunction 

while an appeal is pending; or 

(4) issue any order appropriate 

to preserve the status quo or the 

effectiveness of any judgment to be 

entered. 

(d) Power of a Court of Appeals or Its 

Judges Not Limited. This rule does not 

limit the power of a court of appeals or 

any of its judges to: 

(1) stay a judgment pending appeal; 

(2) stay proceedings while an appeal is 

pending; 

(3) suspend, modify, restore, vacate, or 

grant a stay or injunction while an 

appeal is pending; or 

(4) issue any order appropriate to preserve 

the status quo or the effectiveness of 

any judgment that might be entered. 

Committee Note

The language of Rule 8025 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-388
(8000 Series) 86 

ORIGINAL REVISION

Rule 8026. Rules by Circuit Councils 

and District Courts; Procedure When 

There is No Controlling Law 

Rule 8026. Making and Amending 

Local Rules; Procedure When There 

Is No Controlling Law 

(a) LOCAL RULES BY CIRCUIT 

COUNCILS AND DISTRICT 

COURTS. 

(1) Adopting Local Rules. A circuit 

council that has authorized a BAP under 

28 U.S.C. § 158(b) may make and 

amend rules governing the practice and 

procedure on appeal from a judgment, 

order, or decree of a bankruptcy court 

to the BAP. A district court may make 

and amend rules governing the practice 

and procedure on appeal from a 

judgment, order, or decree of a 

bankruptcy court to the district court. 

Local rules must be consistent with, but 

not duplicative of, Acts of Congress and 

these Part VIII rules. Rule 83 F.R.Civ.P. 

governs the procedure for making and 

amending rules to govern appeals. 

(2) Numbering. Local rules must 

conform to any uniform numbering 

system prescribed by the Judicial 

Conference of the United States. 

(3) Limitation on Imposing 

Requirements of Form. A local rule 

imposing a requirement of form must 

not be enforced in a way that causes a 

party to lose any right because of a 

nonwillful failure to comply. 

(a) Local Rules. 

(1) Making and Amending Local 

Rules. 

(A) BAP Local Rules. A circuit council 

that has authorized a BAP under 

28 U.S.C. § 158(b) may make and 

amend local rules governing the 

practice and procedure on appeal 

to the BAP from a bankruptcy 

court’s judgment, order, or 

decree. 

(B) District-Court Local Rules. A district 

court may make and amend local 

rules governing the practice and 

procedure on appeal to the district 

court from a bankruptcy court’s 

judgment, order, or decree. 

(C) Procedure. Fed. R. Civ. P. 83 

governs the procedure for making 

and amending local rules. A local 

rule must be consistent with—but 

not duplicate—an Act of Congress 

and these Part VIII rules. 

(2) Numbering. Local rules must 

conform to any uniform numbering 

system prescribed by the Judicial 

Conference of the United States. 

(3) Limitation on Enforcing a Local 

Rule Relating to Form. A local rule 

imposing a requirement of form must 

not be enforced in a way that causes a 

party to lose any right because of a 

nonwillful failure to comply. 

(b) PROCEDURE WHEN THERE IS 

NO CONTROLLING LAW. 

(1) In General. A district court 

or BAP may regulate practice in any 

manner consistent with federal law, 

(b) Procedure When There Is No 

Controlling Law. A judge may regulate 

practice in any manner consistent with 

federal law, these rules, the Official Forms, 

and the district’s local rules. For any 

requirement set out elsewhere, a 

Rules Appendix B-389
(8000 Series) 87 

ORIGINAL REVISION

applicable federal rules, the Official 

Forms, and local rules. 

(2) Limitation on Sanctions. No 

sanction or other disadvantage may be 

imposed for noncompliance with any 

requirement not in federal law, 

applicable federal rules, the Official 

Forms, or local rules unless the alleged 

violator has been furnished in the 

particular case with actual notice of the 

requirement. 

sanction or other disadvantage may 

be imposed for noncompliance only 

if the alleged violator was given 

actual notice of the requirement in 

the particular case.

Committee Note

The language of Rule 8026 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-390
(8000 Series) 88 

ORIGINAL REVISION

Rule 8027. Notice of a Mediation 

Procedure 

Rule 8027. Notice of a Mediation 

Procedure 

If the district court or BAP has a 

mediation procedure applicable to 

bankruptcy appeals, the clerk must 

notify the parties promptly after 

docketing the appeal of: 

(a) the requirements of the 

mediation procedure; and 

(b) any effect the mediation 

procedure has on the time to file briefs. 

If the district court or BAP has a mediation 

procedure applicable to bankruptcy appeals, the 

clerk must, after docketing the appeal, 

promptly notify the parties of: 

(a) the requirements of the mediation 

procedure; and 

(b) any effect it has on the time to file briefs. 

Committee Note

The language of Rule 8027 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-391
(8000 Series) 89 

ORIGINAL REVISION

Rule 8028. Suspension of Rules in 

Part VIII 

Rule 8028. Suspending These 

Part VIII Rules 

In the interest of expediting decision or 

for other cause in a particular case, the 

district court or BAP, or where 

appropriate the court of appeals, may 

suspend the requirements or provisions 

of the rules in Part VIII, except Rules 

8001, 8002, 8003, 8004, 8005, 8006, 

8007, 8012, 8020, 8024, 8025, 8026, and 

8028. 

To expedite a decision or for other cause, a 

district court or BAP—or when appropriate, the 

court of appeals—may, in a particular case, 

suspend the requirements of these Part VIII 

rules, except Rules 8001–8007, 8012, 8020, 

8024–8026, and 8028. 

Committee Note

The language of Rule 8028 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-392
(9000 Series) 

PROPOSED AMENDMENTS TO THE

FEDERAL RULES OF BANKRUPTCY PROCEDURE

9000 Series 

Rules Appendix B-393
(9000 Series) 2 

ORIGINAL REVISION

PART IX—GENERAL PROVISIONS PART IX. GENERAL PROVISIONS

Rule 9001. General Definitions Rule 9001. Definitions 

The definitions of words and phrases in 

§§ 101, 902, 1101, and 1502 of the Code, 

and the rules of construction in § 102, 

govern their use in these rules. In 

addition, the following words and 

phrases used in these rules have the 

meanings indicated: 

 (1) “Bankruptcy clerk” means a 

clerk appointed pursuant to 28 U.S.C. 

§ 156(b). 

 (2) “Bankruptcy Code” or 

“Code” means title 11 of the United 

States Code. 

 (3) “Clerk” means bankruptcy 

clerk, if one has been appointed, 

otherwise clerk of the district court. 

 (4) “Court” or “judge” means 

the judicial officer before whom a case 

or proceeding is pending. 

 (5) “Debtor.” When any act is 

required by these rules to be performed 

by a debtor or when it is necessary to 

compel attendance of a debtor for 

examination and the debtor is not a 

natural person: (A) if the debtor is a 

corporation, “debtor” includes, if 

designated by the court, any or all of its 

officers, members of its board of 

directors or trustees or of a similar 

controlling body, a controlling 

stockholder or member, or any other 

person in control; (B) if the debtor is a 

partnership, “debtor” includes any or all 

of its general partners or, if designated 

by the court, any other person in 

control. 

 (6) “Firm” includes a partnership 

or professional corporation of attorneys 

or accountants. 

 (7) “Judgment” means any 

(a) In the Code. The definitions of words and 

phrases in §§ 101, 902, 1101, and 1502 and 

the rules of construction in § 102 apply in 

these rules. 

(b) In These Rules. In these rules, the 

following words and phrases have these 

meanings: 

(1) “Bankruptcy clerk” means a clerk 

appointed under 28 U.S.C. § 156(b). 

(2) “Clerk” means a bankruptcy clerk if 

one has been appointed; otherwise, it 

means the district-court clerk. 

(3) “Code” means Title 11 of the United 

States Code. 

(4) “Court” or “judge” means the judicial 

officer who presides over the case or 

proceeding. 

(5) “Debtor,” when the debtor is not a 

natural person and either is required by 

these rules to perform an act or must 

appear for examination, includes: 

(A) if the debtor is a corporation and if 

the court so designates: 

 any or all of its officers, 

directors, trustees, or members 

of a similar controlling body; 

 a controlling stockholder or 

member; or 

 any other person in control; or 

(B) if the debtor is a partnership: 

 any or all of its general 

partners; or 

 if the court so designates, any 

other person in control. 

(6) “Firm” includes a partnership or 

professional corporation of attorneys 

Rules Appendix B-394
(9000 Series) 3 

ORIGINAL REVISION

appealable order. 

 (8) “Mail” means first class, 

postage prepaid. 

 (9) “Notice provider” means any 

entity approved by the Administrative 

Office of the United States Courts to 

give notice to creditors under Rule 

2002(g)(4). 

 (10) “Regular associate” means 

any attorney regularly employed by, 

associated with, or counsel to an 

individual or firm. 

 (11) “Trustee” includes a debtor 

in possession in a chapter 11 case. 

 (12) “United States trustee” 

includes an assistant United States 

trustee and any designee of the United 

States trustee. 

or accountants. 

(7) “Judgment” means any appealable 

order. 

(8) “Mail” means first-class mail, postage 

prepaid. 

(9) “Notice provider” means an entity 

approved by the Administrative Office 

of the United States Courts to give 

notice to creditors under 

Rule 2002(g)(4). 

(10) “Regular associate” means an attorney 

regularly employed by, associated with, 

or counsel to an individual or firm. 

(11) “Trustee” includes a debtor in 

possession in a Chapter 11 case. 

(12) “United States trustee” includes an 

assistant United States trustee and a 

United States trustee’s designee. 

Committee Note 

The language of Rule 9001 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-395
(9000 Series) 4 

ORIGINAL REVISION

Rule 9002. Meanings of Words in the 

Federal Rules of Civil Procedure 

When Applicable to Cases Under the 

Code 

Rule 9002. Meaning of Words in the 

Federal Rules of Civil Procedure 

The following words and phrases used 

in the Federal Rules of Civil Procedure 

made applicable to cases under the Code 

by these rules have the meanings 

indicated unless they are inconsistent 

with the context: 

 (1) “Action” or “civil action” 

means an adversary proceeding or, when 

appropriate, a contested petition, or 

proceedings to vacate an order for relief 

or to determine any other contested 

matter. 

 (2) “Appeal” means an appeal as 

provided by 28 U.S.C. § 158. 

 (3) “Clerk” or “clerk of the 

district court” means the court officer 

responsible for the bankruptcy records 

in the district. 

 (4) “District Court,” “trial 

court,” “court,” “district judge,” or 

“judge” means bankruptcy judge if the 

case or proceeding is pending before a 

bankruptcy judge. 

 (5) “Judgment” includes any 

order appealable to an appellate court. 

Unless they are inconsistent with the context, 

the following words and phrases in the Federal 

Rules of Civil Procedure—when made 

applicable by these rules—have these meanings: 

(a) “Action” or “civil action” means an 

adversary proceeding or, when appropriate: 

(1) a contested petition; 

(2) a proceeding to vacate an order for 

relief; or 

(3) a proceeding to determine any other 

contested matter. 

(b) “Appeal” means an appeal under 28 U.S.C. 

§ 158. 

(c) “Clerk” or “clerk of the district court” 

means the officer responsible for 

maintaining the district’s bankruptcy 

records. 

(d) “District court,” “trial court,” “court,” 

“district judge,” or “judge” means 

bankruptcy judge if the case or proceeding 

is pending before a bankruptcy judge. 

(e) “Judgment” includes any appealable order. 

Committee Note 

The language of Rule 9002 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-396
(9000 Series) 5 

ORIGINAL REVISION

Rule 9003. Prohibition of Ex Parte 

Contacts 

Rule 9003. Ex Parte Contacts 

Prohibited 

(a) GENERAL PROHIBITION. 

Except as otherwise permitted by 

applicable law, any examiner, any party 

in interest, and any attorney, accountant, 

or employee of a party in interest shall 

refrain from ex parte meetings and 

communications with the court 

concerning matters affecting a particular 

case or proceeding.

(a) In General. Unless permitted by applicable 

law, the following persons must refrain 

from ex parte meetings and 

communications with the court about 

matters affecting a particular case or 

proceeding: 

 an examiner; 

 a party in interest; 

 a party in interest’s attorney, 

accountant, or employee; and 

 the United States trustee and any of its 

assistants, agents, or employees. 

(b) UNITED STATES TRUSTEE. 

Except as otherwise permitted by 

applicable law, the United States trustee 

and assistants to and employees or 

agents of the United States trustee shall 

refrain from ex parte meetings and 

communications with the court 

concerning matters affecting a particular 

case or proceeding. This rule does not 

preclude communications with the court 

to discuss general problems of 

administration and improvement of 

bankruptcy administration, including the 

operation of the United States trustee 

system. 

(b) Exception for a United States Trustee.

A United States trustee and any of its 

assistants, agents, or employees are not 

prohibited from communicating with the 

court about general administrative 

problems and improving bankruptcy 

administration—including the operation of 

the United States trustee system. 

Committee Note 

The language of Rule 9003 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-397
(9000 Series) 6 

ORIGINAL REVISION

Rule 9004. General Requirements of 

Form 

Rule 9004. General Requirements of 

Form 

(a) LEGIBILITY; ABBREVIATIONS. 

All petitions, pleadings, schedules and 

other papers shall be clearly legible. 

Abbreviations in common use in the 

English language may be used.

(a) Legibility; Abbreviations. A petition, 

pleading, schedule, or other document must 

be clearly legible. Commonly used English 

abbreviations are acceptable. 

(b) CAPTION. Each paper filed shall 

contain a caption setting forth the name 

of the court, the title of the case, the 

bankruptcy docket number, and a brief 

designation of the character of the 

paper. 

(b) Caption. A document presented for filing 

must contain a caption that sets forth: 

(1) the court’s name; 

(2) the case’s title; 

(3) the case number and, if appropriate, 

adversary-proceeding number; and 

(4) a brief designation of the document’s 

character. 

Committee Note 

The language of Rule 9004 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-398
(9000 Series) 7 

ORIGINAL REVISION

Rule 9005. Harmless Error Rule 9005. Harmless Error 

Rule 61 F.R.Civ.P. applies in cases under 

the Code. When appropriate, the court 

may order the correction of any error or 

defect or the cure of any omission which 

does not affect substantial rights.

Fed. R. Civ. P. 61 applies in a bankruptcy case. 

When appropriate, the court may order the 

correction of any error or defect—or the cure of 

any omission—that does not affect a substantial 

right. 

Committee Note 

The language of Rule 9005 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-399
(9000 Series) 8 

ORIGINAL REVISION

Rule 9005.1. Constitutional Challenge 

to a Statute—Notice, Certification, 

and Intervention 

Rule 9005.1. Constitutional Challenge 

to a Statute—Notice, Certification, 

and Intervention 

Rule 5.1 F.R.Civ.P. applies in cases 

under the Code.

Fed. R. Civ. P. 5.1 applies in a bankruptcy case. 

Committee Note 

The language of Rule 9005.1 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-400
(9000 Series) 9 

ORIGINAL REVISION

Rule 9006. Computing and 

Extending Time; Time for Motion 

Papers1

Rule 9006. Computing and Extending 

Time; Motions2

(a) COMPUTING TIME. The 

following rules apply in computing any 

time period specified in these rules, in 

the Federal Rules of Civil Procedure, in 

any local rule or court order, or in any 

statute that does not specify a method of 

computing time. 

 (1) Period Stated in Days or a Longer 

Unit. When the period is stated in days 

or a longer unit of time: 

 (A) exclude the day of 

the event that triggers the period; 

 (B) count every day, 

including intermediate Saturdays, 

Sundays, and legal holidays; and 

 (C) include the last day 

of the period, but if the last day is a 

Saturday, Sunday, or legal holiday, the 

period continues to run until the end of 

the next day that is not a Saturday, 

Sunday, or legal holiday. 

 (2) Period Stated in Hours. When 

the period is stated in hours: 

 (A) begin counting 

immediately on the occurrence of the 

event that triggers the period; 

 (B) count every hour, 

including hours during intermediate 

Saturdays, Sundays, and legal holidays; 

and 

 (C) if the period would 

end on a Saturday, Sunday, or legal 

holiday, then continue the period until 

the same time on the next day that is not 

(a) Computing Time. The following rules 

apply in computing any time period 

specified in these rules, in the Federal Rules 

of Civil Procedure, in any local rule or court 

order, or in any statute that does not 

specify a method of computing time. 

(1) Period Stated in Days or a Longer 

Unit. When the period is stated in 

days or a longer unit of time: 

(A) exclude the day of the event that 

triggers the period; 

(B) count every day, including 

intermediate Saturdays, Sundays, 

and legal holidays; and 

(C) include the last day of the period, 

but if the last day is a Saturday, 

Sunday, or legal holiday, the period 

continues to run until the end of 

the next day that is not a Saturday, 

Sunday, or legal holiday. 

(2) Period Stated in Hours. When the 

period is stated in hours: 

(A) begin counting immediately on the 

occurrence of the event that 

triggers the period; 

(B) count every hour, including hours 

during intermediate Saturdays, 

Sundays, and legal holidays; and 

(C) if the period would end on a 

Saturday, Sunday, or legal holiday, 

then continue the period until the 

same time on the next day that is 

not a Saturday, Sunday, or legal 

holiday. 

1 Rule 9006 original text shows changes on track to go into effect on December 1, 2023. 2 The rule as set out here shows only the restyling changes. A separate substantive amendment to Rule 9006 is 

set out (along with these style changes) infra at Rules Appendix B-468. 

Rules Appendix B-401
(9000 Series) 10 

ORIGINAL REVISION

a Saturday, Sunday, or legal holiday. 

 (3) Inaccessibility of Clerk’s Office. 

Unless the court orders otherwise, if the 

clerk’s office is inaccessible: 

 (A) on the last day for 

filing under Rule 9006(a)(1), then the 

time for filing is extended to the first 

accessible day that is not a Saturday, 

Sunday, or legal holiday; or 

 (B) during the last hour 

for filing under Rule 9006(a)(2), then the 

time for filing is extended to the same 

time on the first accessible day that is 

not a Saturday, Sunday, or legal holiday. 

 (4) “Last Day” Defined. Unless a 

different time is set by a statute, local 

rule, or order in the case, the last day 

ends: 

 (A) for electronic filing, 

at midnight in the court’s time zone; and 

 (B) for filing by other 

means, when the clerk’s office is 

scheduled to close. 

 (5) “Next Day” Defined. The 

“next day” is determined by continuing 

to count forward when the period is 

measured after an event and backward 

when measured before an event. 

 (6) “Legal Holiday” Defined. “Legal 

holiday” means: 

 (A) the day set aside by 

statute for observing New Year’s Day, 

Martin Luther King Jr.’s Birthday, 

Washington’s Birthday, Memorial Day, 

Juneteenth Independence Day, 

Independence Day, Labor Day, 

Columbus Day, Veterans’ Day, 

Thanksgiving Day, or Christmas Day; 

 (B) any day declared a 

holiday by the President or Congress; 

(3) Inaccessibility of the Clerk’s Office 

When a Filing Is Due. Unless the 

court orders otherwise, if the clerk’s 

office is inaccessible: 

(A) on the last day for filing under (1), 

then the time for filing is extended 

to the first accessible day that is 

not a Saturday, Sunday, or legal 

holiday; or 

(B) during the last hour for filing 

under (2), then the time for filing is 

extended to the same time on the 

first accessible day that is not a 

Saturday, Sunday, or legal holiday. 

(4) “Last Day” Defined. Unless a 

different time is set by statute, local 

rule, or order in a case, the last day 

ends: 

(A) for electronic filing, at midnight in 

the court’s time zone; and 

(B) for filing by other means, when the 

clerk’s office is scheduled to close. 

(5) “Next Day” Defined. The “next day” 

is determined by continuing to count 

forward when the period is measured 

after an event, and backward when 

measured before an event. 

(6) “Legal Holiday” Defined. “Legal 

holiday” means: 

(A) the day set aside by statute for 

observing New Year’s Day, 

Birthday of Martin Luther King Jr., 

Washington’s Birthday, Memorial 

Day, Juneteenth National 

Independence Day, Independence 

Day, Labor Day, Columbus Day, 

Veteran’s Day, Thanksgiving Day, 

or Christmas Day; 

(B) any day declared a holiday by the 

President or Congress; and 

(C) for periods that are measured after 

Rules Appendix B-402
(9000 Series) 11 

ORIGINAL REVISION

and 

 (C) for periods that are 

measured after an event, any other day 

declared a holiday by the state where the 

district court is located. (In this rule, 

“state” includes the District of Columbia 

and any United States commonwealth or 

territory.)

an event, any other day declared a 

holiday by the state where the 

district court is located. (In this 

rule, “state” includes the District of 

Columbia and any United States 

commonwealth or territory.) 

(b) ENLARGEMENT. 

