Prepared by the

Committee on Rules of Practice and Procedure 

Judicial Conference of the United States

AUGUST 2022

PRELIMINARY DRAFT 

Proposed Amendments to the Federal Rules of 

Appellate, Bankruptcy, and Civil Procedure, and the 

Federal Rules of Evidence

Request For Comment

Comments are Sought 

on Amendments to: 

Written Comments Due by 

February 16, 2023

Committee on Rules of Practice and Procedure

Thurgood Marshall Federal Judiciary Building

WashingtonDC

united states courts

Appellate Rules 

Bankruptcy Rules 

Civil Rule 

Evidence Rules 

32, 35, and 40; and Appendix 

on Length Limits

Restyled Rules Parts VII-IX; 

Rules 1007, 4004, 5009, 7001, 

9006; new Rule 8023.1; and 

Official Form 410A

12

611, 613, 801, 804, and 1006
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

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

M E M O R A N D U M

TO: The Bench, Bar, and Public 

FROM: Honorable John D. Bates, Chair 

 Committee on Rules of Practice and Procedure 

DATE: August 15, 2022 

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

____________________________________________________________________________ 

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

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

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

• Appellate Rules 32, 35, 40, and Appendix on Length Limits

• Bankruptcy Restyled Rules Parts VII to IX; Rules 1007, 4004, 5009, 7001, 9006, 

and proposed new Rule 8023.1 

• Official Bankruptcy Form 410A 

• Civil Rule 12 

• Evidence Rules 611, 613, 801, 804, and 1006 

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

posted on the Judiciary’s website at: 

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

Preliminary Draft of Proposed Amendments | August 2022 Page 2 of 320
Memorandum to the Bench, Bar, and Public 

August 15, 2022 

Page 2 

Opportunity to Submit Written Comments

Comments concerning the proposals must be submitted electronically no later than 

February 16, 2023. Please note that comments are part of the official record and publicly 

available. 

Opportunity to Appear at Public Hearings

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

proposals either virtually or in person: 

• Appellate Rules on October 13, 2022 and January 5, 2023; 

• Bankruptcy Rules on January 6, 2023 and January 13, 2023; 

• Civil Rules on October 12, 2022 and January 5, 2023; and 

• Evidence Rules on January 20, 2023 and January 27, 2023. 

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

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

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

to lack of requests to testify. 

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

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

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

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

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

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

Supreme Court. If adopted by the Court and transmitted to Congress by May 1, 2024, absent 

congressional action, the proposals would take effect on December 1, 2024. 

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

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

Preliminary Draft of Proposed Amendments | August 2022 Page 3 of 320
TABLE OF CONTENTS 

 Page

PART I: FEDERAL RULES OF APPELLATE 

PROCEDURE 

Excerpt from the Report of the Advisory Committee on 

Appellate Rules (December 2021) .................................................... 7 

Excerpt from the Report of the Advisory Committee on 

Appellate Rules (May 2022) ........................................................... 11 

Rule 32. Form of Briefs, Appendices, and Other Papers ...... 13 

Rule 35. En Banc Determination........................................... 15 

Rule 40. Petition for Panel Rehearing ................................... 21 

Appendix. Appendix: Length Limits ........................................ 36 

PART II: FEDERAL RULES OF BANKRUPTCY 

PROCEDURE

Excerpt from the Report of the Advisory Committee on 

Bankruptcy Rules (December 2021) ............................................... 37 

Excerpt from the Report of the Advisory Committee on 

Bankruptcy Rules (May 2022) ........................................................ 40 

Rule 1007. Lists, Schedules, Statements, and Other 

Documents; Time to File ........................................ 43 

Rule 4004. Granting or Denying a Discharge ........................... 46 

Rule 5009. Closing a Chapter 7, 12, 13, or 15 Case; Declaring 

Liens Satisfied ......................................................... 48 

Rule 7001. Types of Adversary Proceedings ............................ 50 

Rule 8023.1. Substitution of Parties ............................................ 52 