 (1) In General. Except as 

provided in paragraphs (2) and (3) of 

this subdivision, when an act is required 

or allowed to be done at or within a 

specified period by these rules or by a 

notice given thereunder or by order of 

court, the court for cause shown may at 

any time in its discretion (1) with or 

without motion or notice order the 

period enlarged if the request therefor is 

made before the expiration of the period 

originally prescribed or as extended by a 

previous order or (2) on motion made 

after the expiration of the specified 

period permit the act to be done where 

the failure to act was the result of 

excusable neglect. 

 (2) Enlargement Not Permitted. The 

court may not enlarge the time for 

taking action under Rules 1007(d), 

2003(a) and (d), 7052, 9023, and 9024. 

 (3) Enlargement Governed By Other 

Rules. The court may enlarge the time 

for taking action under Rules 1006(b)(2), 

1017(e), 3002(c), 4003(b), 4004(a), 

4007(c), 4008(a), 8002, and 9033, only to 

the extent and under the conditions 

stated in those rules. In addition, the 

court may enlarge the time to file the 

statement required under Rule 

1007(b)(7), and to file schedules and 

statements in a small business case 

under § 1116(3) of the Code, only to the 

extent and under the conditions stated 

(b) Extending Time. 

(1) In General. This paragraph (1) applies 

when these rules, a notice given under 

these rules, or a court order requires or 

allows an act to be performed at or 

within a specified period. Except as 

provided in (2) and (3), the court 

may—at any time and for cause—

extend the time to act if: 

(A) with or without a motion or notice, 

a request to extend is made before 

the period (or a previously 

extended period) expires; or 

(B) on motion made after the specified 

period expires, the failure to act 

within that period resulted from 

excusable neglect. 

(2) Exceptions. The court must not 

extend the time to act under 

Rules 1007(d), 2003(a) and (d), 7052, 

9023, and 9024. 

(3) Extensions Governed by Other 

Rules. The court may extend the time 

to: 

(A) act under Rules 1006(b)(2), 

1017(e), 3002(c), 4003(b), 4004(a), 

4007(c), 4008(a), 8002, and 9033—

but only as permitted by those 

rules; and 

(B) file the statement required by 

Rule 1007(b)(7), and the schedules 

and statements in a small business 

case under § 1116(3)—but only as 

Rules Appendix B-403
(9000 Series) 12 

ORIGINAL REVISION

in Rule 1007(c). permitted by Rule 1007(c). 

(c) REDUCTION. 

 (1) In General. Except as 

provided in paragraph (2) of this 

subdivision, when an act is required or 

allowed to be done at or within a 

specified time by these rules or by a 

notice given thereunder or by order of 

court, the court for cause shown may in 

its discretion with or without motion or 

notice order the period reduced. 

 (2) Reduction Not Permitted. The 

court may not reduce the time for taking 

action under Rules 2002(a)(7), 2003(a), 

3002(c), 3014, 3015, 4001(b)(2), (c)(2), 

4003(a), 4004(a), 4007(c), 4008(a), 8002, 

and 9033(b). In addition, the court may 

not reduce the time under Rule 1007(c) 

to file the statement required by Rule 

1007(b)(7). 

(c) Reducing Time. 

(1) When Permitted. When a rule, notice 

given under a rule, or court order 

requires or allows an act to be done 

within a specified time, the court 

may—for cause and with or without a 

motion or notice—reduce the time. 

(2) When Not Permitted. The court may 

not reduce the time to act under 

Rule 2002(a)(7), 2003(a), 3002(c), 3014, 

3015, 4001(b)(2) or (c)(2), 4003(a), 

4004(a), 4007(c), 4008(a), 8002, or 

9033(b). Also, the court may not 

reduce the time set by Rule 1007(c) to 

file the statement required by 

Rule 1007(b)(7). 

(d) MOTION PAPERS. A written 

motion, other than one which may be 

heard ex parte, and notice of any hearing 

shall be served not later than seven days 

before the time specified for such 

hearing, unless a different period is fixed 

by these rules or by order of the court. 

Such an order may for cause shown be 

made on ex parte application. When a 

motion is supported by affidavit, the 

affidavit shall be served with the motion. 

Except as otherwise provided in Rule 

9023, any written response shall be 

served not later than one day before the 

hearing, unless the court permits 

otherwise. 

(d) Time to Serve a Motion and a 

Response. 

(1) In General. A written motion (other 

than one that may be heard ex parte) 

and notice of any hearing must be 

served at least 7 days before the 

hearing date, unless the court or these 

rules set a different period. Any 

affidavit supporting the motion must 

be served with it. An order to change 

the period may be granted for cause on 

ex parte application . 

(2) Response. Except as provided in 

Rule 9023, any written response must 

be served at least 1 day before the 

hearing, unless the court allows 

otherwise. 

Rules Appendix B-404
(9000 Series) 13 

ORIGINAL REVISION

(e) TIME OF SERVICE. Service of 

process and service of any paper other 

than process or of notice by mail is 

complete on mailing. 

(e) Service Complete on Mailing. Service by 

mail of process, any other document, or 

notice is complete upon mailing. 

(f) ADDITIONAL TIME AFTER 

SERVICE BY MAIL OR UNDER 

RULE 5(b)(2)(D) OR (F) F.R.CIV.P. 

When there is a right or requirement to 

act or undertake some proceedings 

within a prescribed period after being 

served and that service is by mail or 

under Rule 5(b)(2)(D) (leaving with the 

clerk) or (F) (other means consented to) 

F.R.Civ.P., three days are added after the 

prescribed period would otherwise 

expire under Rule 9006(a). 

(f) Additional Time After Certain Service.

When a party may or must act within a 

specified time after being served and 

service is made by mail or under Fed. R. 

Civ. P. 5(b)(2)(D) (leaving with the clerk) or 

(F) (other means consented to), 3 days are 

added after the period would otherwise 

expire under (a). 

(g) GRAIN STORAGE FACILITY 

CASES. This rule shall not limit the 

court’s authority under § 557 of the 

Code to enter orders governing 

procedures in cases in which the debtor 

is an owner or operator of a grain 

storage facility. 

(g) Grain-Storage Facility. This rule does not 

limit the court’s authority under § 557 to 

issue an order governing procedures in a 

case in which the debtor owns or operates a 

grain-storage facility. 

Committee Note 

The language of Rule 9006 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-405
(9000 Series) 14 

ORIGINAL REVISION

Rule 9007. General Authority to 

Regulate Notices 

Rule 9007. Authority to Regulate 

Notices. 

When notice is to be given under these 

rules, the court shall designate, if not 

otherwise specified herein, the time 

within which, the entities to whom, and 

the form and manner in which the 

notice shall be given. When feasible, the 

court may order any notices under these 

rules to be combined.

(a) In General. Unless these rules provide 

otherwise, when notice is to be given, the 

court must designate: 

(1) the deadline for giving it; 

(2) the entities to whom it must be given; 

and 

(3) the form and manner of giving it. 

(b) Combined Notices. When feasible, the 

court may order notices under these rules 

to be combined. 

Committee Note 

The language of Rule 9007 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-406
(9000 Series) 15 

ORIGINAL REVISION

Rule 9008. Service or Notice by 

Publication 

Rule 9008. Service or Notice by 

Publication 

Whenever these rules require or 

authorize service or notice by 

publication, the court shall, to the extent 

not otherwise specified in these rules, 

determine the form and manner thereof, 

including the newspaper or other 

medium to be used and the number of 

publications.

When these rules require or authorize service or 

notice by publication, and to the extent that they 

do not provide otherwise, the court must 

determine the form and manner of 

publication—including the newspaper or other 

medium to be used and the number of 

publications. 

Committee Note 

The language of Rule 9008 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-407
(9000 Series) 16 

ORIGINAL REVISION

Rule 9009. Forms Rule 9009. Using Official Forms; 

Director’s Forms 

(a) OFFICIAL FORMS. The Official 

Forms prescribed by the Judicial 

Conference of the United States shall be 

used without alteration, except as 

otherwise provided in these rules, in a 

particular Official Form, or in the 

national instructions for a particular 

Official Form. Official Forms may be 

modified to permit minor changes not 

affecting wording or the order of 

presenting information, including 

changes that: 

 (1) expand the prescribed areas 

for responses in order to permit 

complete responses; 

 (2) delete space not needed for 

responses; or 

 (3) delete items requiring detail 

in a question or category if the filer 

indicates—either by checking “no” or 

“none” or by stating in words—that 

there is nothing to report on that 

question or category.

(a) Official Forms. The Official Forms 

prescribed by the Judicial Conference of 

the United States must be used without 

alteration—unless alteration is authorized 

by these rules, the form itself, or the 

national instructions for a particular form. 

A form may be modified to permit minor 

changes not affecting wording or the order 

of presentation, including a change that: 

(1) expands the prescribed response area 

to permit a complete response; 

(2) deletes space not needed for a 

response; or 

(3) deletes items requiring detail in a 

question or category if the filer 

indicates—either by checking “no” or 

“none,” or by stating in words—that 

there is nothing to report on that item. 

(b) DIRECTOR’S FORMS. The 

Director of the Administrative Office of 

the United States Courts may issue 

additional forms for use under the Code. 

(b) Director’s Forms. The Director of the 

Administrative Office of the United States 

Courts may issue additional forms. 

(c) CONSTRUCTION. The forms shall 

be construed to be consistent with these 

rules and the Code. 

(c) Construing Forms. The forms must be 

construed to be consistent with these rules 

and the Code. 

Committee Note 

The language of Rule 9009 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-408
(9000 Series) 17 

ORIGINAL REVISION

Rule 9010. Representation and 

Appearances; Powers of Attorney 

Rule 9010. Authority to Act Personally 

or by an Attorney; Power of Attorney 

(a) AUTHORITY TO ACT 

PERSONALLY OR BY ATTORNEY. 

A debtor, creditor, equity security 

holder, indenture trustee, committee or 

other party may (1) appear in a case 

under the Code and act either in the 

entity’s own behalf or by an attorney 

authorized to practice in the court, and 

(2) perform any act not constituting the 

practice of law, by an authorized agent, 

attorney in fact, or proxy.

(a) In General. A debtor, creditor, equity 

security holder, indenture trustee, 

committee, or other party may: 

(1) appear in a case and act either on the 

entity’s own behalf or through an 

attorney authorized to practice in the 

court; and 

(2) perform any act not constituting the 

practice of law, by an authorized agent, 

attorney-in-fact, or proxy. 

(b) NOTICE OF APPEARANCE. An 

attorney appearing for a party in a case 

under the Code shall file a notice of 

appearance with the attorney’s name, 

office address and telephone number, 

unless the attorney’s appearance is 

otherwise noted in the record. 

(b) Attorney’s Notice of Appearance. An 

attorney appearing for a party in a case 

must file a notice of appearance containing 

the attorney’s name, office address, and 

telephone number—unless the appearance 

is already noted in the record. 

(c) POWER OF ATTORNEY. The 

authority of any agent, attorney in fact, 

or proxy to represent a creditor for any 

purpose other than the execution and 

filing of a proof of claim or the 

acceptance or rejection of a plan shall be 

evidenced by a power of attorney 

conforming substantially to the 

appropriate Official Form. The 

execution of any such power of attorney 

shall be acknowledged before one of the 

officers enumerated in 28 U.S.C. § 459, 

§ 953, Rule 9012, or a person authorized 

to administer oaths under the laws of 

the state where the oath is administered. 

(c) Power of Attorney to Represent a 

Creditor. The authority of an agent, 

attorney-in-fact, or proxy to represent a 

creditor—for any purpose other than 

executing and filing a proof of claim or 

accepting or rejecting a plan—must be 

evidenced by a power of attorney that 

substantially conforms to the appropriate 

version of Form 411. A power of attorney 

must be acknowledged before: 

(1) an officer listed in 28 U.S.C. § 459 or 

§ 953 or in Rule 9012; or 

(2) a person authorized to administer 

oaths under the state law where the 

oath is administered. 

Committee Note 

The language of Rule 9010 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-409
(9000 Series) 18 

ORIGINAL REVISION

Rule 9011. Signing of Papers; 

Representations to the Court; 

Sanctions; Verification and Copies of 

Papers 

Rule 9011. Signing Documents; 

Representations to the Court; 

Sanctions; Verifying and Providing 

Copies 

(a) SIGNATURE. Every petition, 

pleading, written motion, and other 

paper, except a list, schedule, or 

statement, or amendments thereto, shall 

be signed by at least one attorney of 

record in the attorney’s individual name. 

A party who is not represented by an 

attorney shall sign all papers. Each paper 

shall state the signer’s address and 

telephone number, if any. An unsigned 

paper shall be stricken unless omission 

of the signature is corrected promptly 

after being called to the attention of the 

attorney or party.

(a) Signature. Every petition, pleading, written 

motion, and other document—except a list, 

schedule, or statement, or an amendment to 

one of them—must be signed by at least 

one attorney of record in the attorney’s 

individual name. A party not represented by 

an attorney must sign all documents. Each 

document must state the signer’s address 

and telephone number, if any. The court 

must strike an unsigned document unless 

the omission is promptly corrected after 

being called to the attorney’s or party’s 

attention. 

(b) REPRESENTATIONS TO THE 

COURT. By presenting to the court 

(whether by signing, filing, submitting, 

or later advocating) a petition, pleading, 

written motion, or other paper, an 

attorney or unrepresented party is 

certifying that to the best of the person’s 

knowledge, information, and belief, 

formed after an inquiry reasonable 

under the circumstances,—3

 (1) it is not being presented for 

any improper purpose, such as to harass 

or to cause unnecessary delay or 

needless increase in the cost of litigation; 

 (2) the claims, defenses, and 

other legal contentions therein are 

warranted by existing law or by a 

nonfrivolous argument for the 

extension, modification, or reversal of 

existing law or the establishment of new 

law; 

 (3) the allegations and other 

factual contentions have evidentiary 

(b) Representations to the Court. By 

presenting to the court a petition, pleading, 

written motion, or other document—

whether by signing, filing, submitting, or 

later advocating it—an attorney or 

unrepresented party certifies that, to the 

best of the person’s knowledge, 

information, and belief formed after an 

inquiry reasonable under the circumstances: 

(1) it is not presented for any improper 

purpose, such as to harass, cause 

unnecessary delay, or needlessly 

increase litigation costs; 

(2) the claims, defenses, and other legal 

contentions are warranted by existing 

law or by a nonfrivolous argument to 

extend, modify, or reverse existing law, 

or to establish new law; 

(3) the allegations and factual contentions 

have evidentiary support—or if 

specifically so identified, are likely to 

have evidentiary support after a 

reasonable opportunity for further 

3 So in original. The comma probably should not appear. 

Rules Appendix B-410
(9000 Series) 19 

ORIGINAL REVISION

support or, if specifically so identified, 

are likely to have evidentiary support 

after a reasonable opportunity for 

further investigation or discovery; and 

 (4) the denials of factual 

contentions are warranted on the 

evidence or, if specifically so identified, 

are reasonably based on a lack of 

information or belief. 

investigation or discovery; and 

(4) the denials of factual contentions are 

warranted on the evidence—or if 

specifically so identified, are reasonably 

based on a lack of information or 

belief. 

(c) SANCTIONS. If, after notice and a 

reasonable opportunity to respond, the 

court determines that subdivision (b) has 

been violated, the court may, subject to 

the conditions stated below, impose an 

appropriate sanction upon the attorneys, 

law firms, or parties that have violated 

subdivision (b) or are responsible for the 

violation. 

 (1) How Initiated. 

 (A) By Motion. A motion 

for sanctions under this rule shall be 

made separately from other motions or 

requests and shall describe the specific 

conduct alleged to violate subdivision 

(b). It shall be served as provided in 

Rule 7004. The motion for sanctions 

may not be filed with or presented to 

the court unless, within 21 days after 

service of the motion (or such other 

period as the court may prescribe), the 

challenged paper, claim, defense, 

contention, allegation, or denial is not 

withdrawn or appropriately corrected, 

except that this limitation shall not apply 

if the conduct alleged is the filing of a 

petition in violation of subdivision (b). If 

warranted, the court may award to the 

party prevailing on the motion the 

reasonable expenses and attorney’s fees 

incurred in presenting or opposing the 

motion. Absent exceptional 

circumstances, a law firm shall be held 

jointly responsible for violations 

committed by its partners, associates, 

(c) Sanctions. 

(1) In General. If, after notice and a 

reasonable opportunity to respond, the 

court determines that (b) has been 

violated, the court may, subject to the 

conditions in this subdivision (c), 

impose an appropriate sanction on any 

attorney, law firm, or party that 

committed the violation or is 

responsible for it. Absent exceptional 

circumstances, a law firm must be held 

jointly responsible for a violation 

committed by its partner, associate, or 

employee. 

(2) By Motion. 

(A) In General. A motion for sanctions 

must be made separately from any 

other motion or request, describe 

the specific conduct alleged to 

violate (b), and be served under 

Rule 7004. 

(B) When to File. The motion for 

sanctions must not be filed or 

presented to the court if the 

challenged document, claim, 

defense, contention, allegation, or 

denial is withdrawn or appropriately 

corrected within 21 days after the 

motion was served (or within 

another period as the court may 

order). This limitation does not 

apply if the conduct alleged is filing 

a petition in violation of (b). 

Rules Appendix B-411
(9000 Series) 20 

ORIGINAL REVISION

and employees. 

 (B) On Court’s Initiative.

On its own initiative, the court may 

enter an order describing the specific 

conduct that appears to violate 

subdivision (b) and directing an 

attorney, law firm, or party to show 

cause why it has not violated subdivision 

(b) with respect thereto. 

 (2) Nature of Sanction; Limitations.

A sanction imposed for violation of this 

rule shall be limited to what is sufficient 

to deter repetition of such conduct or 

comparable conduct by others similarly 

situated. Subject to the limitations in 

sub-paragraphs (A) and (B), the sanction 

may consist of, or include, directives of a 

nonmonetary nature, an order to pay a 

penalty into court, or, if imposed on 

motion and warranted for effective 

deterrence, an order directing payment 

to the movant of some or all of the 

reasonable attorneys’ fees and other 

expenses incurred as a direct result of 

the violation. 

 (A) Monetary sanctions 

may not be awarded against a 

represented party for a violation of 

subdivision (b)(2). 

 (B) Monetary sanctions 

may not be awarded on the court’s 

initiative unless the court issues its order 

to show cause before a voluntary 

dismissal or settlement of the claims 

made by or against the party which is, or 

whose attorneys are, to be sanctioned. 

 (3) Order. When imposing 

sanctions, the court shall describe the 

conduct determined to constitute a 

violation of this rule and explain the 

basis for the sanction imposed. 

(C) Awarding Damages. If warranted, the 

court may award to the prevailing 

party the reasonable expenses and 

attorney’s fees incurred in 

presenting or opposing the motion. 

(3) By the Court. On its own, the court 

may enter an order describing the 

specific conduct that appears to violate 

(b) and directing an attorney, law firm, 

or party to show cause why it has not 

violated (b). 

(4) Nature of a Sanction; Limitations. 

(A) In General. A sanction imposed 

under this rule must be limited to 

what suffices to deter repetition of 

the conduct or deter comparable 

conduct by others similarly 

situated. The sanction may include: 

(i) a nonmonetary directive; 

(ii) an order to pay a penalty into 

court; or 

(iii) if imposed on motion and 

warranted for effective 

deterrence, an order directing 

payment to the movant of all 

or part of the reasonable 

attorney’s fees and other 

expenses directly resulting 

from the violation. 

(B) Limitations on a Monetary Sanction.

The court must not impose a 

monetary sanction: 

(i) against a represented party 

for violating (b)(2); or 

(ii) on its own, unless it issued 

the show-cause order under 

(c)(3) before voluntary 

dismissal or settlement of the 

claims made by or against the 

party that is, or whose 

attorneys are, to be 

Rules Appendix B-412
(9000 Series) 21 

ORIGINAL REVISION

sanctioned. 

(5) Content of a Court Order. An order 

imposing a sanction must describe the 

sanctioned conduct and explain the 

basis for the sanction. 

(d) INAPPLICABILITY TO 

DISCOVERY. Subdivisions (a) through 

(c) of this rule do not apply to 

disclosures and discovery requests, 

responses, objections, and motions that 

are subject to the provisions of Rules 

7026 through 7037. 

(d) Inapplicability to Discovery.

Subdivisions (a)–(c) do not apply to 

disclosures and discovery requests, 

responses, objections, and motions that are 

subject to Rules 7026–7037. 

(e) VERIFICATION. Except as 

otherwise specifically provided by these 

rules, papers filed in a case under the 

Code need not be verified. Whenever 

verification is required by these rules, an 

unsworn declaration as provided in 28 

U.S.C. § 1746 satisfies the requirement 

of verification. 

(e) Verifying a Document. A document filed 

in a bankruptcy case need not be verified 

unless these rules provide otherwise. When 

these rules require verification, an unsworn 

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

(f) COPIES OF SIGNED OR 

VERIFIED PAPERS. When these rules 

require copies of a signed or verified 

paper, it shall suffice if the original is 

signed or verified and the copies are 

conformed to the original. 

(f) Copies of Signed or Verified 

Documents. When these rules require 

copies of a signed or verified document, if 

the original is signed or verified, a copy that 

conforms to the original suffices. 

Committee Note 

The language of Rule 9011 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-413
(9000 Series) 22 

ORIGINAL REVISION

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

(a) PERSONS AUTHORIZED TO 

ADMINISTER OATHS. The following 

persons may administer oaths and 

affirmations and take acknowledgments: 

a bankruptcy judge, clerk, deputy clerk, 

United States trustee, officer authorized 

to administer oaths in proceedings 

before the courts of the United States or 

under the laws of the state where the 

oath is to be taken, or a diplomatic or 

consular officer of the United States in 

any foreign country.

(a) Who May Administer an Oath. These 

persons may administer an oath or 

affirmation or take an acknowledgment: 

 a bankruptcy judge; 

 a clerk; 

 a deputy clerk; 

 a United States trustee; 

 an officer authorized to administer 

oaths in a proceeding before a federal 

court or by state law in the state where 

the oath is taken; or 

 a United States diplomatic or consular 

officer in a foreign country. 

(b) AFFIRMATION IN LIEU OF 

OATH. When in a case under the Code 

an oath is required to be taken a solemn 

affirmation may be accepted in lieu 

thereof. 

(b) Affirmation as an Alternative. If an oath 

is required, a solemn affirmation suffices. 

Committee Note 

The language of Rule 9012 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-414
(9000 Series) 23 

ORIGINAL REVISION

Rule 9013. Motions: Form and 

Service 

Rule 9013. Motions; Form and Service 

A request for an order, except when an 

application is authorized by the rules, 

shall be by written motion, unless made 

during a hearing. The motion shall state 

with particularity the grounds therefor, 

and shall set forth the relief or order 

sought. Every written motion, other 

than one which may be considered ex 

parte, shall be served by the moving 

party within the time determined under 

Rule 9006(d). The moving party shall 

serve the motion on: 

 (a) the trustee or debtor in 

possession and on those entities 

specified by these rules; or 

 (b) the entities the court directs 

if these rules do not require service or 

specify the entities to be served.

(a) Request for an Order. A request for an 

order must be made by written motion 

unless: 

(1) an application is authorized by these 

rules; or 

(2) the request is made during a hearing. 

(b) Form and Service of a Motion. A motion 

must state its grounds with particularity and 

set forth the relief or order requested. 

Unless a written motion may be considered 

ex parte, the movant must, within the time 

prescribed by Rule 9006(d), serve the 

motion on: 

 the trustee or debtor in possession and 

those entities specified by these rules; 

or 

 if these rules do not require service or 

specify the entities to be served, the 

entities designated by the court. 

Committee Note 

The language of Rule 9013 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-415
(9000 Series) 24 

ORIGINAL REVISION

Rule 9014. Contested Matters Rule 9014. Contested Matters 

(a) MOTION. In a contested matter not 

otherwise governed by these rules, relief 

shall be requested by motion, and 

reasonable notice and opportunity for 

hearing shall be afforded the party 

against whom relief is sought. No 

response is required under this rule 

unless the court directs otherwise.

(a) Motion Required. In a contested matter 

not otherwise governed by these rules, 

relief must be requested by motion. 

Reasonable notice and an opportunity to be 

heard must be given to the party against 

whom relief is sought. No response is 

required unless the court orders otherwise. 

(b) SERVICE. The motion shall be 

served in the manner provided for 

service of a summons and complaint by 

Rule 7004 and within the time 

determined under Rule 9006(d). Any 

written response to the motion shall be 

served within the time determined under 

Rule 9006(d). Any paper served after the 

motion shall be served in the manner 

provided by Rule 5(b) F.R. Civ. P. 

(b) Service. 

(1) Motion. The motion must be served 

within the time prescribed by 

Rule 9006(d) and in the manner for 

serving a summons and complaint 

provided by Rule 7004. 

(2) Response. Any written response must 

be served within the time prescribed 

by Rule 9006(d). 

(3) Later Filings. After a motion is 

served, any other document must be 

served in the manner prescribed by 

Fed. R. Civ. P. 5(b). 

(c) APPLICATION OF PART VII 

RULES. Except as otherwise provided 

in this rule, and unless the court directs 

otherwise, the following rules shall 

apply: 7009, 7017, 7021, 7025, 7026, 

7028–7037, 7041, 7042, 7052, 7054–

7056, 7064, 7069, and 7071. The 

following subdivisions of Fed. R. Civ. P. 

26, as incorporated by Rule 7026, shall 

not apply in a contested matter unless 

the court directs otherwise: 26(a)(1) 

(mandatory disclosure), 26(a)(2) 

(disclosures regarding expert testimony) 

and 26(a)(3) (additional pretrial 

disclosure), and 26(f) (mandatory 

meeting before scheduling 

conference/discovery plan). An entity 

that desires to perpetuate testimony may 

proceed in the same manner as provided 

in Rule 7027 for the taking of a 

(c) Applying Part VII Rules. 

(1) In General. Unless this rule or a court 

order provides otherwise, the 

following rules apply in a contested 

matter: 7009, 7017, 7021, 7025–7026, 

7028–7037, 7041–7042, 7052, 7054–

7056, 7064, 7069, and 7071. At any 

stage of a contested matter, the court 

may order that one or more other 

Part VII rules apply. 

(2) Exception. Unless the court orders 

otherwise, the following subdivisions 

of Fed. R. Civ. P. 26, as incorporated 

by Rule 7026, do not apply in a 

contested matter: 

 (a)(1), mandatory disclosure; 

 (a)(2), disclosures about expert 

testimony; 

Rules Appendix B-416
(9000 Series) 25 

ORIGINAL REVISION

deposition before an adversary 

proceeding. The court may at any stage 

in a particular matter direct that one or 

more of the other rules in Part VII shall 

apply. The court shall give the parties 

notice of any order issued under this 

paragraph to afford them a reasonable 

opportunity to comply with the 

procedures prescribed by the order. 

 (a)(3), other pretrial disclosures; 

and 

 (f), mandatory meeting before a 

scheduling conference. 

(3) Procedural Order. In issuing any 

procedural order under this 

subdivision (c), the court must give the 

parties notice and a reasonable 

opportunity to comply. 

(4) Perpetuating Testimony. An entity 

desiring to perpetuate testimony may 

do so in the manner provided by 

Rule 7027 for taking a deposition 

before an adversary proceeding. 

(d) TESTIMONY OF WITNESSES. 

Testimony of witnesses with respect to 

disputed material factual issues shall be 

taken in the same manner as testimony 

in an adversary proceeding. 

(d) Taking Testimony on a Disputed 

Factual Issue. A witness’s testimony on a 

disputed material factual issue must be 

taken in the same manner as testimony in 

an adversary proceeding. 

(e) ATTENDANCE OF WITNESSES. 

The court shall provide procedures that 

enable parties to ascertain at a 

reasonable time before any scheduled 

hearing whether the hearing will be an 

evidentiary hearing at which witnesses 

may testify. 

(e) Determining Whether a Hearing Will 

Be an Evidentiary Hearing. The court 

must provide procedures that allow 

parties—at a reasonable time before a 

scheduled hearing—to determine whether 

it will be an evidentiary hearing at which 

witnesses may testify. 

Committee Note 

The language of Rule 9014 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-417
(9000 Series) 26 

ORIGINAL REVISION

Rule 9015. Jury Trials Rule 9015. Jury Trial. 

(a) APPLICABILITY OF CERTAIN 

FEDERAL RULES OF CIVIL 

PROCEDURE. Rules 38, 39, 47–49, 

and 51, F.R.Civ.P., and Rule 81(c) 

F.R.Civ.P. insofar as it applies to jury 

trials, apply in cases and proceedings, 

except that a demand made under Rule 

38(b) F.R.Civ.P. shall be filed in 

accordance with Rule 5005.

(a) In General. In a bankruptcy case or 

proceeding, Fed. R. Civ. P. 38–39, 47–49, 

51, and 81(c) (insofar as it applies to jury 

trials) apply. But a demand for a jury trial 

under Fed. R. Civ. P. 38(b) must be filed in 

accordance with Rule 5005. 

(b) CONSENT TO HAVE TRIAL 

CONDUCTED BY BANKRUPTCY 

JUDGE. If the right to a jury trial 

applies, a timely demand has been filed 

pursuant to Rule 38(b) F.R.Civ.P., and 

the bankruptcy judge has been specially 

designated to conduct the jury trial, the 

parties may consent to have a jury trial 

conducted by a bankruptcy judge under 

28 U.S.C. § 157(e) by jointly or 

separately filing a statement of consent 

within any applicable time limits 

specified by local rule. 

(b) Jury Trial Before a Bankruptcy Judge.

The parties may—jointly or separately—file 

a statement consenting to a jury trial 

conducted by a bankruptcy judge under 28 

U.S.C. § 157(e) if: 

(1) the right to a jury trial applies; 

(2) a timely demand has been filed under 

Fed. R. Civ. P. 38(b); 

(3) the bankruptcy judge has been specially 

designated to conduct the jury trial; and 

(4) the statement is filed within any time 

specified by local rule. 

(c) APPLICABILITY OF RULE 50 

F.R.CIV.P. Rule 50 F.R.Civ.P. applies in 

cases and proceedings, except that any 

renewed motion for judgment or request 

for a new trial shall be filed no later than 

14 days after the entry of judgment. 

(c) Judgment as a Matter of Law; Motion 

for a New Trial. Fed. R. Civ. P. 50 applies 

in a bankruptcy case or proceeding—except 

that a renewed motion for judgment, or a 

request for a new trial, must be filed within 

14 days after the judgment is entered. 

Committee Note 

The language of Rule 9015 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-418
(9000 Series) 27 

ORIGINAL REVISION

Rule 9016. Subpoena Rule 9016. Subpoena 

Rule 45 F.R.Civ.P. applies in cases under 

the Code.

Fed. R. Civ. P. 45 applies in a bankruptcy case. 

Committee Note 

The language of Rule 9016 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-419
(9000 Series) 28 

ORIGINAL REVISION

Rule 9017. Evidence Rule 9017. Evidence 

The Federal Rules of Evidence and 

Rules 43, 44 and 44.1 F.R.Civ.P. apply in 

cases under the Code.

The Federal Rules of Evidence and Fed. R. Civ. 

P. 43, 44, and 44.1 apply in a bankruptcy case. 

Committee Note 

The language of Rule 9017 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-420
(9000 Series) 29 

ORIGINAL REVISION

Rule 9018. Secret, Confidential, 

Scandalous, or Defamatory Matter 

Rule 9018. Secret, Confidential, 

Scandalous, or Defamatory Matter 

On motion or on its own initiative, with 

or without notice, the court may make 

any order which justice requires (1) to 

protect the estate or any entity in respect 

of a trade secret or other confidential 

research, development, or commercial 

information, (2) to protect any entity 

against scandalous or defamatory matter 

contained in any paper filed in a case 

under the Code, or (3) to protect 

governmental matters that are made 

confidential by statute or regulation. If 

an order is entered under this rule 

without notice, any entity affected 

thereby may move to vacate or modify 

the order, and after a hearing on notice 

the court shall determine the motion.

(a) In General. On motion or on its own, the 

court may, with or without notice, issue any 

order that justice requires to: 

(1) protect the estate or any entity 

regarding a trade secret or other 

confidential research, development, or 

commercial information; 

(2) protect an entity from scandalous or 

defamatory matter in any document 

filed in a bankruptcy case; or 

(3) protect governmental matters made 

confidential by statute or regulation. 

(b) Motion to Vacate or Modify an Order 

Issued Without Notice. An entity 

affected by an order issued under (a) 

without notice may move to vacate or 

modify it. After notice and a hearing, the 

court must rule on the motion. 

Committee Note 

The language of Rule 9018 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

 

Rules Appendix B-421
(9000 Series) 30 

ORIGINAL REVISION

Rule 9019. Compromise and 

Arbitration 

Rule 9019. Compromise or Settlement; 

Arbitration 

(a) COMPROMISE. On motion by the 

trustee and after notice and a hearing, 

the court may approve a compromise or 

settlement. Notice shall be given to 

creditors, the United States trustee, the 

debtor, and indenture trustees as 

provided in Rule 2002 and to any other 

entity as the court may direct.

(a) Approving a Compromise or 

Settlement. On the trustee’s motion and 

after notice and a hearing, the court may 

approve a compromise or settlement. 

Notice must be given to: 

 all creditors; 

 the United States trustee; 

 the debtor; 

 all indenture trustees as provided in 

Rule 2002; and 

 any other entity the court designates. 

(b) AUTHORITY TO COMPROMISE 

OR SETTLE CONTROVERSIES 

WITHIN CLASSES. After a hearing on 

such notice as the court may direct, the 

court may fix a class or classes of 

controversies and authorize the trustee 

to compromise or settle controversies 

within such class or classes without 

further hearing or notice. 

(b) Compromising or Settling Controversies 

in Classes. After a hearing on such notice 

as the court may order, the court may: 

(1) designate a class or classes of 

controversies; and 

(2) authorize the trustee to compromise or 

settle controversies within the class or 

classes without further hearing or 

notice. 

(c) ARBITRATION. On stipulation of 

the parties to any controversy affecting 

the estate the court may authorize the 

matter to be submitted to final and 

binding arbitration. 

(c) Arbitration of Controversies Affecting 

an Estate. If the parties so stipulate, the 

court may authorize a controversy affecting 

an estate to be submitted to final and 

binding arbitration. 

Committee Note 

The language of Rule 9019 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-422
(9000 Series) 31 

ORIGINAL REVISION

Rule 9020. Contempt Proceedings Rule 9020. Contempt Proceedings 

Rule 9014 governs a motion for an 

order of contempt made by the United 

States trustee or a party in interest.

Rule 9014 governs a motion for a contempt 

order made by the United States trustee or a 

party in interest. 

Committee Note 

The language of Rule 9020 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-423
(9000 Series) 32 

ORIGINAL REVISION

Rule 9021. Entry of Judgment Rule 9021. When a Judgment or Order 

Becomes Effective 

A judgment or order is effective when 

entered under Rule 5003.

A judgment or order becomes effective when it 

is entered under Rule 5003. 

Committee Note 

The language of Rule 9021 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-424
(9000 Series) 33 

ORIGINAL REVISION

Rule 9022. Notice of Judgment or 

Order 

Rule 9022. Notice of a Judgment or 

Order 

(a) JUDGMENT OR ORDER OF 

BANKRUPTCY JUDGE. Immediately 

on the entry of a judgment or order the 

clerk shall serve a notice of entry in the 

manner provided in Rule 5(b) F.R.Civ.P. 

on the contesting parties and on other 

entities as the court directs. Unless the 

case is a chapter 9 municipality case, the 

clerk shall forthwith transmit to the 

United States trustee a copy of the 

judgment or order. Service of the notice 

shall be noted in the docket. Lack of 

notice of the entry does not affect the 

time to appeal or relieve or authorize the 

court to relieve a party for failure to 

appeal within the time allowed, except as 

permitted in Rule 8002.

(a) Issued by a Bankruptcy Judge. 

(1) In General. Upon entering a judgment 

or order, the clerk must: 

(A) promptly serve notice of the entry 

on the contesting parties and other 

entities the court designates; 

(B) do so in the manner provided by 

Fed. R. Civ. P. 5(b); 

(C) except in a Chapter 9 case, 

promptly send a copy of the 

judgment or order to the United 

States trustee; and 

(D) note service on the docket. 

(2) Lack of Notice; Time to Appeal.

Except as permitted by Rule 8002, lack 

of notice of the entry does not affect 

the time to appeal or relieve—or 

authorize the court to relieve—a party 

for failing to appeal within the time 

allowed. 

(b) JUDGMENT OR ORDER OF 

DISTRICT JUDGE. Notice of a 

judgment or order entered by a district 

judge is governed by Rule 77(d) 

F.R.Civ.P. Unless the case is a chapter 9 

municipality case, the clerk shall 

forthwith transmit to the United States 

trustee a copy of a judgment or order 

entered by a district judge. 

(b) Issued by a District Judge. Notice of a 

district judge’s judgment or order is 

governed by Fed. R. Civ. P. 77(d). Except 

in a Chapter 9 case, the clerk must 

promptly send a copy of the judgment or 

order to the United States trustee. 

Committee Note 

The language of Rule 9022 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-425
(9000 Series) 34 

ORIGINAL REVISION

Rule 9023. New Trials; Amendment 

of Judgments 

Rule 9023. New Trial; Altering or 

Amending a Judgment 

Except as provided in this rule and Rule 

3008, Rule 59 F.R.Civ.P. applies in cases 

under the Code. A motion for a new 

trial or to alter or amend a judgment 

shall be filed, and a court may on its 

own order a new trial, no later than 14 

days after entry of judgment. In some 

circumstances, Rule 8008 governs postjudgment motion practice after an 

appeal has been docketed and is 

pending.

(a) Application of Civil Rule 59. Except as 

this rule and Rule 3008 provide otherwise, 

Fed. R. Civ. P. 59 applies in a bankruptcy 

case. 

(b) By Motion. A motion for a new trial or to 

alter or amend a judgment must be filed 

within 14 days after the judgment is 

entered. In some instances, Rule 8008 

governs postjudgment motion practice after 

an appeal has been docketed and is 

pending. 

(c) By the Court. Within 14 days after 

judgment is entered, the court may, on its 

own, order a new trial. 

Committee Note 

The language of Rule 9023 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-426
(9000 Series) 35 

ORIGINAL REVISION

Rule 9024. Relief from Judgment or 

Order 

Rule 9024. Relief from a Judgment or 

Order 

Rule 60 F.R.Civ.P. applies in cases under 

the Code except that (1) a motion to 

reopen a case under the Code or for the 

reconsideration of an order allowing or 

disallowing a claim against the estate 

entered without a contest is not subject 

to the one year limitation prescribed in 

Rule 60(c), (2) a complaint to revoke a 

discharge in a chapter 7 liquidation case 

may be filed only within the time 

allowed by § 727(e) of the Code, and (3) 

a complaint to revoke an order 

confirming a plan may be filed only 

within the time allowed by § 1144, § 

1230, or § 1330. In some circumstances, 

Rule 8008 governs post-judgment 

motion practice after an appeal has been 

docketed and is pending.

(a) In General. Fed. R. Civ. P. 60 applies in a 

bankruptcy case—except that: 

(1) the one-year limitation in Fed. R. Civ. 

P. 60(c) does not apply to a motion to 

reopen a case or to reconsider an 

uncontested order allowing or 

disallowing a claim against the estate; 

(2) a complaint to revoke a discharge in a 

Chapter 7 case must be filed within the 

time allowed by § 727(e); and 

(3) a complaint to revoke an order 

confirming a plan must be filed within 

the time allowed by § 1144, 1230, 

or 1330. 

(b) Indicative Ruling. In some instances, 

Rule 8008 governs postjudgment motion 

practice after an appeal has been docketed 

and is pending. 

Committee Note 

The language of Rule 9024 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-427
(9000 Series) 36 

ORIGINAL REVISION

Rule 9025. Security: Proceedings 

Against Security Providers 

Rule 9025. Security; Proceeding 

Against a Security Provider 

Whenever the Code or these rules 

require or permit a party to give security, 

and security is given with one or more 

security providers, each provider 

submits to the jurisdiction of the court, 

and liability may be determined in an 

adversary proceeding governed by the 

rules in Part VII.

When the Code or these rules require or permit 

a party to give security and the party gives 

security with one or more security providers, 

each provider submits to the court’s jurisdiction. 

Liability may be determined in an adversary 

proceeding governed by the Part VII rules. 

Committee Note 

The language of Rule 9025 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-428
(9000 Series) 37 

ORIGINAL REVISION

Rule 9026. Exceptions Unnecessary Rule 9026. Objecting to a Ruling or 

Order 

Rule 46 F.R.Civ.P. applies in cases under 

the Code.

Fed. R. Civ. P. 46 applies in a bankruptcy case. 

Committee Note 

The language of Rule 9026 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-429
(9000 Series) 38 

ORIGINAL REVISION

Rule 9027. Removal Rule 9027. Removing a Claim or 

Cause of Action from Another Court 

(a) NOTICE OF REMOVAL. 

 (1) Where Filed; Form and Content. 

A notice of removal shall be filed with 

the clerk for the district and division 

within which is located the state or 

federal court where the civil action is 

pending. The notice shall be signed 

pursuant to Rule 9011 and contain a 

short and plain statement of the facts 

which entitle the party filing the notice 

to remove, contain a statement that 

upon removal of the claim or cause of 

action, the party filing the notice does or 

does not consent to entry of final orders 

or judgment by the bankruptcy court, 

and be accompanied by a copy of all 

process and pleadings. 