Rule 9006. Computing and Extending Time; Motions ............. 56 

Preliminary Draft of Proposed Amendments | August 2022 Page 4 of 320
TABLE OF CONTENTS 

 Page

Restyled Bankruptcy Rules

Part VII ........................................................................................... 58 

Part VIII ........................................................................................ 123 

 

Part IX........................................................................................... 210 

 

Official Bankruptcy Form

Form 410A. Mortgage Proof of Claim Attachment ....... 269 

PART III: FEDERAL RULES OF CIVIL PROCEDURE

Excerpt from the Report of the Advisory Committee on 

Civil Rules (December 2021)........................................................ 275 

Rule 12. Defenses and Objections: When and How 

Presented; Motion for Judgment on the Pleadings; 

Consolidating Motions; Waiving Defenses; 

Pretrial Hearing ..................................................... 278 

PART IV: FEDERAL RULES OF EVIDENCE

Excerpt from the Report of the Advisory Committee on 

Evidence Rules (May 2022) ......................................................... 279 

Rule 611. Mode and Order of Examining Witnesses 

and Presenting Evidence ....................................... 286 

Rule 613. Witness’s Prior Statement ..................................... 291 

Rule 801. Definitions That Apply to This Article; 

Exclusions from Hearsay ...................................... 294 

Rule 804. Exceptions to the Rule Against Hearsay— 

When the Declarant Is Unavailable as 

a Witness ............................................................... 297 

Rule 1006. Summaries to Prove Content ............................... 300 

Preliminary Draft of Proposed Amendments | August 2022 Page 5 of 320
TABLE OF CONTENTS 

 Page

APPENDIX: 

Procedures for Committees on Rules 

of Practice and Procedure ............................................................ 303 

Preliminary Draft of Proposed Amendments | August 2022 Page 6 of 320
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Hon. John D. Bates, Chair

 Committee on Rules of Practice and Procedure

FROM: Judge Jay Bybee Chair

 Advisory Committee on Appellate Rules 

RE: Report of the Advisory Committee on Appellate Rules 

DATE: December 8, 2021

_____________________________________________________________________________ 

I. Introduction

The Advisory Committee on the Appellate Rules met on Thursday, October 7, 

2021, via Teams. The draft minutes from the meeting are attached to this report.

The Committee seeks approval for publication of a consolidation of Rule 35 and 

Rule 40, dealing with rehearing, along with conforming amendments to Rule 32 and 

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

* * * * *

Preliminary Draft of Proposed Amendments | August 2022 Page 7 of 320
Excerpt from the December 8, 2021 Report of the Advisory Committee on Appellate Rules

(revised July 28, 2022)

II. Action Item for Approval for Publication 

Consolidation of Rules 35 and 40—Rehearing (18-AP-A)

For several years, the Advisory Committee has been considering a 

comprehensive revision of Rules 35 and 40. (June 2018 Standing Committee Agenda 

Book starting at page 84). Rule 35 addresses hearing and rehearing en banc, and Rule 

40 addresses panel rehearing. 

Under the current Rules, a lawyer must consider both Rule 35 and Rule 40 

when petitioning for rehearing. Litigants frequently request both panel rehearing 

and rehearing en banc, and while a litigant seeking only panel rehearing need only 

rely on Rule 40, it would be necessary even in that instance to check both Rules. 

Reconciling the differences between the two current rules while combining petitions 

for panel rehearing and rehearing en banc in one rule would provide clear guidance. 

At the June 2021 meeting of the Standing Committee, the Advisory Committee 

sought permission to publish a proposed amendment that abrogates Rule 35 and 

unites the two rules under Rule 40. The Committee sought to achieve the clarity and 

user-friendliness of unification while avoiding unnecessary changes. Members of the 

Standing Committee expressed support but raised concerns about some of the 

provisions. In many instances, the only defense offered was that the provision at issue 

already appeared in the existing rules and that the Advisory Committee was trying 

to minimize changes. The Standing Committee decided to remand the matter to the 

Advisory Committee with instructions to take a freer hand in clarifying and 

simplifying the language of the existing rules. Having done so, the Advisory 

Committee now seeks publication of a revised version of the proposal. (See Appendix 

for the full text.) 