 (2) Time for Filing; Civil Action 

Initiated Before Commencement of the Case 

Under the Code. If the claim or cause of 

action in a civil action is pending when a 

case under the Code is commenced, a 

notice of removal may be filed only 

within the longest of (A) 90 days after 

the order for relief in the case under the 

Code, (B) 30 days after entry of an order 

terminating a stay, if the claim or cause 

of action in a civil action has been stayed 

under § 362 of the Code, or (C) 30 days 

after a trustee qualifies in a chapter 11 

reorganization case but not later than 

180 days after the order for relief. 

 (3) Time for filing; civil action 

initiated after commencement of the case under 

the Code. If a claim or cause of action is 

asserted in another court after the 

commencement of a case under the 

Code, a notice of removal may be filed 

with the clerk only within the shorter of 

(A) 30 days after receipt, through service 

or otherwise, of a copy of the initial 

pleading setting forth the claim or cause 

(a) Notice of Removal. 

(1) Where Filed; Form and Content. A 

notice of removal must be filed with 

the clerk for the district and division 

where the state or federal civil action is 

pending. The notice must be signed 

under Rule 9011 and must: 

(A) contain a short and plain statement 

of the facts that entitle the party to 

remove; 

(B) contain a statement that the party 

filing the notice does or does not 

consent to the bankruptcy court’s 

entry of a final judgment or order; 

and 

(C) be accompanied by a copy of all 

process and pleadings. 

(2) Time to File When the Claim Was 

Filed Before the Bankruptcy Case 

Is Commenced. If the claim or cause 

of action in a civil action is pending 

when a bankruptcy case is 

commenced, the notice of removal 

must be filed within the longest of 

these periods: 

(A) 90 days after the order for relief in 

the bankruptcy case; 

(B) if the claim or cause of action has 

been stayed under § 362, 30 days 

after an order terminating the stay 

is entered; or 

(C) in a Chapter 11 case, 30 days after 

a trustee qualifies—but no later 

than 180 days after the order for 

relief. 

(3) Time to File When the Claim Is 

Filed After the Bankruptcy Case 

Was Commenced. If a claim or cause 

of action is asserted in another court 

Rules Appendix B-430
(9000 Series) 39 

ORIGINAL REVISION

of action sought to be removed, or (B) 

30 days after receipt of the summons if 

the initial pleading has been filed with 

the court but not served with the 

summons.

after the bankruptcy case was 

commenced, a party filing a notice of 

removal must do so within the shorter 

of these periods: 

(A) 30 days after receiving (by service 

or otherwise) the initial pleading 

setting forth the claim or cause of 

action sought to be removed; or 

(B) 30 days after receiving the 

summons if the initial pleading has 

been filed but not served with the 

summons. 

(b) NOTICE. Promptly after filing the 

notice of removal, the party filing the 

notice shall serve a copy of it on all 

parties to the removed claim or cause of 

action. 

(b) Notice to Other Parties and to the Court 

from Which the Claim Was Removed. A 

party filing a notice of removal must 

promptly: 

(1) serve a copy on all other parties to the 

removed claim or cause of action; and 

(2) file a copy with the clerk of the court 

from which it was removed. 

(c) FILING IN NON-BANKRUPTCY 

COURT. Promptly after filing the notice 

of removal, the party filing the notice 

shall file a copy of it with the clerk of 

the court from which the claim or cause 

of action is removed. Removal of the 

claim or cause of action is effected on 

such filing of a copy of the notice of 

removal. The parties shall proceed no 

further in that court unless and until the 

claim or cause of action is remanded. 

(c) Effective Date of Removal. Removal 

becomes effective when the notice is filed 

under (b)(2). The parties must proceed no 

further in the court from which the claim 

or cause of action was removed, unless it is 

remanded. 

(d) REMAND. A motion for remand of 

the removed claim or cause of action 

shall be governed by Rule 9014 and 

served on the parties to the removed 

claim or cause of action. 

(d) Remand After Removal. A motion to 

remand is governed by Rule 9014. The 

party filing the motion must serve a copy 

on all parties to the removed claim or cause 

of action. 

(e) PROCEDURE AFTER 

REMOVAL. 

 (1) After removal of a claim or 

cause of action to a district court the 

(e) Procedure After Removal. 

(1) Bringing Proper Parties Before the 

Court. After removal, the district 

court—or the bankruptcy judge to 

Rules Appendix B-431
(9000 Series) 40 

ORIGINAL REVISION

district court or, if the case under the 

Code has been referred to a bankruptcy 

judge of the district, the bankruptcy 

judge, may issue all necessary orders and 

process to bring before it all proper 

parties whether served by process issued 

by the court from which the claim or 

cause of action was removed or 

otherwise. 

 (2) The district court or, if the 

case under the Code has been referred 

to a bankruptcy judge of the district, the 

bankruptcy judge, may require the party 

filing the notice of removal to file with 

the clerk copies of all records and 

proceedings relating to the claim or 

cause of action in the court from which 

the claim or cause of action was 

removed. 

 (3) Any party who has filed a 

pleading in connection with the 

removed claim or cause of action, other 

than the party filing the notice of 

removal, shall file a statement that the 

party does or does not consent to entry 

of final orders or judgment by the 

bankruptcy court. A statement required 

by this paragraph shall be signed 

pursuant to Rule 9011 and shall be filed 

not later than 14 days after the filing of 

the notice of removal. Any party who 

files a statement pursuant to this 

paragraph shall mail a copy to every 

other party to the removed claim or 

cause of action. 

whom the bankruptcy case has been 

referred—may issue all necessary 

orders and process to bring before it 

all proper parties. It does not matter 

whether they were served by process 

issued by the court from which the 

claim or cause of action was removed, 

or otherwise. 

(2) Records of Prior Proceedings. The 

judge may require the party filing the 

notice of removal to file with the clerk 

copies of all records and proceedings 

relating to the claim or cause of action 

that were filed in the court from which 

the removal occurred. 

(3) Statement by a Party Other Than 

the Removing Party. A party who 

has filed a pleading regarding a 

removed claim or cause of action—

except the party filing the notice of 

removal—must: 

(A) file a statement that the party does 

or does not consent to the 

bankruptcy court’s entry of a final 

order or judgment; 

(B) sign the statement under 

Rule 9011; 

(C) file it within 14 days after the 

notice of removal is filed; and 

(D)mail a copy to every other party to 

the removed claim or cause of 

action. 

(f) PROCESS AFTER REMOVAL. If 

one or more of the defendants has not 

been served with process, the service has 

not been perfected prior to removal, or 

the process served proves to be 

defective, such process or service may 

be completed or new process issued 

pursuant to Part VII of these rules. This 

subdivision shall not deprive any 

(f) Process Regarding a Defendant After 

Removal. If a defendant has not been 

served—or service has not been completed 

before removal or has been proved 

defective—then process or service may be 

completed or new process issued under the 

Part VII rules. A defendant served after 

removal may move to remand the claim or 

cause of action. 

Rules Appendix B-432
(9000 Series) 41 

ORIGINAL REVISION

defendant on whom process is served 

after removal of the defendant’s right to 

move to remand the case. 

(g) APPLICABILITY OF PART VII. 

The rules of Part VII apply to a claim or 

cause of action removed to a district 

court from a federal or state court and 

govern procedure after removal. 

Repleading is not necessary unless the 

court so orders. In a removed action in 

which the defendant has not answered, 

the defendant shall answer or present 

the other defenses or objections 

available under the rules of Part VII 

within 21 days following the receipt 

through service or otherwise of a copy 

of the initial pleading setting forth the 

claim for relief on which the action or 

proceeding is based, or within 21 days 

following the service of summons on 

such initial pleading, or within seven 

days following the filing of the notice of 

removal, whichever period is longest. 

(g) Applying Part VII Rules. 

(1) In General. The Part VII rules apply 

to a claim or cause of action removed 

to a district court from a federal or 

state court, and they govern the 

procedure after removal. Repleading is 

not necessary unless the court orders 

otherwise. 

(2) Time to File an Answer. In a 

removed action, a defendant that has 

not previously done so must file an 

answer—or present other defenses or 

objections available under the Part VII 

rules. The defendant must do so within 

the longest of these periods: 

(A) 21 days after receiving—by service 

or otherwise—a copy of the initial 

pleading that sets forth the claim 

for relief; 

(B) 21 days after a summons on the 

original pleading was served; or 

(C) 7 days after the notice of removal 

was filed. 

(h) RECORD SUPPLIED. When a 

party is entitled to copies of the records 

and proceedings in any civil action or 

proceeding in a federal or a state court, 

to be used in the removed civil action or 

proceeding, and the clerk of the federal 

or state court, on demand accompanied 

by payment or tender of the lawful fees, 

fails to deliver certified copies, the court 

may, on affidavit reciting the facts, direct 

such record to be supplied by affidavit 

or otherwise. Thereupon the 

proceedings, trial and judgment may be 

had in the court, and all process 

awarded, as if certified copies had been 

filed. 

(h) Clerk’s Failure to Supply Certified 

Records of Court Proceedings. If a party 

is entitled to copies of the records and 

proceedings in a civil action or proceeding 

in a federal or state court for use in the 

removed action or proceeding, the party 

may demand certified copies from that 

court’s clerk. After the party pays for them 

or tenders the fees, if the clerk fails to 

provide them, the court to which the action 

or proceeding is removed may—after 

receiving an affidavit stating these facts—

order that the record be supplied by 

affidavit or otherwise. The court may then 

proceed to trial and judgment, and may 

award all process, as if certified copies had 

Rules Appendix B-433
(9000 Series) 42 

ORIGINAL REVISION

been filed. 

(i) ATTACHMENT OR 

SEQUESTRATION; SECURITIES. 

When a claim or cause of action is 

removed to a district court, any 

attachment or sequestration of property 

in the court from which the claim or 

cause of action was removed shall hold 

the property to answer the final 

judgment or decree in the same manner 

as the property would have been held to 

answer final judgment or decree had it 

been rendered by the court from which 

the claim or cause of action was 

removed. All bonds, undertakings, or 

security given by either party to the 

claim or cause of action prior to its 

removal shall remain valid and effectual 

notwithstanding such removal. All 

injunctions issued, orders entered and 

other proceedings had prior to removal 

shall remain in full force and effect until 

dissolved or modified by the court. 

(i) Property Attached or Sequestered; 

Security; Injunction. 

(1) Property Attached or Sequestered.

The court from which a claim or cause 

of action has been removed must hold 

attached or sequestered property to 

answer the final judgment or decree in 

the same way it would have been held 

had there been no removal. 

(2) Security. Any bond, undertaking, or 

security given by either party before 

the removal remains valid. 

(3) Injunction. Any injunction or order 

issued, or other proceeding had, before 

the removal remains in effect until 

dissolved or modified by the court. 

Committee Note 

The language of Rule 9027 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-434
(9000 Series) 43 

ORIGINAL REVISION

Rule 9028. Disability of a Judge Rule 9028. Judge’s Disability 

Rule 63 F.R.Civ.P. applies in cases under 

the Code.

Fed. R. Civ. P. 63 applies in a bankruptcy case. 

Committee Note 

The language of Rule 9028 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-435
(9000 Series) 44 

ORIGINAL REVISION

Rule 9029. Local Bankruptcy Rules; 

Procedure When There is No 

Controlling Law 

Rule 9029. Adopting Local Rules; 

Limit on Enforcing a Local Rule; 

Absence of Controlling Law 

(a) LOCAL BANKRUPTCY RULES. 

 (1) Each district court acting by 

a majority of its district judges may make 

and amend rules governing practice and 

procedure in all cases and proceedings 

within the district court’s bankruptcy 

jurisdiction which are consistent with—

but not duplicative of—Acts of 

Congress and these rules and which do 

not prohibit or limit the use of the 

Official Forms. Rule 83 F.R.Civ.P. 

governs the procedure for making local 

rules. A district court may authorize the 

bankruptcy judges of the district, subject 

to any limitation or condition it may 

prescribe and the requirements of 83 

F.R.Civ.P., to make and amend rules of 

practice and procedure which are 

consistent with—but not duplicative 

of—Acts of Congress and these rules 

and which do not prohibit or limit the 

use of the Official Forms. Local rules 

shall conform to any uniform 

numbering system prescribed by the 

Judicial Conference of the United States. 

 (2) A local rule imposing a 

requirement of form shall not be 

enforced in a manner that causes a party 

to lose rights because of a non-willful 

failure to comply with the requirement.

(a) Adopting Local Rules.

(1) By District Courts. Each district 

court, acting by a majority of its judges, 

may make and amend rules governing 

practice and procedure in all cases and 

proceedings within its bankruptcy 

jurisdiction. Fed. R. Civ. P. 83 governs 

the procedure for adopting local rules. 

The rules must: 

(A) be consistent with—but not 

duplicate—Acts of Congress and 

these rules; 

(B) not prohibit or limit using Official 

Forms; and 

(C) conform to any uniform 

numbering system prescribed by 

the Judicial Conference of the 

United States. 

(2) Delegating Authority to the 

Bankruptcy Judges. A district court 

may—subject to any limitation or 

condition it may prescribe and Fed. R. 

Civ. P. 83—authorize the district’s 

bankruptcy judges to make and amend 

local bankruptcy rules. 

(b) Limit on Enforcing a Local Rule 

Regarding Form. A local rule imposing a 

requirement of form must not be enforced 

in a way that causes a party to lose any right 

because of a nonwillful failure to comply. 

(b) PROCEDURE WHEN THERE IS 

NO CONTROLLING LAW. A judge 

may regulate practice in any manner 

consistent with federal law, these rules, 

Official Forms, and local rules of the 

district. No sanction or other 

disadvantage may be imposed for 

noncompliance with any requirement 

(c) Procedure When There Is No 

Controlling Law. A judge may regulate 

practice in any manner consistent with 

federal law, these rules, the Official Forms, 

and the district’s local rules. For any 

requirement set out elsewhere, a sanction or 

other disadvantage may be imposed for 

noncompliance only if the alleged violator 

Rules Appendix B-436
(9000 Series) 45 

ORIGINAL REVISION

not in federal law, federal rules, Official 

Forms, or the local rules of the district 

unless the alleged violator has been 

furnished in the particular case with 

actual notice of the requirement. 

was given actual notice of the requirement 

in the particular case. 

Committee Note 

The language of Rule 9029 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-437
(9000 Series) 46 

ORIGINAL REVISION

Rule 9030. Jurisdiction and Venue 

Unaffected 

Rule 9030. Jurisdiction and Venue 

Not Extended or Limited 

These rules shall not be construed to 

extend or limit the jurisdiction of the 

courts or the venue of any matters 

therein.

These rules must not be construed to extend or 

limit the courts’ jurisdiction or the venue of any 

matters. 

Committee Note 

The language of Rule 9030 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-438
(9000 Series) 47 

ORIGINAL REVISION

Rule 9031. Masters Not Authorized Rule 9031. Using Masters Not 

Authorized 

Rule 53 F.R.Civ.P. does not apply in 

cases under the Code.

Fed. R. Civ. P. 53 does not apply in a 

bankruptcy case. 

Committee Note 

The language of Rule 9031 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-439
(9000 Series) 48 

ORIGINAL REVISION

Rule 9032. Effect of Amendment of 

Federal Rules of Civil Procedure 

Rule 9032. Effect of an Amendment to 

the Federal Rules of Civil Procedure 

The Federal Rules of Civil Procedure 

which are incorporated by reference and 

made applicable by these rules shall be 

the Federal Rules of Civil Procedure in 

effect on the effective date of these rules 

and as thereafter amended, unless 

otherwise provided by such amendment 

or by these rules.

To the extent these rules incorporate by 

reference the Federal Rules of Civil Procedure, 

an amendment to those rules is also effective 

under these rules, unless the amendment or 

these rules provide otherwise. 

Committee Note 

The language of Rule 9032 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-440
(9000 Series) 49 

ORIGINAL REVISION

Rule 9033. Proposed Findings of 

Fact and Conclusions of Law 

Rule 9033. Proposed Findings of Fact 

and Conclusions of Law 

(a) SERVICE. In a proceeding in which 

the bankruptcy court has issued 

proposed findings of fact and 

conclusions of law, the clerk shall serve 

forthwith copies on all parties by mail 

and note the date of mailing on the 

docket.

(a) Service. When a bankruptcy court issues 

proposed findings of fact and conclusions 

of law, the clerk must promptly serve a 

copy, by mail, on every party and must note 

the date of mailing on the docket. 

(b) OBJECTIONS: TIME FOR 

FILING. Within 14 days after being 

served with a copy of the proposed 

findings of fact and conclusions of law a 

party may serve and file with the clerk 

written objections which identify the 

specific proposed findings or 

conclusions objected to and state the 

grounds for such objection. A party may 

respond to another party’s objections 

within 14 days after being served with a 

copy thereof. A party objecting to the 

bankruptcy judge’s proposed findings or 

conclusions shall arrange promptly for 

the transcription of the record, or such 

portions of it as all parties may agree 

upon or the bankruptcy judge deems 

sufficient, unless the district judge 

otherwise directs. 

(b) Objections; Time to File. 

(1) Time to File. Within 14 days after 

being served, a party may file and serve 

objections. They must identify each 

proposed finding or conclusion 

objected to and state the grounds for 

objecting. A party may respond to 

another party’s objections within 

14 days after being served with a copy. 

(2) Ordering a Transcript. Unless the 

district judge orders otherwise, a party 

filing objections must promptly order a 

transcript of the record, or the parts of 

it that all parties agree are—or the 

bankruptcy judge considers to be—

sufficient. 

(c) EXTENSION OF TIME. The 

bankruptcy judge may for cause extend 

the time for filing objections by any 

party for a period not to exceed 21 days 

from the expiration of the time 

otherwise prescribed by this rule. A 

request to extend the time for filing 

objections must be made before the 

time for filing objections has expired, 

except that a request made no more than 

21 days after the expiration of the time 

for filing objections may be granted 

upon a showing of excusable neglect. 

(3) Extending the Time. On request 

made before the time to file objections 

expires, the bankruptcy judge may, for 

cause, extend any party’s time to file 

for no more than 21 days after the 

time otherwise expires. But a request 

made within 21 days after that time 

expires may be granted upon a 

showing of excusable neglect. 

Rules Appendix B-441
(9000 Series) 50 

ORIGINAL REVISION

(d) STANDARD OF REVIEW. The 

district judge shall make a de novo 

review upon the record or, after 

additional evidence, of any portion of 

the bankruptcy judge’s findings of fact 

or conclusions of law to which specific 

written objection has been made in 

accordance with this rule. The district 

judge may accept, reject, or modify the 

proposed findings of fact or conclusions 

of law, receive further evidence, or 

recommit the matter to the bankruptcy 

judge with instructions. 

(c) Review by the District Judge. The 

district judge: 

(1) must review de novo—on the record 

or after receiving additional 

evidence—any part of the bankruptcy 

judge’s findings of fact or conclusions 

of law to which specific written 

objection has been made under (b); 

and 

(2) may accept, reject, or modify the 

proposed findings of fact or 

conclusions of law, take additional 

evidence, or remand the matter to the 

bankruptcy judge with instructions. 

Committee Note 

The language of Rule 9033 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-442
(9000 Series) 51 

ORIGINAL REVISION

Rule 9034. Transmittal of Pleadings, 

Motion Papers, Objections, and 

Other Papers to the United States 

Trustee 

Rule 9034. Sending Copies to the 

United States Trustee 

Unless the United States trustee requests 

otherwise or the case is a chapter 9 

municipality case, any entity that files a 

pleading, motion, objection, or similar 

paper relating to any of the following 

matters shall transmit a copy thereof to 

the United States trustee within the time 

required by these rules for service of the 

paper: 

 (a) a proposed use, sale, or lease 

of property of the estate other than in 

the ordinary course of business; 

 (b) the approval of a 

compromise or settlement of a 

controversy; 

 (c) the dismissal or conversion 

of a case to another chapter; 

 (d) the employment of 

professional persons; 

 (e) an application for 

compensation or reimbursement of 

expenses; 

 (f) a motion for, or approval of 

an agreement relating to, the use of cash 

collateral or authority to obtain credit; 

 (g) the appointment of a trustee 

or examiner in a chapter 11 

reorganization case; 

 (h) the approval of a disclosure 

statement; 

 (i) the confirmation of a plan; 

 (j) an objection to, or waiver or 

revocation of, the debtor’s discharge; 

 (k) any other matter in which the 

United States trustee requests copies of 

filed papers or the court orders copies 

Except in a Chapter 9 case or when the United 

States trustee requests otherwise, an entity filing 

a pleading, motion, objection, or similar 

document relating to any of the following must 

send a copy to the United States trustee within 

the time required for service: 

(a) a proposed use, sale, or lease of property of 

the estate other than in the ordinary course 

of business; 

(b) the approval of a compromise or 

settlement of a controversy; 

(c) the dismissal or conversion of a case to 

another chapter; 

(d) the employment of a professional person; 

(e) an application for compensation or 

reimbursement of expenses; 

(f) a motion for, or the approval of an 

agreement regarding, the use of cash 

collateral or authority to obtain credit; 

(g) the appointment of a trustee or examiner in 

a Chapter 11 case; 

(h) the approval of a disclosure statement; 

(i) the confirmation of a plan; 

(j) an objection to, or waiver or revocation of, 

the debtor’s discharge; or 

(k) any other matter in which the United States 

trustee requests copies of filed documents 

or the court orders copies sent to the 

United States trustee. 

Rules Appendix B-443
(9000 Series) 52 

ORIGINAL REVISION

transmitted to the United States trustee.

Committee Note 

The language of Rule 9034 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-444
(9000 Series) 53 

ORIGINAL REVISION

Rule 9035. Applicability of Rules in 

Judicial Districts in Alabama and 

North Carolina 

Rule 9035. Applying These Rules in a 

Judicial District in Alabama or North 

Carolina 

In any case under the Code that is filed 

in or transferred to a district in the State 

of Alabama or the State of North 

Carolina and in which a United States 

trustee is not authorized to act, these 

rules apply to the extent that they are 

not inconsistent with any federal statute 

effective in the case.

In a bankruptcy case filed in or transferred to a 

district in Alabama or North Carolina and in 

which a United States trustee is not authorized 

to act, these rules apply to the extent they are 

not inconsistent with any applicable federal 

statute. 

Committee Note 

The language of Rule 9035 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-445
(9000 Series) 54 

ORIGINAL REVISION

Rule 9036. Notice and Service by 

Electronic Transmission 

Rule 9036. Electronic Notice and 

Service 

(a) IN GENERAL. This rule applies 

whenever these rules require or 

permit sending a notice or serving a 

paper by mail or other means. 

(b) NOTICES FROM AND SERVICE 

BY THE COURT. 

 (1) Registered Users. The clerk may 

send notice to or serve a 

registered user by filing the 

notice or paper with the court’s 

electronic-filing system. 

 (2) All Recipients. For any recipient, 

the clerk may send notice or 

serve a paper by electronic 

means that the recipient 

consented to in writing, 

including by designating an 

electronic address for receipt 

of notices. But these 

exceptions apply: 

 (A) if the recipient has 

registered an electronic 

address with the 

Administrative Office of 

the United States Courts’ 

bankruptcy-noticing 

program, the clerk shall 

send the notice to or serve 

the paper at that address; 

and 

 (B) if an entity has been 

designated by the Director 

of the Administrative 

Office of the United 

States Courts as a highvolume paper-notice 

recipient, the clerk may 

send the notice to or serve 

the paper electronically at 

(a) In General. This rule applies whenever 

these rules require or permit sending a 

notice or serving a document by mail or 

other means. 

(b) Notices from and Service by the Court. 

 (1) To Registered Users. The clerk may 

send notice to or serve a registered 

user by filing the notice or document 

with the court’s electronic-filing 

system. 

 (2) To All Recipients. For any recipient, 

the clerk may send notice or serve a 

document by electronic means that the 

recipient consented to in writing, 

including by designating an electronic 

address for receiving notices. But these 

exceptions apply: 

 (A) if the recipient has registered an 

electronic address with the 

Administrative Office of the 

United States Courts’ bankruptcynoticing program, the clerk must 

use that address; and 

 (B) if an entity has been designated by 

the Director of the Administrative 

Office of the United States Courts 

as a high-volume paper-notice 

recipient, the clerk may send the 

notice to or serve the document 

electronically at an address 

designated by the Director, unless 

the entity has designated an 

address under § 342(e) or (f). 

(c) Notices from and Service by an Entity.

An entity may send notice or serve a 

document in the same manner that the 

clerk does under (b), excluding (b)(2)(A) 

and (B). 

Rules Appendix B-446
(9000 Series) 55 

ORIGINAL REVISION

an address designated by 

the Director, unless the 

entity has designated an 

address under § 342(e) or 

(f) of the Code. 

(c) NOTICES FROM AND 

SERVICE BY AN ENTITY. An 

entity may send notice or serve a 

paper in the same manner that the 

clerk does under (b), excluding 

(b)(2)(A) and (B). 

(d) COMPLETING NOTICE OR 

SERVICE. Electronic notice or 

service is complete upon filing or 

sending but is not effective if the 

filer or sender receives notice that it 

did not reach the person to be 

served. It is the recipient’s 

responsibility to keep its electronic 

address current with the clerk. 

(e) INAPPLICABILITY. This rule 

does not apply to any paper 

required to be served in accordance 

with Rule 7004.

(d) When Notice or Service Is Complete; 

Keeping an Address Current. Electronic 

notice or service is complete upon filing 

or sending but is not effective if the filer 

or sender receives notice that it did not 

reach the person to be notified or served. 

The recipient must keep its electronic 

address current with the clerk. 

(e) Inapplicability. This rule does not apply 

to any document required to be served in 

accordance with Rule 7004. 

Committee Note 

The language of Rule 9036 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-447
(9000 Series) 56 

ORIGINAL REVISION

Rule 9037. Privacy Protection For 

Filings Made with the Court 

Rule 9037. Protecting Privacy for 

Filings 

(a) REDACTED FILINGS. Unless the 

court orders otherwise, in an electronic 

or paper filing made with the court that 

contains an individual’s social-security 

number, taxpayer-identification number, 

or birth date, the name of an individual, 

other than the debtor, known to be and 

identified as a minor, or a financialaccount number, a party or nonparty 

making the filing may include only: 

 (1) the last four digits of the 

social-security number and taxpayeridentification number; 

 (2) the year of the individual’s 

birth; 

 (3) the minor’s initials; and 

 (4) the last four digits of the 

financial-account number. 

(a) Redacted Filings. Unless the court orders 

otherwise, in an electronic or paper filing 

with the court that contains an individual’s 

social-security number, taxpayeridentification number, or birth date, the 

name of an individual other than the debtor 

known to be and identified as a minor, or a 

financial-account number, a party or 

nonparty making the filing may include 

only: 

(1) the last four digits of a social-security 

and taxpayer-identification number; 

(2) the year of the individual’s birth; 

(3) the minor’s initials; and 

(4) the last four digits of the financialaccount number. 

(b) EXEMPTIONS FROM THE 

REDACTION REQUIREMENT. The 

redaction requirement does not apply to 

the following: 

 (1) a financial-account number 

that identifies the property allegedly 

subject to forfeiture in a forfeiture 

proceeding; 

 (2) the record of an 

administrative or agency proceeding 

unless filed with a proof of claim; 

 (3) the official record of a statecourt proceeding; 

 (4) the record of a court or 

tribunal, if that record was not subject to 

the redaction requirement when 

originally filed; 

 (5) a filing covered by 

subdivision (c) of this rule; and 

(b) Exemptions from the Redaction 

Requirement. The redaction requirement 

does not apply to the following: 

(1) a financial-account number that 

identifies the property allegedly subject 

to forfeiture in a forfeiture proceeding; 

(2) the record of an administrative or 

agency proceeding, unless filed with a 

proof of claim; 

(3) the official record of a state-court 

proceeding; 

(4) the record of a court or tribunal, if that 

record was not subject to the redaction 

requirement when originally filed; 

(5) a filing covered by (c); and 

(6) a filing subject to § 110. 

Rules Appendix B-448
(9000 Series) 57 

ORIGINAL REVISION

 (6) a filing that is subject to § 

110 of the Code. 

(c) FILINGS MADE UNDER SEAL. 

The court may order that a filing be 

made under seal without redaction. The 

court may later unseal the filing or order 

the entity that made the filing to file a 

redacted version for the public record. 

(c) Filings Made Under Seal. The court may 

order that a filing be made under seal 

without redaction. The court may later 

unseal the filing or order the entity that 

made it to file a redacted version for the 

public record. 

(d) PROTECTIVE ORDERS. For 

cause, the court may by order in a case 

under the Code: 

 (1) require redaction of 

additional information; or 

 (2) limit or prohibit a nonparty’s 

remote electronic access to a document 

filed with the court. 

(d) Protective Orders. For cause, the court 

may by order in a case: 

(1) require redaction of additional 

information; or 

(2) limit or prohibit a nonparty’s remote 

electronic access to a document filed 

with the court. 

(e) OPTION FOR ADDITIONAL 

UNREDACTED FILING UNDER 

SEAL. An entity making a redacted 

filing may also file an unredacted copy 

under seal. The court must retain the 

unredacted copy as part of the record. 

(e) Option for Additional Unredacted 

Document Under Seal. An entity filing a 

redacted document may also file an 

unredacted copy under seal. The court must 

retain the unredacted copy as part of the 

record. 

(f) OPTION FOR FILING A 

REFERENCE LIST. A filing that 

contains redacted information may be 

filed together with a reference list that 

identifies each item of redacted 

information and specifies an appropriate 

identifier that uniquely corresponds to 

each item listed. The list must be filed 

under seal and may be amended as of 

right. Any reference in the case to a 

listed identifier will be construed to refer 

to the corresponding item of 

information. 

(f) Option for Filing a Reference List. A 

filing that contains redacted information 

may be filed together with a reference list 

that identifies each item of redacted 

information and specifies an appropriate 

identifier that uniquely corresponds to each 

item listed. The list must be filed under seal 

and may be amended as of right. A 

reference in the case to a listed identifier 

will be construed to refer to the 

corresponding item of information. 

(g) WAIVER OF PROTECTION OF 

IDENTIFIERS. An entity waives the 

protection of subdivision (a) as to the 

entity’s own information by filing it 

without redaction and not under seal. 

(g) Waiver of Protection of Identifiers. An 

entity waives the protection of (a) for the 

entity’s own information by filing it without 

redaction and not under seal. 

Rules Appendix B-449
(9000 Series) 58 

ORIGINAL REVISION

(h) MOTION TO REDACT A 

PREVIOUSLY FILED DOCUMENT. 

 (1) Content of the Motion; Service. 

Unless the court orders otherwise, if an 

entity seeks to redact from a previously 

filed document information that is 

protected under subdivision (a), the 

entity must: 

 (A) file a motion to 

redact identifying the proposed 

redactions; 

 (B) attach to the motion 

the proposed redacted document; 

 (C) include in the motion 

the docket or proof-of-claim number of 

the previously filed document; and 

 (D) serve the motion and 

attachment on the debtor, debtor’s 

attorney, trustee (if any), United States 

trustee, filer of the unredacted 

document, and any individual whose 

personal identifying information is to be 

redacted. 

 (2) Restricting Public Access to the 

Unredacted Document; Docketing the Redacted 

Document. The court must promptly 

restrict public access to the motion and 

the unredacted document pending its 

ruling on the motion. If the court grants 

it, the court must docket the redacted 

document. The restrictions on public 

access to the motion and unredacted 

document remain in effect until a 

further court order. If the court denies 

it, the restrictions must be lifted, unless 

the court orders otherwise. 

(h) Motion to Redact a Previously Filed 

Document.

(1) Content; Service. Unless the court 

orders otherwise, an entity seeking to 

redact from a previously filed 

document information that is 

protected under (a) must: 

(A) file a motion that identifies the 

proposed redactions; 

(B) attach to it the proposed redacted 

document; 

(C) include the docket number—or 

proof-of-claim number—of the 

previously filed document; and 

(D)serve the motion and attachment 

on: 

 the debtor; 

 the debtor’s attorney; 

 any trustee; 

 the United States trustee; 

 the entity that filed the 

unredacted document; and 

 any individual whose personal 

identifying information is to be 

redacted. 

(2) Restricting Public Access to the 

Unredacted Document; Docketing 

the Redacted Document. Pending 

its ruling, the court must promptly 

restrict access to the motion and the 

unredacted document. If the court 

grants the motion, the clerk must 

docket the redacted document. The 

restrictions on public access to the 

motion and unredacted document 

remain in effect until a further court 

order. If the court denies the motion, 

the restrictions must be lifted, unless 

the court orders otherwise. 

Rules Appendix B-450
(9000 Series) 59 

Committee Note 

The language of Rule 9037 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-451
(9000 Series) 60 

ORIGINAL REVISION

Rule 9038. Bankruptcy Rules 

Emergency4

Rule 9038. Bankruptcy Rules Emergency

(a) CONDITIONS FOR AN 

EMERGENCY. The Judicial 

Conference of the United States may 

declare a Bankruptcy Rules emergency if 

it determines that extraordinary 

circumstances relating to public health 

or safety, or affecting physical or 

electronic access to a bankruptcy court, 

substantially impair the court’s ability to 

perform its functions in compliance with 

these rules. 

(b) DECLARING AN EMERGENCY. 

 (1) Content. The declaration 

must: 

 (A) designate the 

bankruptcy court or courts affected;

 (B) state any restrictions 

on the authority granted in (c); and 

 (C) be limited to a stated 

period of no more than 90 days. 

 (2) Early Termination. The Judicial 

Conference may terminate a declaration 

for one or more bankruptcy courts 

before the termination date. 

 (3) Additional Declarations. The 

Judicial Conference may issue additional 

declarations under this rule. 

(c) TOLLING AND EXTENDING 

TIME LIMITS. 

 (1) In an Entire District or Division. 

When an emergency is in effect for a 

bankruptcy court, the chief bankruptcy 

judge may, for all cases and proceedings 

in the district or in a division:

 (A) order the extension 

or tolling of a Bankruptcy Rule, local 

(a) Conditions for an Emergency. The 

Judicial Conference of the United States 

may declare a Bankruptcy Rules emergency 

if it determines that extraordinary 

circumstances relating to public health or 

safety, or affecting physical or electronic 

access to a bankruptcy court, substantially 

impair the court’s ability to perform its 

functions in compliance with these rules. 

(b) Declaring an Emergency. 

(1) Content. The declaration must: 

(A) designate the bankruptcy court 

or courts affected;

(B) state any restrictions on the 

authority granted in (c); and 

(C) be limited to a stated period of 

no more than 90 days. 

(2) Early Termination. The Judicial 

Conference may terminate a 

declaration for one or more 

bankruptcy courts before the 

termination date. 

(3) Additional Declarations. The 

Judicial Conference may issue 

additional declarations under this rule. 

(c) Tolling and Extending Time Limits. 

(1) In an Entire District or Division. 

When an emergency is in effect for a 

bankruptcy court, the chief bankruptcy 

judge may, for all cases and 

proceedings in the district or in a 

division: 

(A) order the extension or tolling of a 

Bankruptcy Rule, local rule, or 

order that requires or allows a 

court, a clerk, a party in interest, or 

4

 Rule 9038 is scheduled to become effective on Dec. 1, 2023. The only changes are to the 

font of headings in its subsections to conform with the restyled rules. 

Rules Appendix B-452
(9000 Series) 61 

ORIGINAL REVISION

rule, or order that requires or allows a 

court, a clerk, a party in interest, or the 

United States trustee, by a specified 

deadline, to commence a proceeding, file 

or send a document, hold or conclude a 

hearing, or take any other action, despite 

any other Bankruptcy Rule, local rule, or 

order; or 

 (B) order that, when a 

Bankruptcy Rule, local rule, or order 

requires that an action be taken 

“promptly,” “forthwith,” “immediately,” 

or “without delay,” it be taken as soon 

as is practicable or by a date set by the 

court in a specific case or proceeding. 

 (2) In a Specific Case or Proceeding. 

When an emergency is in effect for a 

bankruptcy court, a presiding judge may 

take the action described in (1) in a 

specific case or proceeding. 

 (3) When an Extension or Tolling 

Ends. A period extended or tolled under 

(1) or (2) terminates on the later of: 

 (A) the last day of the 

time period as extended or tolled or 30 

days after the emergency declaration 

terminates, whichever is earlier; or 

 (B) the last day of the 

time period originally required, imposed, 

or allowed by the relevant Bankruptcy 

Rule, local rule, or order that was 

extended or tolled. 

 (4) Further Extensions or 

Shortenings. A presiding judge may 

lengthen or shorten an extension or 

tolling in a specific case or proceeding. 

The judge may do so only for good 

cause after notice and a hearing and only 

on the judge’s own motion or on 

motion of a party in interest or the 

United States trustee. 

the United States trustee, by a 

specified deadline, to commence a 

proceeding, file or send a 

document, hold or conclude a 

hearing, or take any other action, 

despite any other Bankruptcy Rule, 

local rule, or order; or 

 (B) order that, when a Bankruptcy 

Rule, local rule, or order requires 

that an action be taken 

“promptly,” “forthwith,” 

“immediately,” or “without delay,” 

it be taken as soon as is practicable 

or by a date set by the court in a 

specific case or proceeding. 

(2) In a Specific Case or Proceeding.

When an emergency is in effect for a 

bankruptcy court, a presiding judge 

may take the action described in (1) in 

a specific case or proceeding. 

(3) When an Extension or Tolling 

Ends. A period extended or tolled 

under (1) or (2) terminates on the later 

of: 

 (A) the last day of the time period as 

extended or tolled or 30 days after 

the emergency declaration 

terminates, whichever is earlier; or 

 (B) the last day of the time period 

originally required, imposed, or 

allowed by the relevant Bankruptcy 

Rule, local rule, or order that was 

extended or tolled. 

(4) Further Extensions or Shortenings.

A presiding judge may lengthen or 

shorten an extension or tolling in a 

specific case or proceeding. The judge 

may do so only for good cause after 

notice and a hearing and only on the 

judge’s own motion or on motion of a 

party in interest or the United States 

trustee. 

(5) Exception. A time period imposed by 

Rules Appendix B-453
(9000 Series) 62 

ORIGINAL REVISION

 (5) Exception. A time period 

imposed by statute may not be extended 

or tolled. 

statute may not be extended or tolled. 

Committee Note 

The language of Rule 9038 has been amended as part of the general restyling of the 

Bankruptcy Rules to make them more easily understood and to make style and terminology 

consistent throughout the rules. These changes are intended to be stylistic only. 

Rules Appendix B-454
PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

1 Rule 1007. Lists, Schedules, Statements, and 

Other Documents; Time to File2 2 

1 * * * * *

2 (b) Schedules, Statements, and Other Documents.

3 * * * * *

4 (7) Personal Financial-Management Course.

5 Unless an approved provider has notified the 

6 court that the debtor has completed a course 

7 in personal financial management after filing 

8 the petition or the debtor is not required to 

9 complete one as a condition to discharge, an 

10 individual debtor in a Chapter 7 or Chapter 

1 New material is underlined; matter to be omitted is lined 

through. 

2

 The changes indicated are to the restyled version of 

Rule 1007. The Committee Note that follows the rule describes 

both restyling and substantive changes. 

Rules Appendix B-455
2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

11 13 case—or in a Chapter 11 case in which 

12 § 1141(d)(3) applies—must file a statement 

13 that such a course has been completed (Form 

14 423) certificate of course completion issued 

15 by the provider.

16 * * * * *

17 (c) Time to File.

18 * * * * * 

19 (4) Financial-Management Course. Unless the 

20 court extends the time to file, an individual 

21 debtor must file the statement certificate 

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

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

24 after the first date set for the meeting 

25 of creditors under § 341; and 

26 (B) in a Chapter 11 or Chapter 13 case, no 

27 later than the date the last payment is 

28 made under the plan, or the date a 

Rules Appendix B-456
FEDERAL RULES OF BANKRUPTCY PROCEDURE 3

29 motion for a discharge is filed under 

30 § 1141(d)(5)(B) or § 1328(b). 

31 * * * * *

Committee Note 

The language of Rule 1007 has been amended as part 

of the general restyling of the Bankruptcy Rules to make 

them more easily understood and to make style and 

terminology consistent throughout the rules. These changes 

are intended to be stylistic only. 

Additionally, the following substantive changes have 

been made. 

Rule 1007(b)(7) is amended in two ways. First, 

language is added to make the rule inapplicable to debtors 

who are not required to complete an instructional course 

concerning personal financial management as a condition to 

discharge. See § 727(a)(11), § 1328(g)(2), § 1141(d)(3)(C). 

Second, the rule is amended to require an individual debtor 

who has completed an instructional course concerning 

personal financial management to file the certificate of 

course completion (often called a Certificate of Debtor 

Education) issued by the approved provider of that course in 

lieu of filing an Official Form, if the provider has not notified 

the court that the debtor has completed the course. 

The amendment to Rule 1007(c)(4) reflects the 

amendment to Rule 1007(b)(7) described above. 

Rules Appendix B-457
4 FEDERAL RULES OF BANKRUPTCY PROCEDURE

Rule 4004. Granting or Denying a Discharge3 1 

1 * * * * *

2 (c) Granting a Discharge.