The fundamental feature of the proposed amendment remains the same. It

revises Rule 40 to govern all petitions for rehearing (and the rare initial hearing en 

banc), but in keeping with a suggestion at the June Standing Committee meeting, 

Rule 35 is described as transferred to Rule 40 rather than abrogated. So, too, the 

fundamental structure remains the same.

 Rule 40(a) provides that a party may petition for panel rehearing, 

rehearing en banc, or both. It also states the general requirement of 

filing a single document.

 Rule 40(b) sets forth the required content for each kind of petition for 

rehearing, drawn from existing Rule 35(b)(1) and existing Rule 40(a)(2).

 Rule 40(c) describes when rehearing en banc may be ordered and the 

applicable voting protocols, drawn from existing Rule 35(a) and (f). It 

also reiterates clearly that a court may act sua sponte.

Preliminary Draft of Proposed Amendments | August 2022 Page 8 of 320
Excerpt from the December 8, 2021 Report of the Advisory Committee on Appellate Rules

(revised July 28, 2022)

 Rule 40(d) brings together in one place uniform provisions governing 

matters such as the time to file, form, and length, drawn from existing 

Rule 35(b), (c), (d), and existing Rule 40(a), (b), and (d). It adds that any 

amendment to a decision restarts the clock for seeking rehearing. 

 Rule 40(e) clarifies for litigants some of the actions a court that grants 

rehearing might take by clarifying the language of existing Rule 40(a)(4) 

and extending these provisions to rehearing en banc.

 Rule 40(f) provides that a petition for rehearing en banc does not limit a 

panel’s authority to take action described in Rule 40(e). 

 Rule 40(g) deals with initial hearing en banc, drawn from existing Rule 

35.

The Standing Committee raised several particular concerns about language in 

the current rule that was carried over in the proposed amendment presented in June. 

One concern was that the provision governing the required content of a petition 

for rehearing en banc lumps together (1) conflict with a Supreme Court decision and 

(2) conflict with a decision of the court to which the petition is addressed, while 

leaving ambiguous whether the required statement that “consideration by the full 

court is therefore necessary to secure and maintain uniformity of the court’s 

decisions” applies to both situations. Some thought that the only sensible reading is 

that the uniformity statement applies only to the intra-circuit conflict situation. See

current Rule 35(b)(1)(A). 

The provision governing the required content of a petition for rehearing en 

banc also lumps together (1) questions of exceptional importance and (2) inter-circuit 

conflict, treating the latter as an example of the former. See current Rule 35(b)(1)(B).

Another concern was a mismatch between the statements required in a 

petition for rehearing en banc and the circumstances which justify rehearing en banc. 

While the former specifically includes conflict with the Supreme Court, the latter does 

not—unless one treats conflict with the Supreme Court as a situation requiring 

consideration by the en banc court to secure and maintain uniformity of the court’s 

decisions. See current Rule 35(a).

In addition, a member of the Standing Committee suggested that the time to 

seek initial hearing en banc should be earlier than the due date of the appellee’s brief. 

See current Rule 35(c).

The Advisory Committee changed the proposed amendment to address these 

concerns. 

Preliminary Draft of Proposed Amendments | August 2022 Page 9 of 320
Excerpt from the December 8, 2021 Report of the Advisory Committee on Appellate Rules

(revised July 28, 2022)

First, four separate grounds for seeking rehearing en banc are now listed 

separately, so that a petition for rehearing en banc would have to begin with a 

statement that:

(A) the panel decision conflicts with a decision of the court to 

which the petition is addressed (with citation to the conflicting case or 

cases) and the full court’s consideration is therefore necessary to secure 

or maintain uniformity of the court’s decisions;

(B) the panel decision conflicts with a decision of the United 

States Supreme Court (with citation to the conflicting case or cases);

(C) the panel decision conflicts with an authoritative decision of 

another United States court of appeals (with citation to the conflicting 

case or cases); or

(D) the proceeding involves one or more questions of exceptional 

importance, each concisely stated. 