3 (1) Chapter 7. In a Chapter 7 case, when the 

4 times to object to discharge and to file a 

5 motion to dismiss the case under Rule 

6 1017(e) expire, the court must promptly 

7 grant the discharge—except under these 

8 circumstances: 

9 * * * * *

10 (H) the debtor has not filed a statement 

11 certificate showing that a course on 

12 personal financial management has 

13 been completed—if such a statement 

14 certificate is required by Rule 

15 1007(b)(7); 

3

 The changes indicated are to the restyled version of 

Rule 4004. The Committee Note that follows the rule describes 

both restyling and substantive changes. 

Rules Appendix B-458
FEDERAL RULES OF BANKRUPTCY PROCEDURE 5

16 * * * * * 

17 (4) Individual Chapter 11 or Chapter 13 Case.

18 In a Chapter 11 case in which the debtor is an 

19 individual—or in a Chapter 13 case—the 

20 court must not grant a discharge if the debtor 

21 has not filed a statement certificate required 

22 by Rule 1007(b)(7). 

23 * * * * * 

Committee Note 

 The language of Rule 4004 has been amended as part 

of the general restyling of the Bankruptcy Rules to make 

them more easily understood and to make style and 

terminology consistent throughout the rules. These changes 

are intended to be stylistic only. 

Additionally, the following substantive changes have 

been made. 

The amendments to Rule 4004(c)(1)(H) and (c)(4) 

reflect the amendment to Rule 1007(b)(7) that replaces the 

requirement for submission of a statement showing that the 

debtor has completed a course on personal financial 

management with the requirement that the debtor provide the 

certificate of course completion issued by the approved 

provider of that course. 

Rules Appendix B-459
6 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 5009. Closing a Chapter 7, 12, 13, or 15 

Case; Declaring Liens Satisfied4 2 

3 * * * * *

4 (b) Chapter 7 or 13—Notice of a Failure to File a 

5 Statement About Completing Certificate of 

6 Completion for a Course on Personal Financial 

7 Management. This subdivision (b) applies if an 

8 individual debtor in a Chapter 7 or 13 case is required 

9 to file a statement certificate under Rule 1007(b)(7) 

10 and fails to do so within 45 days after the first date 

11 set for the meeting of creditors under § 341(a). The 

12 clerk must promptly notify the debtor that the case 

13 will be closed without entering a discharge if the 

14 statement certificate is not filed within the time 

15 prescribed by Rule 1007(c). 

16 * * * * *

4

 The changes indicated are to the restyled version of 

Rule 5009. The Committee Note that follows the rule describes 

both restyling and substantive changes. 

Rules Appendix B-460
FEDERAL RULES OF BANKRUPTCY PROCEDURE 7

Committee Note 

The language of Rule 5009 has been amended as part 

of the general restyling of the Bankruptcy Rules to make 

them more easily understood and to make style and 

terminology consistent throughout the rules. These changes 

are intended to be stylistic only. 

Additionally, the following substantive changes have 

been made. 

The amendments to Rule 5009(b) reflect the 

amendment to Rule 1007(b)(7) that replaces the requirement 

for submission of a statement showing that the debtor has 

completed a course on personal financial management with 

the requirement that the debtor provide the certificate of 

course completion issued by the approved provider of that 

course.

 

Rules Appendix B-461
8 FEDERAL RULES OF BANKRUPTCY PROCEDURE

Rule 7001. Types of Adversary Proceedings1 1 

2 An adversary proceeding is governed by the rules in 

3 this Part VII. The following are adversary proceedings: 

4 (a) a proceeding to recover money or property—except 

5 a proceeding to compel the debtor to deliver property 

6 to the trustee, a proceeding by an individual debtor 

7 to recover tangible personal property under § 542(a), 

8 or a proceeding under § 554(b), § 725, Rule 2017, or 

9 Rule 6002; 

10 * * * * * 

Committee Note 

 The language of Rule 7001 has been amended as part 

of the general restyling of the Bankruptcy Rules to make 

them more easily understood and to make style and 

terminology consistent throughout the rules. These changes 

are intended to be stylistic only. 

Additionally, the following substantive changes have 

been made. 

1

 The changes indicated are to the restyled version of 

Rule 7001. The Committee Note that follows the rule describes 

both restyling and substantive changes. 

Rules Appendix B-462
FEDERAL RULES OF BANKRUPTCY PROCEDURE 9

Paragraph (a) is amended to create an exception for 

certain turnover proceedings under § 542(a) of the Code. An 

individual debtor may need to obtain the prompt return from 

a third party of tangible personal property—such as an 

automobile or tools of the trade—in order to produce income 

to fund a plan or to regain the use of property that may be 

exempted. As noted by Justice Sotomayor in her 

concurrence in City of Chicago v. Fulton, 141 S. Ct. 585, 

592-95 (2021), the more formal procedures applicable to 

adversary proceedings can be too time-consuming in such a 

situation. Instead, the debtor can now proceed by motion to 

require turnover of such property under § 542(a), and the 

procedures of Rule 9014 will apply. In an appropriate case, 

however, Rule 9014(c) allows the court to order that 

additional provisions of Part VII of the rules will apply to 

the matter. 

Rules Appendix B-463
10 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 8023.1. Substitution of Parties

2 (a) Death of a Party. 

3 (1) After a Notice of Appeal Is Filed. If 

4 a party dies after a notice of appeal 

5 has been filed or while a proceeding 

6 is pending on appeal in the district 

7 court or BAP, the decedent’s personal 

8 representative may be substituted as a 

9 party on motion filed with that court’s 

10 clerk by the representative or by any 

11 party. A party’s motion must be 

12 served on the representative in 

13 accordance with Rule 8011. If the 

14 decedent has no representative, any 

15 party may suggest the death on the 

16 record, and the appellate court may 

17 then direct appropriate proceedings.

Rules Appendix B-464
FEDERAL RULES OF BANKRUPTCY PROCEDURE 11

18 (2) Before a Notice of Appeal Is Filed—

19 Potential Appellant. If a party 

20 entitled to appeal dies before filing a 

21 notice of appeal, the decedent’s 

22 personal representative—or, if there 

23 is no personal representative, the 

24 decedent’s attorney of record—may 

25 file a notice of appeal within the time 

26 prescribed by these rules. After the 

27 notice of appeal is filed, substitution 

28 must be in accordance with (1).

29 (3) Before a Notice of Appeal Is Filed—

30 Potential Appellee. If a party against 

31 whom an appeal may be taken dies 

32 after entry of a judgment or order in 

33 the bankruptcy court, but before a 

34 notice of appeal is filed, an appellant 

35 may proceed as if the death had not 

Rules Appendix B-465
12 FEDERAL RULES OF BANKRUPTCY PROCEDURE

36 occurred. After the notice of appeal is 

37 filed, substitution must be in 

38 accordance with (1).

39 (b) Substitution for a Reason Other Than Death. If a 

40 party needs to be substituted for any reason other 

41 than death, the procedure prescribed in (a) applies.

42 (c) Public Officer: Identification; Substitution.

43 (1) Identification of a Party. A public 

44 officer who is a party to an appeal or 

45 other proceeding in an official 

46 capacity may be described as a party 

47 by the public officer’s official title 

48 rather than by name. But the appellate 

49 court may require the public officer’s 

50 name to be added.

51 (2) Automatic Substitution of an 

52 Officeholder. When a public officer 

53 who is a party to an appeal or other 

Rules Appendix B-466
FEDERAL RULES OF BANKRUPTCY PROCEDURE 13

54 proceeding in an official capacity 

55 dies, resigns, or otherwise ceases to 

56 hold office, the action does not abate. 

57 Subject to Rule 2012, the public 

58 officer’s successor is automatically 

59 substituted as a party. Proceedings 

60 after the substitution are to be in the 

61 name of the substituted party, but any 

62 misnomer that does not affect the 

63 parties’ substantial rights may be 

64 disregarded. An order of substitution 

65 may be entered at any time, but 

66 failure to enter an order does not 

67 affect the substitution.

Committee Note 

Rule 8023.1 is derived from Fed. R. App. P. 43 and 

governs substitution of parties upon death or for any other 

reason in appeals to the district court or bankruptcy appellate 

panel from a judgment, order or decree of a bankruptcy 

court. 

Rules Appendix B-467
14 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 9006. Computing and Extending Time; 

Motions6 2 

3 * * * * *

4 (b) Extending Time. 

5 * * * * * 

6 (3) Extensions Governed by Other Rules. The 

7 court may extend the time to: 

8 * * * * * 

9 (B) file the statement certificate required 

10 by Rule 1007(b)(7), and the schedules 

11 and statements in a small business 

12 case under § 1116(3)—but only as 

13 permitted by Rule 1007(c). 

14 (c) Reducing Time Limits. 

15 * * * * * 

6

 The changes indicated are to the restyled version of 

Rule 9006, not yet in effect. The Committee Note that follows the 

rule describes both restyling and substantive changes. 

Rules Appendix B-468
FEDERAL RULES OF BANKRUPTCY PROCEDURE 15

16 (2) When Not Permitted. The court may not 

17 reduce the time to act under Rule 2002(a)(7), 

18 2003(a), 3002(c), 3014, 3015, 4001(b)(2) or 

19 (c)(2), 4003(a), 4004(a), 4007(c), 4008(a), 

20 8002, or 9033(b). Also, the court may not, 

21 under Rule 1007(c), reduce the time to file 

22 the statement certificate required by Rule 

23 1007(b)(7).

Committee Note 

The language of Rule 9006 has been amended as part 

of the general restyling of the Bankruptcy Rules to make 

them more easily understood and to make style and 

terminology consistent throughout the rules. These changes 

are intended to be stylistic only. 

Additionally, the following substantive changes have 

been made. 

The amendments to Rules 9006(b)(3)(B) and (c)(2) 

reflect the amendment to Rule 1007(b)(7) that replaces the 

requirement for submission of a statement showing that the 

debtor has completed a course on personal financial 

management with the requirement that the debtor provide the 

certificate of course completion issued by the approved 

provider of that course. 

Rules Appendix B-469
Mortgage Proof of Claim Attachment 

If you file a claim secured by a security interest in the debtor’s principal residence, you must use this form as an attachment to your proof 

Official Form 410A Mortgage Proof of Claim Attachment 

Part 1: Mortgage and Case Information Part 2: Total Debt Calculation Part 3: Arrearage as of Date of the Petition PCase number: 

____________________

Principal balance: __________ Principal due: ____________ 

Debtor 1: ____________________ Interest due: __________ Interest due: ____________ Debtor 2: 

____________________ 

Fees, costs due: 

__________

Prepetition fees due: ____________ 

i

Last 4 digits to identify: ___ ___ ___ ___ Escrow deficiency for funds advanced: 

__________

Escrow deficiency for funds advanced: 

____________

Tp

Creditor: 

____________________

Less total funds on hand: – _________ Projected escrow shortage: ____________ 

Servicer: 

____________________ 

Total debt: __________ Less funds on hand: – ___________ 

Fixed accrual/daily simple interest/other: ____________________ Total prepetition arrearage: ____________ 

Part 5 : Loan Payment History from First Date of Default 

Account Activity How Funds Were Applied/Amount Incurred Balance Aft

A. Date 

B. Contractual payment amount 

C. Funds received 

D. Amount incurred 

E. Description 

F. Contractual due date 

G. Prin, int & esc past due balance 

H. Amount to principal

I. Amount to interest 

J. Amount to escrow 

K. Amount to fees or charges 

L. Unapplied funds 

M. Principal balance 

NAinba

Rules Appendix B-470
Mortgage Proof of Claim Attachment: Additional Page 

Case number: Debtor 1: 

Official Form 410A Mortgage Proof of Claim Attachment 

Part 5 : Loan Payment History from First Date of Default 

Account Activity How Funds Were Applied/Amount Incurred Balance Aft

A. Date 

B. Contractual payment amount 

C. Funds received 

D. Amount incurred 

E. Description 

F. Contractual due date 

G. Prin, int & esc past due balance 

H. Amount to principal

I. Amount to interest 

J. Amount to escrow 

K. Amount to fees or charges 

L. Unapplied funds 

M. Principal balance 

NAinba
Official Form 410 (Committee Note) (12/23)

Committee Note 

Part 3 of Form 410A is amended to provide for 

separate itemization of principal due and interest due. 

Because under § 1322(e) the amount necessary to cure a 

default is “determined in accordance with the underlying 

agreement and applicable nonbankruptcy law,” it may be 

necessary for a debtor who is curing arrearages under 

§ 1325(a)(5) to know which portion of the total arrearages is 

principal and which is interest. 

Rules Appendix B-472
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

H. THOMAS BYRON III

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

REBECCA B. CONNELLY

BANKRUPTCY RULES

ROBIN L. ROSENBERG

CIVIL RULES

JAMES C. DEVER III

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Honorable John D. Bates, Chair 

 Standing Committee on Rules of Practice and Procedure 

FROM: Honorable Rebecca B. Connelly, Chair 

 Advisory Committee on Bankruptcy Rules 

RE: Report of the Advisory Committee on Bankruptcy Rules 

DATE: May 17, 2023 

I. Introduction

The Advisory Committee on Bankruptcy Rules met in West Palm Beach, Florida, on March 

30, 2023. Two Committee members were unable to attend; the rest of the Committee met in 

person. * * * 

At the meeting, the Advisory Committee gave its final approval to rule and form 

amendments that were published for comment last August. They consist of (1) the restyled 

Bankruptcy Rules; (2) amendments to Rule 1007(b)(7) (Schedules, Statements, and Other 

Documents Required) and conforming amendments to six other rules; (3) an amendment to Rule 

7001 (Types of Adversary Proceedings); (4) new Rule 8023.1 (Substitution of Parties); and (5) an 

amendment to Official Form 410A (Mortgage Proof of Claim Attachment). 

Rules Appendix B-473
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules

* * * * * 

Part II of this report presents those action items and is organized as follows: 

A. Items for Final Approval

• The restyled Bankruptcy Rules; 

• Rule 1007; conforming amendments to Rules 4004, 5009, 9006; and abrogation of 

Official Form 423;

• Rule 7001;

• Rule 8023.1; and

• Official Form 410A.

* * * * * 

II. Action Items

A. Items for Final Approval

The Advisory Committee recommends that the Standing Committee approve the 

proposed rule and form amendments that were published for public comment in 2022 and 

are discussed below. Bankruptcy Appendix A includes the rules and the form that are in this 

group. 

Action Item 1. The Restyled Bankruptcy Rules. This submission marks the culmination 

of the Advisory Committee’s Restyling Project. Parts I and II of the restyled Federal Rules of 

Bankruptcy Procedure were given approval after publication by the Advisory Committee in March 

2021 and by the Standing Committee in June 2021. Parts III–VI were given approval after 

publication by the Advisory Committee in March 2022 and by the Standing Committee in June 

2022. Parts VII–IX were given final approval after publication by the Advisory Committee in 

March 2023 and are being presented for final approval by the Standing Committee at this meeting.

Since they were approved, Parts I–VI have been modified in minor respects for three 

reasons: 

• there have been substantive amendments made to the existing Federal Rules of 

Bankruptcy Procedure that needed to be reflected in the restyled versions of those rules; 

• the style consultants did a “top-to-bottom” review of all the rules and made additional 

stylistic and conforming changes; and 

• in reviewing the proposed changes of the style consultants, the Restyling Subcommittee 

suggested its own additional corrections and minor changes, which the Advisory 

Committee approved. 

Rules Appendix B-474
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules

 A copy of Parts I–VI showing changes from the versions that were previously approved is 

included in the appendix to this report. 

With respect to Parts VII–IX, extensive comments were submitted on the restyled rules 

from the National Bankruptcy Conference, and comments were also submitted by several others. 

After discussion with the style consultants and consideration by the Restyling Subcommittee, the 

Advisory Committee incorporated some of those suggested changes into the revised rules and 

rejected others. Comments and changes since publication are noted on the restyled rules in the 

appendix to this report. 

Action Item 2. Rules 1007 (Lists, Schedules, Statements, and Other Documents; Time 

to File), 4004 (Granting or Denying a Discharge), 5009(b) (Closing a Chapter 7, 12, 13, or 15 

Case; Declaring Liens Satisfied), 9006 (Computing and Extending Time; Motions), and the 

Abrogation of Official Form 423 (Certification About a Financial Management Course). 

Bankruptcy Code § 727(a)(11) provides, subject to limited exceptions, that a debtor will 

not receive a discharge if “after filing the petition, the debtor failed to complete an [approved] 

instructional course concerning personal financial management.” This restriction applies to 

individual debtors in chapter 7, in certain chapter 11 cases (see § 1141(d)(3)), and in chapter 13 

(see § 1328(g)(1)). The amendment to Rule 1007(b)(7) would eliminate the requirement that the 

debtor file a statement on Official Form 423 to certify satisfaction of this requirement. Instead, it 

would require the filing of the certificate of course completion provided by the approved course 

provider. The amendments would also eliminate the requirement that a debtor who has been 

excused from taking such a course file Official Form 423, indicating the court’s waiver of the 

requirement. The form would be abrogated, and references in Rules 1007, 4004, 5009, and 9006

that refer to the “statement” described in current Rule 1007(b)(7) would be amended to refer to a 

“certificate.”

There were no comments on the proposed amendments, and the Advisory Committee 

approved them as published. 

Action Item 3. Rule 7001 (Types of Adversary Proceedings). In August 2022 the 

Standing Committee published a proposed amendment to Rule 7001 that would allow the turnover 

of certain estate property to be sought by motion rather than by adversary proceeding. The original 

suggestion for an amendment was prompted by Justice Sotomayor’s concurring opinion in City of 

Chicago v. Fulton, 141 S. Ct. 585, 595 (2021), in which she wrote that “[i]t is up to the Advisory 

Committee on Rules of Bankruptcy Procedure to consider amendments to the Rules that ensure 

prompt resolution of debtors’ requests for turnover under § 542(a), especially where debtors’ 

vehicles are concerned.” The proposed amendment would add an exception to Rule 7001(a)’s 

general requirement that the recovery of money or property be sought by adversary proceeding. It 

would allow a debtor to proceed by motion to require the turnover of tangible personal property 

under § 542(a), thereby permitting a swifter resolution of the matter. 

Only one comment on the proposed amendment was submitted in response to publication. 

Bonial & Associates, P.C., a creditor law firm, wrote that it supported the amendment because it 

“will streamline the turnover process and should create consistency nationally.” The comment 

Rules Appendix B-475
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules

noted the inconsistencies in current turnover practices from one district to another and stated that 

“[c]reditors would benefit from one national and consistent approach to turnovers across all 

jurisdictions.” 

The Advisory Committee approved the amendment to Rule 7001 as published. 

Action Item 4. New Rule 8023.1 (Substitution of Parties). Rule 8023.1 deals with the 

substitution of parties in the appeal of a bankruptcy case to a district court or a bankruptcy appellate 

panel. Bankruptcy Rule 7025, Fed. R. Civ. P. 25, and Fed. R. App. P. 43 do not apply to such 

appeals, and the new rule is intended to fill that gap. It is modeled on Fed. R. App. P. 43. 

No comments were submitted on the proposed new rule. The Advisory Committee 

approved it with changes suggested by the style consultants. 

Action Item 5. Official Form 410A (Mortgage Proof of Claim Attachment). The 

amendment replaces the first line in Form 410A’s Attachment A, Part 3 (Arrearage as of Date of 

the Petition), which currently asks for “Principal & Interest” in a single line. The amended form 

would have two lines, one for “Principal” and one for “Interest.” Because under Bankruptcy Code 

§ 1322(e) the amount necessary to cure a default is “determined in accordance with the underlying 

agreement and applicable nonbankruptcy law,” it may be necessary for a debtor who is curing 

arrearages under § 1325(a)(5) to know which portion of the total arrearages is principal and which 

is interest. The amendment puts the burden on the claim holder to identify the elements of its 

claim.

The Advisory Committee received one comment on the proposed amendment from 

attorney William M.E. Powers III. Mr. Powers suggested that the change is unnecessary because 

the Bankruptcy Reform Act of 1994 abrogated Rake v. Wade, 508 U.S. 464 (1993). He also said 

that mortgage servicers do not routinely separate interest and principal components for delinquent 

installments and that this amendment will require them either to upgrade their systems to 

accommodate the form change or to make manual calculations.

In Rake v. Wade the Supreme Court held that an oversecured mortgagee was entitled to

postpetition interest on arrearages paid off under a chapter 13 plan, even when the mortgage itself 

was silent and state law would not have provided for interest to be paid. Section 1322(e) now 

provides that the amount necessary to cure a default under a chapter 13 plan “shall be determined 

in accordance with the underlying agreement and applicable nonbankruptcy law,” thereby 

abrogating Rake. 

The Advisory Committee concluded that the proposed amendment furthers the 

requirements of § 1322(e). To the extent that the underlying agreement provides for interest only 

on principal amounts that are in arrears, but not on interest or other amounts payable under the

agreement, the court must be able to determine how much of the arrearages is principal. The 

amended form will facilitate that determination.

The Advisory Committee approved the form as published. 

* * * * * 

Rules Appendix B-476
PROPOSED AMENDMENT 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; 

4 Waiving 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 (1) In General.

10 (A) A defendant must serve an answer:

11 * * * * *

Committee Note 

Rule 12 is amended to make it clear that a federal 

statute that specifies another time supersedes the times to 

serve a responsive pleading set by paragraphs (a)(2) and (3). 

Paragraph (a)(1) incorporates this provision, but the 

structure of subdivision (a) does not seem to extend it to 

paragraphs (2) and (3). There is no reason to supersede an 

inconsistent statute by any part of Rule 12(a). The amended 

1 New material is underlined; matter to be omitted is lined 

through. 

Agenda E-19 (Appendix C) 

Rules 

September 2023

Rules Appendix C-1
2 FEDERAL RULES OF CIVIL PROCEDURE 

structure recognizes the priority of any statute for all of 

paragraphs (1), (2), and (3). 

Rules Appendix C-2
Excerpt from the May 1, 2023 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

JOHN D. BATES 

CHAIR 

H. THOMAS BYRON III 

SECRETARY 

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE 

APPELLATE RULES 

REBECCA B. CONNELLY 

BANKRUPTCY RULES 

ROBIN L. ROSENBERG 

CIVIL RULES 

JAMES C. DEVER III 

CRIMINAL RULES 

PATRICK J. SCHILTZ 

EVIDENCE RULES 

TO: Hon. John D. Bates, Chair 

Committee on Rules of Practice and Procedure 

FROM: Hon. Robin L. Rosenberg, Chair 

Advisory Committee on Civil Rules 

RE: Report of the Advisory Committee on Civil Rules 

DATE: May 11, 2023 

Introduction

 The Civil Rules Advisory Committee met in West Palm Beach, FL, on March 28, 2023. 

Members of the public attended in person, and public on-line attendance was also provided. * * * 

 Part I of this report presents three items for action at this meeting: 

(a) Rule 12(a) amendment for final approval: A small amendment to Rule 12(a) was 

published for public comment in August 2022. Only three comments were received. The 

Advisory Committee recommends approving this amendment and forwarding it to the 

Judicial Conference. 

* * * * * 

Rules Appendix C-3
Excerpt from the May 1, 2023 Report of the Advisory Committee on Civil Rules

I. Action Items

 A. For final approval: Amendment to Rule 12(a)

 In August 2022, a preliminary draft of a proposed amendment to Rule 12(a) was published 

for public comment. The stimulus was principally that some litigants encountered difficulties 

obtaining summonses in FOIA cases that called for responsive pleadings within the statutory 30-

day deadline because it was not clear that a federal statute prescribing a different time would apply 

to the United States under Rules 12(a)(2) and 12(a)(3). To avoid unintended preemption of such 

statutory time directives, the invocation of federal statutes was moved up to apply to the whole of 

Rule 12(a), as follows: 

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 responsive pleading is as follows: 

(1) In General. 

(A) A defendant must serve an answer: 

* * * * * 

Committee Note

 Rule 12 is amended to make it clear that a federal statute that specifies another time 

supersedes the times to serve a responsive pleading set by paragraphs (a)(2) and (3). Paragraph 

(a)(1) incorporates this provision, but the structure of subdivision (a) does not seem to extend it to 

paragraphs (2) and (3). There is no reason to supersede an inconsistent statute by any part of 

Rule 12(a). The amended structure recognizes the priority of any statute for all of paragraphs (1), 

(2), and (3). 

* * * * * 

Only three comments were received, and they are summarized below. One supports the 

proposed amendment, citing the potential problem in FOIA cases. Another is from Andrew Straw, 

who also has submitted a proposal to amend Rule 11 (discussed below), seemingly objecting to 

something that happened in a case between him and the state of Indiana. 

 The third comment is from the Federal Magistrate Judges Association (FMJA). The FMJA 

recognizes that the amendment clarifies that the response times specified in the rule may be 

superseded by a federal statute even in cases in which the United States is a party. 

 The FMJA suggested, however, that there should be some recognition that other federal 

rules, including various Supplemental Rules, may have response provisions inconsistent with Rule 

Rules Appendix C-4
Excerpt from the May 1, 2023 Report of the Advisory Committee on Civil Rules

12(a). It therefore proposes that the amendment “restore” language stricken in the published 

preliminary draft as follows: 

Unless another time is specified by these rules or a federal statute, the time for 

serving a responsive pleading is as follows: 

 This addition might do no harm, but does not seem to serve an important purpose. The 

FMJA submission does not cite any such rule, but instead says some such rules “might also” 

contain divergent response times, and that they are “potentially conflicting” rules. Yet the only 

such rule that has been called to our attention is Rule 15, and the current rule did not exclude it, so 

there does not appear to be a problem on this account. Some little-known federal statutes (in 

addition to the FOIA) were mentioned when the rule change was under discussion, and the 

amended rule would deal with them. 

 Moreover, this change would go beyond “restoring” the stricken language, which referred 

only to a different time specified by “this rule.” 

 At its March 2023 meeting, the Advisory Committee voted to seek final approval of this 

amendment. 

Summary of Comments on Rule 12(a) Amendment 

Andrew Straw (CV-2022-0003-0003): “Rule 12 has been disregarded to favor the State of Indiana 

and its Attorney General. A deputy AG asked for more time to file a motion to dismiss on 

day 29 after service and the trial judge allowed it even with the lie that 29 days was still 

timely. When I objected to the 7th Circuit, I was slapped with a $500 fine and a ban on 

using any federal court for 2 years. This represents a COURT CLOSURE to hide and 

protect violations of Rule 12(a). Straw v. Indiana Supreme Court, 18-2878 (7th Cir. 2018).” 

Federal Magistrate Judges Association (CV-2022-0003-0006): The amendment clarifies that the 

response times fixed by Rule 12 may be superseded by statute even in cases where the 

United States is a party. The current rule does not recognize that possibility. But other rules 

may contain response provisions that are inconsistent with Rule 12, so the rule could be 

amended to read: “Unless another time is specified by these rules or a federal statute, the 

time for serving a responsive pleading is as follows:” 

Anonymous (CV-2022-0003-0007): I support the proposed amendment. The FOIA gives federal 

agencies 30 days to respond, which should supersede the 60 days provided in Rule 12(a)(2). 

I have had a court clerk issue a 60-day summons even though the statute provides a 30-day 

time limit. Part of the problem may be the standard A.O. form used by courts to issue a 

summons. That form says the U.S. has 60 days to respond, but does not note that there may 

be a different time limit. 

* * * * * 

Rules Appendix C-5
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

1 Rule 107. Illustrative Aids 

2 (a) Permitted Uses. The court may allow a party to

3 present an illustrative aid to help the trier of fact 

4 understand the evidence or argument if the aid’s 

5 utility in assisting comprehension is not substantially 

6 outweighed by the danger of unfair prejudice, 

7 confusing the issues, misleading the jury, undue 

8 delay, or wasting time. 

9 (b) Use in Jury Deliberations. An illustrative aid is not

10 evidence and must not be provided to the jury during 

11 deliberations unless: 

12 (1) all parties consent; or

13 (2) the court, for good cause, orders

14 otherwise. 

1

 New material is underlined; matter to be omitted is lined 

through. 

Agenda E-19 (Appendix D) 

Rules 

September 2023

Rules Appendix D-1
2 FEDERAL RULES OF EVIDENCE 

15 (c) Record. When practicable, an illustrative aid used 

16 at trial must be entered into the record. 

17 (d) Summaries of Voluminous Materials Admitted as 

18 Evidence. A summary, chart, or calculation admitted 

19 as evidence to prove the content of voluminous 

20 admissible evidence is governed by Rule 1006.

Committee Note

 The amendment establishes a new Rule 107 to 

provide standards for the use of illustrative aids. The new 

rule is derived from Maine Rule of Evidence 616. The term 

“illustrative aid” is used instead of the term “demonstrative 

evidence,” as that latter term has been subject to differing 

interpretation in the courts. An illustrative aid is any 

presentation offered not as evidence but rather to assist the 

trier of fact in understanding evidence or argument. 

“Demonstrative evidence” is a term better applied to 

substantive evidence offered to prove, by demonstration, a 

disputed fact. 

 Writings, objects, charts, or other presentations that 

are used during the trial to provide information to the trier of 

fact thus fall into two categories. The first category is 

evidence that is offered to prove a disputed fact; 

admissibility of such evidence is dependent upon satisfying 

the strictures of Rule 403, the hearsay rule, and other 

evidentiary screens. Usually the jury is permitted to take this 

substantive evidence to the jury room during deliberations 

and use it to help determine the disputed facts. 

Rules Appendix D-2
FEDERAL RULES OF EVIDENCE 3 

 The second category—the category covered by this 

rule—is information offered for the narrow purpose of 

helping the trier of fact to understand what is being 

communicated to them by the witness or party presenting 

evidence or argument. Examples may include drawings, 

photos, diagrams, video depictions, charts, graphs, and 

computer simulations. These kinds of presentations, referred 

to in this rule as “illustrative aids,” have also been described 

as “pedagogical devices” and sometimes (and less helpfully) 

“demonstrative presentations”—that latter term being 

unhelpful because the purpose for presenting the information 

is not to “demonstrate” how an event occurred but rather to 

help the trier of fact understand evidence or argument that is 

being or has been presented. 

 A similar distinction must be drawn between a 

summary of voluminous admissible evidence offered to 

prove a fact, and a summary of evidence that is offered solely 

to assist the trier of fact in understanding the evidence. The 

former is subject to the strictures of Rule 1006. The latter is 

an illustrative aid, which the courts have previously 

regulated pursuant to the broad standards of Rule 611(a), and 

which is now to be regulated by the more particularized 

requirements of this Rule 107. 

 While an illustrative aid is by definition not offered 

to prove a fact in dispute, this does not mean that it is free 

from regulation by the court. It is possible that the illustrative 

aid may be prepared to distort or oversimplify the evidence 

presented, or stoke unfair prejudice. This rule requires the 

court to assess the value of the illustrative aid in assisting the 

trier of fact to understand the evidence or argument. Cf. Fed. 

R. Evid. 703; see Adv. Comm. Note to the 2000 amendment 

to Rule 703. Against that beneficial effect, the court must 

Rules Appendix D-3
4 FEDERAL RULES OF EVIDENCE 

weigh most of the dangers that courts take into account in 

balancing evidence offered to prove a fact under Rule 403—

one particular problem being that the illustrative aid might 

appear to be substantive evidence of a disputed event. If 

those dangers substantially outweigh the value of the aid in 

assisting the trier of fact, the trial court should prohibit the 

use of—or order the modification of—the illustrative aid. 

And if the court does allow the aid to be presented at a jury 

trial, the adverse party may ask to have the jury instructed 

about the limited purpose for which the illustrative aid may 

be used. Cf. Rule 105. 

 The intent of the rule is to clarify the distinction 

between substantive evidence and illustrative aids, and to 

provide the court with a balancing test specifically directed 

toward the use of illustrative aids. Illustrative aids can be 

critically important in helping the trier of fact understand the 

evidence or argument. 

 Many courts require advance disclosure of 

illustrative aids, as a means of safeguarding and regulating 

their use. Ordinary discovery procedures concentrate on the 

evidence that will be presented at trial, so illustrative aids are 

not usually subject to discovery. Their sudden appearance 

may not give sufficient opportunity for analysis by other 

parties, particularly if they are complex. That said, there is a 

wide variety of illustrative aids, and a wide variety of 

circumstances under which they might be used. In addition, 

in some cases, advance disclosure may improperly preview 

witness examination or attorney argument. The amendment 

therefore leaves it to trial judges to decide whether, when, 

and how to require advance notice of an illustrative aid. 

Rules Appendix D-4
FEDERAL RULES OF EVIDENCE 5 

 Because an illustrative aid is not offered to prove a 

fact in dispute and is used only in accompaniment with 

presentation of evidence or argument, the amendment 

provides that illustrative aids are not to go to the jury room 

unless all parties consent or the court, for good cause, orders 

otherwise. The Committee determined that allowing the jury 

to use the aid in deliberations, free of the constraint of 

accompaniment with witness testimony or party 

presentation, runs the risk that the jury may unduly 

emphasize the testimony of a witness with whom it was 

used, or otherwise misinterpret the import, usefulness, and 

purpose of the illustrative aid. But the Committee concluded 

that trial courts should have some discretion to allow the jury 

to consider an illustrative aid during deliberations. 

 If the court does allow the jury to review the 

illustrative aid during deliberations, the court must upon 

request instruct the jury that the illustrative aid is not 

evidence and cannot be considered as proof of any fact. 

 This rule is intended to govern the use of an 

illustrative aid at any point in the trial, including in opening 

statement and closing argument. 

 While an illustrative aid is not evidence, if it is used 

at trial it must be marked as an exhibit and made part of the 

record, unless that is impracticable under the circumstances. 

 

Rules Appendix D-5
6 FEDERAL RULES OF EVIDENCE 

1 Rule 613. Witness’s Prior Statement 

2 * * * * * 

3 (b) Extrinsic Evidence of a Prior Inconsistent 

4 Statement. Unless the court orders otherwise, 

5 Eextrinsic evidence of a witness’s prior inconsistent 

6 statement is admissible only if may not be admitted 

7 until after the witness is given an opportunity to 

8 explain or deny the statement and an adverse party is 

9 given an opportunity to examine the witness about it, 

10 or if justice so requires. This subdivision (b) does not 

11 apply to an opposing party’s statement under 

12 Rule 801(d)(2). 

Committee Note 

Rule 613(b) has been amended to require that a 

witness receive an opportunity to explain or deny a prior 

inconsistent statement before the introduction of extrinsic 

evidence of the statement. This requirement of a prior 

foundation is consistent with the common law approach to 

impeachment with prior inconsistent statements. See, e.g.,

Wammock v. Celotex Corp., 793 F.2d 1518, 1521 (11th Cir. 

1986) (“Traditionally, prior inconsistent statements of a 

witness could not be proved by extrinsic evidence unless and 

until the witness was first confronted with the impeaching 

Rules Appendix D-6
FEDERAL RULES OF EVIDENCE 7 

statement.”). The existing rule imposes no timing preference 

or sequence and thus permits an impeaching party to 

introduce extrinsic evidence of a witness’s prior inconsistent 

statement before giving the witness the necessary 

opportunity to explain or deny it. This flexible timing can 

create problems concerning the witness’s availability to be 

recalled, and lead to disputes about which party bears 

responsibility for recalling the witness to afford the 

opportunity to explain or deny. Further, recalling a witness 

solely to afford the requisite opportunity to explain or deny 

a prior inconsistent statement may be inefficient. Finally, 

trial judges may find extrinsic evidence of a prior 

inconsistent statement unnecessary in some circumstances 

where a witness freely acknowledges the inconsistency 

when afforded an opportunity to explain or deny. Affording 

the witness an opportunity to explain or deny a prior 

inconsistent statement before introducing extrinsic evidence 

of the statement avoids these difficulties. The prior 

foundation requirement gives the target of the impeaching 

evidence a timely opportunity to explain or deny the alleged 

inconsistency; promotes judges’ efforts to conduct trials in 

an orderly manner; and conserves judicial resources. 

The amendment preserves the trial court’s discretion 

to delay an opportunity to explain or deny until after the 

introduction of extrinsic evidence in appropriate cases, or to 

dispense with the requirement altogether. A trial judge may 

decide to delay or even forgo a witness’s opportunity to 

explain or deny a prior inconsistent statement in certain 

circumstances, such as when the failure to afford the prior 

opportunity was inadvertent and the witness may be afforded 

a subsequent opportunity, or when a prior opportunity was 

impossible because the witness’s statement was not 

discovered until after the witness testified. 

 

Rules Appendix D-7
8 FEDERAL RULES OF EVIDENCE 

1 Rule 801. Definitions That Apply to This Article; 

2 Exclusions from Hearsay 

3 * * * * * 

4 (d) Statements That Are Not Hearsay. A statement 

5 that meets the following conditions is not hearsay: 

6 * * * * * 

7 (2) An Opposing Party’s Statement. The 

8 statement is offered against an opposing 

9 party and: 

10 (A) was made by the party in an 

11 individual or representative capacity; 

12 (B) is one the party manifested that it 

13 adopted or believed to be true; 

14 (C) was made by a person whom the party 

15 authorized to make a statement on the 

16 subject; 

17 (D) was made by the party’s agent or 

18 employee on a matter within the 

Rules Appendix D-8
FEDERAL RULES OF EVIDENCE 9 

19 scope of that relationship and while it 

20 existed; or 

21 (E) was made by the party’s 

22 coconspirator during and in 

23 furtherance of the conspiracy. 

24 The statement must be considered but 

25 does not by itself establish the declarant’s 

26 authority under (C); the existence or scope of 

27 the relationship under (D); or the existence of 

28 the conspiracy or participation in it under (E). 

29 If a party’s claim, defense, or 

30 potential liability is directly derived from a 

31 declarant or the declarant’s principal, a 

32 statement that would be admissible against 

33 the declarant or the principal under this rule 

34 is also admissible against the party. 

Committee Note 

The rule has been amended to provide that when a 

party stands in the shoes of a declarant or the declarant’s 

Rules Appendix D-9
10 FEDERAL RULES OF EVIDENCE 

principal, hearsay statements made by the declarant or 

principal are admissible against the party. For example, if an 

estate is bringing a claim for damages suffered by the 

decedent, any hearsay statement that would have been 

admitted against the decedent as a party-opponent under this 

rule is equally admissible against the estate. Other 

relationships that would support this attribution include 

assignor/assignee and debtor/trustee when the trustee is 

pursuing the debtor’s claims. The rule is justified because if 

the party is standing in the shoes of the declarant or the 

principal, the party should not be placed in a better position 

as to the admissibility of hearsay than the declarant or the 

principal would have been. A party that derives its interest 

from a declarant or principal is ordinarily subject to all the 

substantive limitations applicable to them, so it follows that 

the party should be bound by the same evidence rules as 

well. 

Reference to the declarant’s principal is necessary 

because the statement may have been made by the agent of 

the person or entity whose rights or obligations have been 

succeeded to by the party against whom the statement is 

offered. The rule does not apply, however, if the statement 

is admissible against the agent but not against the 

principal—for example, if the statement was made by the 

agent after termination of employment. This is because the 

successor’s potential liability is derived from the principal, 

not the agent. 

The rationale of attribution does not apply, and so the 

hearsay statement would not be admissible, if the declarant 

makes the statement after the rights or obligations have been 

transferred, by contract or operation of law, to the party 

against whom the statement is offered. 

 

Rules Appendix D-10
FEDERAL RULES OF EVIDENCE 11 

1 Rule 804. Exceptions to the Rule Against Hearsay—

2 When the Declarant Is Unavailable as a 

3 Witness 

4 * * * * * 

5 (b) The Exceptions. * * * 

6 (3) Statement Against Interest. A statement that: 

7 (A) a reasonable person in the declarant’s 

8 position would have made only if the 

9 person believed it to be true because, 

10 when made, it was so contrary to the 

11 declarant’s proprietary or pecuniary 

12 interest or had so great a tendency to 

13 invalidate the declarant’s claim 

14 against someone else or to expose the 

15 declarant to civil or criminal liability; 

16 and 

17 (B) if offered in a criminal case as one 

18 that tends to expose the declarant to 

19 criminal liability, is supported by 

Rules Appendix D-11
12 FEDERAL RULES OF EVIDENCE 

20 corroborating circumstances that 

21 clearly indicate its trustworthiness, if 

22 offered in a criminal case as one that 

23 tends to expose the declarant to 

24 criminal liability---after considering 

25 the totality of circumstances under 

26 which it was made and any evidence 

27 that supports or undermines it. 

Committee Note 

Rule 804(b)(3)(B) has been amended to require that 

in assessing whether a statement is supported by 

“corroborating circumstances that clearly indicate its 

trustworthiness,” the court must consider not only the 

totality of the circumstances under which the statement was 

made, but also any evidence supporting or undermining it. 

While most courts have considered evidence independent of 

the statement, some courts have refused to do so. The rule 

now provides for a uniform approach and recognizes that the 

existence or absence of independent evidence supporting the 

statement is relevant to, but not necessarily dispositive of, 

whether a statement that tends to expose the declarant to 

criminal liability should be admissible under this exception 

when offered in a criminal case. A court evaluating the 

admissibility of a third-party confession to a crime, for 

example, must consider not only circumstances such as the 

timing and spontaneity of the statement and the third-party 

declarant’s likely motivations in making it. The court must 

Rules Appendix D-12
FEDERAL RULES OF EVIDENCE 13 

also consider information, if any, supporting the statement, 

such as evidence placing the third party in the vicinity of the 

crime. Courts must also consider evidence that undermines 

the declarant’s account. 

Although it utilizes slightly different language to fit 

within the framework of Rule 804(b)(3), the amendment is 

consistent with the 2019 amendment to Rule 807 that 

requires courts to consider corroborating evidence in the 

trustworthiness inquiry under that provision. The 

amendment is also supported by the legislative history of the 

corroborating circumstances requirement in Rule 804(b)(3). 