Proposed Rule 40(b)(2). That is, intra-circuit conflicts, conflicts with the Supreme 

Court, inter-circuit conflicts, and questions of exceptional importance are treated as 

separate grounds for seeking rehearing en banc.

Second, to align the grounds for granting rehearing en banc with the grounds 

for seeking rehearing en banc, the provision governing when rehearing en banc may 

be ordered simply cross-references the provision governing the grounds on which it 

may be sought: “Ordinarily, rehearing en banc will not be ordered unless one of the 

criteria in Rule 40(b)(2)(A)–(D) is met.” 

Freed from a perceived imperative to minimize changes, the current proposal 

has also been more extensively polished by the style consultants. 

In addition, the proposal includes conforming amendments to Rule 32(g) and 

the Appendix of Length Limits. 

* * * * *

Preliminary Draft of Proposed Amendments | August 2022 Page 10 of 320
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Hon. John D. Bates, Chair

 Committee on Rules of Practice and Procedure

FROM: Judge Jay Bybee, Chair

 Advisory Committee on Appellate Rules

RE: Report of the Advisory Committee on Appellate Rules

DATE: May 13, 2022

_____________________________________________________________________________ 

I. Introduction

The Advisory Committee on Appellate Rules met on Wednesday, March 30, 

2022, in San Diego, California. The draft minutes from the meeting are attached to 

this report.

* * * * *

The Advisory Committee also seeks publication of a minor change to the 

Appendix of Length Limits. (Part III of this report.)

* * * * *

Preliminary Draft of Proposed Amendments | August 2022 Page 11 of 320
Excerpt from the May 13, 2022 Report of the Advisory Committee on Appellate Rules

III. Action Item for Approval for Publication 

Appendix on Length Limits (18-AP-A)

At its last meeting in January 2022, the Standing Committee approved 

proposed amendments to Rules 35 and 40, along with conforming amendments to 

Rule 32(g) and the Appendix of Length Limits, for publication. These proposed 

amendments are scheduled to be published in August 2022.

Subsequently, the Advisory Committee learned that one additional 

conforming amendment should be made to the Appendix of Length Limits. As 

approved in January, the proposed amendment to the Appendix of Length Limits 

would change the table that lists the document types and applicable limits, but it 

would not change the bullet points prior to the table.

The third bullet point currently reads: 

* * *

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

* * *

Given the proposal to transfer the content of Rule 35 to Rule 40, the reference 

to Rule 35 should be deleted. This bullet point should be amended as follows: 

* * *

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

* * *

This correction can be made before publication if the Standing Committee 

approves. 

* * * * *

Preliminary Draft of Proposed Amendments | August 2022 Page 12 of 320
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 in red; matter to be omitted 

is lined through. 

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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.

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF APPELLATE PROCEDURE1

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. 

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

is lined through. 

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2 FEDERAL RULES OF APPELLATE PROCEDURE

15 (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:

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 

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FEDERAL RULES OF APPELLATE PROCEDURE 3 

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 

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 

Preliminary Draft of Proposed Amendments | August 2022 Page 17 of 320
4 FEDERAL RULES OF APPELLATE PROCEDURE

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 

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 

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FEDERAL RULES OF APPELLATE PROCEDURE 5 

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 

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 

Preliminary Draft of Proposed Amendments | August 2022 Page 19 of 320
6 FEDERAL RULES OF APPELLATE PROCEDURE

Rule 40, which is expanded to address both panel rehearing 

and en banc determination.

Preliminary Draft of Proposed Amendments | August 2022 Page 20 of 320
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF APPELLATE PROCEDURE1

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 

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

is lined through.

Preliminary Draft of Proposed Amendments | August 2022 Page 21 of 320
2 FEDERAL RULES OF APPELLATE PROCEDURE 

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:

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 

Preliminary Draft of Proposed Amendments | August 2022 Page 22 of 320
FEDERAL RULES OF APPELLATE PROCEDURE 3 

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 

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:

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4 FEDERAL RULES OF APPELLATE PROCEDURE 

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. 