See 1974 House Judiciary Committee Report on Rule 

804(b)(3) (adding “corroborating circumstances clearly 

indicate the trustworthiness of the statement” language and 

noting that this standard would change the result in cases like 

Donnelly v. United States, 228 U.S. 243 (1913), that 

excluded a third-party confession exculpating the defendant 

despite the existence of independent evidence demonstrating 

the accuracy of the statement). 

 

 

Rules Appendix D-13
14 FEDERAL RULES OF EVIDENCE 

1 Rule 1006. Summaries to Prove Content 

2 (a) Summaries of Voluminous Materials Admissible 

3 as Evidence. The proponent court may admit as 

4 evidence use a summary, chart, or calculation

5 offered to prove the content of voluminous 

6 admissible writings, recordings, or photographs that 

7 cannot be conveniently examined in court, whether 

8 or not they have been introduced into evidence. 

9 (b) Procedures. The proponent must make the 

10 underlying originals or duplicates available for 

11 examination or copying, or both, by other parties at 

12 a reasonable time and place. And the court may 

13 order the proponent to produce them in court. 

14 (c) Illustrative Aids Not Covered. A summary, chart, 

15 or calculation that functions only as an illustrative 

16 aid is governed by Rule 107. 

Committee Note 

Rule 1006 has been amended to correct 

misperceptions about the operation of the rule by some 

Rules Appendix D-14
FEDERAL RULES OF EVIDENCE 15 

courts. Some courts have mistakenly held that a Rule 1006 

summary is “not evidence” and that it must be accompanied 

by limiting instructions cautioning against its substantive 

use. But the purpose of Rule 1006 is to permit alternative 

proof of the content of writings, recordings, or photographs 

too voluminous to be conveniently examined in court. To 

serve their intended purpose, therefore, Rule 1006 

summaries must be admitted as substantive evidence and the 

rule has been amended to clarify that a party may offer a 

Rule 1006 summary “as evidence.” The court may not 

instruct the jury that a summary admitted under this rule is 

not to be considered as evidence. 

Rule 1006 has also been amended to clarify that a 

properly supported summary may be admitted into evidence 

whether or not the underlying voluminous materials 

reflected in the summary have been admitted. Some courts 

have mistakenly held that the underlying voluminous 

writings or recordings themselves must be admitted into 

evidence before a Rule 1006 summary may be used. Because 

Rule 1006 allows alternate proof of materials too 

voluminous to be conveniently examined during trial 

proceedings, admission of the underlying voluminous 

materials is not required and the amendment so states. 

Conversely, there are courts that deny resort to a properly 

supported Rule 1006 summary because the underlying 

writings or recordings—or a portion of them—have been 

admitted into evidence. Summaries that are otherwise 

admissible under Rule 1006 are not rendered inadmissible 

because the underlying documents have been admitted, in 

whole or in part, into evidence. In most cases, a Rule 1006 

chart may be the only evidence the trier of fact will examine 

concerning a voluminous set of documents. In some 

instances, however, the summary may be admitted in 

addition to the underlying documents. 

Rules Appendix D-15
16 FEDERAL RULES OF EVIDENCE 

A summary admissible under Rule 1006 must also 

pass the balancing test of Rule 403. For example, if the 

summary does not accurately reflect the underlying 

voluminous evidence, or if it is argumentative, its probative 

value may be substantially outweighed by the risk of unfair 

prejudice or confusion. 

Consistent with the original rule, the amendment 

requires that the proponent of a Rule 1006 summary make 

the underlying voluminous records available to other parties 

at a reasonable time and place. The trial judge has discretion 

in determining the reasonableness of the production in each 

case but must ensure that all parties have a fair opportunity 

to evaluate the summary. Cf. Fed. R. Evid. 404(b)(3) and 

807(b). 

Although Rule 1006 refers to materials too 

voluminous to be examined “in court” and permits the trial 

judge to order production of underlying materials “in court,” 

the rule applies to virtual proceedings just as it does to 

proceedings conducted in person in a courtroom. 

The amendment draws a distinction between 

summaries of voluminous admissible information offered to 

prove a fact, and illustrations offered solely to assist the trier 

of fact in understanding the evidence. The former are subject 

to the strictures of Rule 1006. The latter are illustrative aids, 

which are now regulated by Rule 107. 

 

Rules Appendix D-16
Excerpt from the May 10, 2023 Report of the Advisory Committee on Evidence Rules 

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE 

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES 

WASHINGTON, D.C. 20544

JOHN D. BATES 

CHAIR 

H. THOMAS BYRON III 

SECRETARY 

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE 

APPELLATE RULES 

REBECCA B. CONNELLY 

BANKRUPTCY RULES 

ROBIN L. ROSENBERG 

CIVIL RULES 

JAMES C. DEVER III 

CRIMINAL RULES 

PATRICK J. SCHILTZ 

EVIDENCE RULES 

MEMORANDUM 

 

TO: Hon. John D. Bates, Chair 

 Committee on Rules of Practice and Procedure 

FROM: Hon. Patrick J. Schiltz, Chair 

 Advisory Committee on Evidence Rules 

RE: Report of the Advisory Committee on Evidence Rules 

DATE: May 10, 2023 

I. Introduction

 The Advisory Committee on Evidence Rules (the “Committee”) met in Washington, D.C., 

on April 28, 2023. At the meeting the Committee discussed and gave final approval to five 

proposed amendments that had been published for public comment in August 2022. The 

Committee also tabled a proposed amendment. 

Rules Appendix D-17
Excerpt from the May 10, 2023 Report of the Advisory Committee on Evidence Rules 

 The Committee made the following determinations at the meeting: 

● It unanimously approved proposals to add a new Rule 107 and to amend Rules 613(b), 

801(d)(2), 804(b)(3), and 1006, and recommends that the Standing Committee approve the 

proposed rules amendments and new rule. 

* * * * * 

II. Action Items 

A. New Rule 107, for Final Approval 

At the Spring 2022 meeting, the Committee unanimously approved a proposal to add a new 

rule to regulate the use of illustrative aids at trial. The distinction between “demonstrative 

evidence” (admitted into evidence and used substantively to prove disputed issues at trial) and 

“illustrative aids” (not admitted into evidence but used solely to assist the trier of fact in 

understanding other evidence) is sometimes a difficult one to draw, and is a point of confusion in 

the courts. Similar confusion exists in distinguishing a summary of voluminous evidence, covered 

by Rule 1006, and a summary that is not evidence but rather presented to assist the trier of fact in 

understanding evidence. In addition, the standards for allowing the use of an illustrative aid are 

not made clear in the case law, in part because there is no specific rule that sets any standards. 

The proposed amendment, published for public comment as a new Rule 611(d), allowed 

illustrative aids to be used at trial after the court balances the utility of the aid against the risk of 

unfair prejudice, confusion, and delay. The pitch of that balance was left open for public comment 

--- whether the negative factors would have to substantially outweigh the usefulness of the aid (the 

same balance as Rule 403), or whether the aid would be prohibited if the negative factors simply 

outweighed the usefulness of the aid. 

Because illustrative aids are not evidence, adverse parties do not receive pretrial discovery 

of such aids. The proposal issued for public comment would have required notice to be provided, 

unless the court for good cause orders otherwise. This notice requirement was most controversial 

when applied to the use of illustrative aids on opening and closing --- leading the Committee to 

exclude openings and closings from the proposal as issued for public comment. 

Lawyer groups (such as bar associations) and the Federal Magistrate Judges’ Association 

submitted comments in favor of the proposed amendment. But most practicing lawyers were 

critical. Most of the negative public comment went to the notice requirement; the commenters 

argued that a notice requirement was burdensome and would lead to motion practice and less use 

of illustrative aids. Other comments questioned the need for the rule. Others argued (in the face of 

contrary case law) that the courts were having no problems in regulating illustrative aids. 

In light of the public comment, as well as comments from the Standing Committee and 

those received at the symposium on the rule proposal in the Fall of 2022, the Committee 

unanimously agreed on the following changes: 1) deletion of the notice requirement; 2) extending 

the rule to openings and closings (reasoning that after lifting the notice requirement, there was no 

Rules Appendix D-18
Excerpt from the May 10, 2023 Report of the Advisory Committee on Evidence Rules 

reason not to cover openings and closings, especially because courts already regulate illustrative 

aids used in openings and closings and it would be best to have all uses at trial covered by a single 

rule); 3) providing that illustrative aids can be used unless the negative factors substantially 

outweigh the educative value of the aid (reasoning that it would be confusing to have a different 

balancing test than Rule 403, especially when the line between substantive evidence and 

illustrative aids may sometimes be difficult to draw); 4) specifying in the text of the rule that 

illustrative aids are not evidence; 5) adding a subdivision providing that summaries of voluminous 

evidence are themselves evidence and are governed by Rule 1006; and 6) relocating the proposal 

to a new Rule 107 (reasoning that Article VI is about witnesses, and illustrative aids are often used 

outside the context of witness testimony). 

Because illustrative aids are not evidence, the proposed rule provides that an aid should not 

be allowed into the jury room during deliberations, unless the court, for good cause, orders 

otherwise. The committee note specifies that if the court does allow an illustrative aid to go to the 

jury room, the court must upon request instruct the jury that the aid is not evidence. 

Finally, to assist appellate review of illustrative aids, the rule provides that illustrative aids 

must be entered into the record, unless it is impracticable to do so. 

The Committee strongly believes that this rule on illustrative aids will provide an important 

service to courts and litigants. Illustrative aids are used in almost every trial, and yet nothing in the 

rules specifically addresses their use. This amendment rectifies that problem. 

At its Spring 2023 meeting, the Committee unanimously gave final approval to the 

proposed new Rule 107. The Committee recommends that the proposed amendment, and the 

accompanying Committee Note, be approved by the Standing Committee. 

The proposed amendment to add a new Rule 107, together with the proposed Committee 

Note, the gap report, and the summary of public comment, is attached to this Report. 

B. Proposed Amendment to Rule 1006, for Final Approval1 

Evidence Rule 1006 provides that a summary can be admitted as evidence if the underlying 

records are admissible and too voluminous to be conveniently examined in court. The courts are 

in dispute about a number of issues regarding admissibility of summaries of evidence under Rule 

1006 --- and much of the problem is that some courts do not properly distinguish between 

summaries of evidence under Rule 1006 (which are themselves admitted into evidence) and 

summaries that are illustrative aids (which are not evidence at all). Some courts have stated that 

summaries admissible under Rule 1006 are “not evidence,” which is incorrect. Other courts have 

stated that all of the underlying evidence must be admitted before the summary can be admitted; 

that, too, is incorrect. Still other courts state that the summary is inadmissible if any of the 

underlying evidence has been admitted; that is also wrong. 

1

 This rule is taken out of numerical sequence because it is of a piece with the proposed amendment on illustrative 

aids. 

Rules Appendix D-19
Excerpt from the May 10, 2023 Report of the Advisory Committee on Evidence Rules 

After extensive research and discussion, the Committee unanimously approved an 

amendment to Rule 1006 that would provide greater guidance to the courts on the admissibility 

and proper use of summary evidence under Rule 1006. 

The proposal to amend Rule 1006 dovetails with the proposal to establish a rule on 

illustrative aids, discussed above. These two rules serve to distinguish a summary of voluminous 

evidence (which is itself evidence and governed by Rule 1006) from a summary that is designed 

to help the trier of fact understand admissible evidence (which summary is not itself evidence and 

would be governed by new Rule 107). The proposed amendment to Rule 1006 would clarify that 

a summary is admissible whether or not the underlying evidence has been admitted. The 

Committee believes that the proposed amendment will provide substantial assistance to courts and 

litigants in navigating this confusing area. 

The rule proposal for public comment received only a few public comments, largely 

favorable. 

At its Spring 2023 meeting, the Committee unanimously gave final approval to the 

proposed amendment to Rule 1006. The Committee recommends that the proposed amendment, 

and the accompanying Committee Note, be approved by the Standing Committee. 

* * * * * 

C. Proposed Amendment to Rule 613(b) for Final Approval

The common law provided that before a witness could be impeached with extrinsic 

evidence of a prior inconsistent statement, the adverse party was required to give the witness an 

opportunity to explain or deny the statement. The existing Rule 613(b) rejects that “prior 

presentation” requirement. It provides that extrinsic evidence of the inconsistent statement is 

admissible so long as the witness is given an opportunity to explain or deny the statement at some 

point in the trial. It turns out, though, that most courts have retained the common law “prior 

presentation” requirement. These courts have found that a prior presentation requirement saves 

time, because a witness will often concede that she made the inconsistent statement, and that makes 

it unnecessary for anyone to introduce extrinsic evidence. The prior presentation requirement also 

avoids the difficulties inherent in calling a witness back to the stand to give her an opportunity at 

some later point to explain or deny a prior statement that has been proven through extrinsic 

evidence. 

The Committee has unanimously determined that the better rule is to require a prior 

opportunity to explain or deny the statement, with the court having discretion to allow a later 

opportunity (for example, when the prior inconsistent statement is not discovered until after the 

witness testifies). The amendment will bring the rule into alignment with what appears to be the 

practice of most trial judges --- a practice that the Committee concluded is superior to the practice 

described in the current rule. 

The rule published for public comment provides that extrinsic evidence of a prior 

inconsistent statement is not admissible until the witness is given an opportunity to explain or deny 

Rules Appendix D-20
Excerpt from the May 10, 2023 Report of the Advisory Committee on Evidence Rules 

the statement. It gives the court the discretion to dispense with the requirement, in order to allow 

flexibility. The default rule brings the courts into uniformity and opts for the rule that provides 

more fairness to the witness and a more efficient result to the court. The rule received only a few 

public comments, largely favorable. 

At the Spring 2023 meeting, the Committee unanimously gave final approval to the 

proposed amendment to Rule 613(b). The Committee recommends that the proposed 

amendment, and the accompanying Committee Note, be approved by the Standing Committee. 

* * * * * 

D. Proposed Amendment to Rule 801(d)(2) Governing Successors-inInterest, for Final Approval 

Rule 801(d)(2) provides a hearsay exemption for statements of a party opponent. Courts 

are split about the applicability of this exemption in the following situation: a declarant makes a 

statement that would have been admissible against him as a party-opponent, but he is not the partyopponent because his claim or defense has been transferred to another (either by agreement or by 

operation of law), and it is the transferee that is the party-opponent. Some circuits would permit 

the statements made by the declarant to be offered against the successor as a party-opponent 

statement under Rule 801(d)(2), while others would foreclose admissibility because the statement 

was made by one who is technically not the party-opponent in the case. 

The Committee has determined that the dispute in the courts about the admissibility of 

party-opponent statements against successors should be resolved by a rule amendment, because 

the problem arises with some frequency in a variety of predecessor/successor situations (most 

commonly, decedent and estate in a claim brought for damages under 42 U.S.C. § 1983). The 

Committee unanimously determined that the appropriate result should be that a hearsay statement 

would be admissible against the successor-in-interest. The Committee reasoned that admissibility 

was fair when the successor-in-interest is standing in the shoes of the declarant --- because the 

declarant is in substance the party-opponent. Moreover, a contrary rule results in random 

application of Rule 801(d)(2), and possible strategic action, such as assigning a claim in order to 

avoid admissibility of a statement. The Committee approved the following addition to 

Rule 801(d)(2): 

If a party’s claim, defense, or potential liability is directly derived from a 

declarant or the declarant’s principal, a statement that would be admissible 

against the declarant or the principal under this rule is also admissible 

against the party. 

 The proposed committee note emphasizes that to be admissible against the successor, the 

declarant must have made the statement before the transfer of the claim or defense. It also specifies 

that if a statement made by an agent is not admissible against a principal, then it is not admissible 

against any successor to the principal. 

 The rule as published for public comment received only a few comments, largely favorable. 

Rules Appendix D-21
Excerpt from the May 10, 2023 Report of the Advisory Committee on Evidence Rules 

At its Spring 2023 meeting, the Committee unanimously gave final approval to the 

proposed amendment to Rule 801(d)(2). The Committee recommends that the proposed 

amendment, and the accompanying Committee Note, be approved by the Standing Committee. 

* * * * * 

 E. Proposed Amendment to the Rule 804(b)(3) Corroborating 

Circumstances Requirement, for Final Approval 

Rule 804(b)(3) provides a hearsay exception for declarations against interest. In a criminal 

case in which a declaration against penal interest is offered, the rule requires that the proponent 

provide “corroborating circumstances that clearly indicate the trustworthiness” of the statement. 

There is a dispute in the courts about the meaning of the “corroborating circumstances” 

requirement. Most federal courts consider both the inherent guarantees of trustworthiness 

underlying a particular declaration against interest as well as independent evidence corroborating 

(or refuting) the accuracy of the statement. But some courts do not permit inquiry into independent 

evidence --- limiting judges to consideration of the inherent guarantees of trustworthiness 

surrounding the statement. This latter view --- denying consideration of independent corroborative 

evidence --- is inconsistent with the 2019 amendment to Rule 807 (the residual exception), which 

requires courts to look at corroborative evidence, if any, in determining whether a hearsay 

statement is sufficiently trustworthy under that exception. The rationale is that corroborative 

evidence can shore up concerns about the potential unreliability of a statement --- a rationale that 

is applied in many other contexts, such as admissibility of co-conspirator hearsay, and tips from 

informants in determining probable cause. 

 The Committee believes that it is important to rectify the dispute among the circuits about 

the meaning of “corroborating circumstances” and that requiring consideration of corroborating 

evidence not only avoids inconsistency with the residual exception, but is also supported by logic 

and by the legislative history of Rule 804(b)(3). 

 The proposal published for public comment provided as follows: 

 

Rule 804(b)(3) Statement Against Interest. 

A statement that: 

(A) A reasonable person in the declarant’s position would have made only if the 

person believed it to be true because, when made, it was so contrary to the 

declarant’s proprietary or pecuniary interest or had so great a tendency to 

invalidate the declarant’s claim against someone else or to expose the 

declarant to civil or criminal liability; and 

(B) if offered in a criminal case as one that tends to expose the declarant to 

criminal liability, the court finds it is supported by corroborating 

circumstances that clearly indicate trustworthiness --- after considering the 

Rules Appendix D-22
Excerpt from the May 10, 2023 Report of the Advisory Committee on Evidence Rules 

totality of circumstances under which it was made and evidence, if any, 

corroborating it. if it is offered in a criminal case as one that tends to expose 

the declarant to criminal liability. 

 There were only a few public comments to the rule, and all were favorable about requiring 

consideration of corroborating evidence. But there was some confusion about the two different 

uses of the word “corroborating” in the rule. What is the difference between “corroborating 

circumstances” and “corroborating evidence”? The answer is that “corroborating circumstances” 

is a term of art --- an undeniably confusing one, because it combines the notion of corroborating 

evidence and circumstantial guarantees of trustworthiness. In contrast, “corroborating evidence” 

refers to independent evidence that supports the declarant’s account --- under the proposal, that 

kind of information must be considered in assessing whether “corroborating circumstances” are 

found. 

 

In using the term “corroborating evidence” the Committee was intending to use the exact 

language that was adopted in the residual exception, Rule 807, in 2019. But after considerable 

discussion at the Spring 2023 meeting, the Committee concluded that the better result would be to 

use a different word than “corroborating”; the deviation from the Rule 807 language is justified by 

the fact that Rule 807 refers to “trustworthiness” --- not “corroborating circumstances” --- so use 

of “corroborating” in that rule is not confusing. The Committee determined that it could reach the 

same result with different terminology. 

The proposal unanimously approved by the Committee, for which it seeks final approval, 

reads as follows: 

Rule 804(b)(3) Statement Against Interest. 

A statement that: 

(A) A reasonable person in the declarant’s position would have made only if the 

person believed it to be true because, when made, it was so contrary to the 

declarant’s proprietary or pecuniary interest or had so great a tendency to 

invalidate the declarant’s claim against someone else or to expose the 

declarant to civil or criminal liability; and 

(B) if offered in a criminal case as one that tends to expose the declarant to 

criminal liability, the court finds it is supported by corroborating 

circumstances that clearly indicate trustworthiness --- after considering the 

totality of circumstances under which it was made and any evidence that 

supports or contradicts it. if it is offered in a criminal case as one that tends 

to expose the declarant to criminal liability. 

A major advantage of this revision is that (freed from uniformity with Rule 807) it can specifically 

require the court to consider both evidence supporting the statement and evidence that contradicts 

it. 

Rules Appendix D-23
Excerpt from the May 10, 2023 Report of the Advisory Committee on Evidence Rules 

At its Spring 2023 meeting, the Committee unanimously gave final approval to the 

proposed amendment to Rule 804(b)(3). The Committee recommends that the proposed 

amendment, and the accompanying Committee Note, be approved by the Standing Committee. 

* * * * * 

Rules Appendix D-24