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. 

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FEDERAL RULES OF APPELLATE PROCEDURE 5 

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 

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 

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6 FEDERAL RULES OF APPELLATE PROCEDURE 

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.

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. 

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FEDERAL RULES OF APPELLATE PROCEDURE 7 

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 

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;

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8 FEDERAL RULES OF APPELLATE PROCEDURE 

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 

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. 

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FEDERAL RULES OF APPELLATE PROCEDURE 9 

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 

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

Preliminary Draft of Proposed Amendments | August 2022 Page 29 of 320
10 FEDERAL RULES OF APPELLATE PROCEDURE 

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.

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 

Preliminary Draft of Proposed Amendments | August 2022 Page 30 of 320
FEDERAL RULES OF APPELLATE PROCEDURE 11

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. 

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 

Preliminary Draft of Proposed Amendments | August 2022 Page 31 of 320
12 FEDERAL RULES OF APPELLATE PROCEDURE 

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.

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 

Preliminary Draft of Proposed Amendments | August 2022 Page 32 of 320
FEDERAL RULES OF APPELLATE PROCEDURE 13

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. 

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 

Preliminary Draft of Proposed Amendments | August 2022 Page 33 of 320
14 FEDERAL RULES OF APPELLATE PROCEDURE 

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. 

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. 

Preliminary Draft of Proposed Amendments | August 2022 Page 34 of 320
FEDERAL RULES OF APPELLATE PROCEDURE 15

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 

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. 

Preliminary Draft of Proposed Amendments | August 2022 Page 35 of 320
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 

Preliminary Draft of Proposed Amendments | August 2022 Page 36 of 320
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Hon. John D. Bates, Chair 

 Committee on Rules of Practice and Procedure 

FROM: Honorable Dennis R. Dow, Chair 

 Advisory Committee on Bankruptcy Rules 

RE: Report of the Advisory Committee on Bankruptcy Rules

DATE: December 6, 2021 

_____________________________________________________________________________ 

I. Introduction

The Advisory Committee on Bankruptcy Rules met by videoconference on September 14, 

2021. The draft minutes of that meeting are attached.

At the meeting, the Advisory Committee voted to seek publication for comment of an 

amendment to Rule 7001 to exclude certain demands to recover estate property from the list of 

adversary proceedings. Part II of this report presents that action item. 

* * * * * 

Preliminary Draft of Proposed Amendments | August 2022 Page 37 of 320
Excerpt from the December 6, 2021 Report of the Advisory Committee on Bankruptcy Rules

II. Action Item

Item for Publication

The Advisory Committee recommends that an amendment to Rule 7001 (Scope of 

Rules of Part VII) be published for public comment in August 2022. The text of the proposed 

rule amendment appears in the appendix to this report. 

As we reported at the June 2021 meeting, the Supreme Court decided in City of Chicago v. 

Fulton, 141 S. Ct. 585 (2021), that a creditor’s continued retention of estate property that it 

acquired prior to bankruptcy does not violate the automatic stay under § 362(a)(3). In so ruling, 

the Court found that a contrary reading of § 362(a)(3) would render largely superfluous § 542(a)’s 

provisions for the turnover of estate property from third parties. In a concurring opinion, Justice 

Sotomayor noted that under current procedures turnover proceedings “can be quite slow” because 

they must be pursued by an adversary proceeding. She addressed the importance to a chapter 13 

debtor of promptly regaining possession of a seized car so that the debtor can travel to work and 

continue to earn money to fund his or her plan, and she stated 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.” 

Acting on Justice Sotomayor’s comment, 45 law professors submitted a suggestion (21-

BK-B) for rule amendments that would allow turnover proceedings to be brought by motion rather 

than by adversary proceeding. They offered specific language for the amendment of several rules. 

The National Bankruptcy Conference submitted a suggestion (21-BK-J) that is generally 

supportive of the law professors’ suggestion. The law professors suggested “an expansion beyond 

chapter 13 to allow turnover actions by motion in all circumstances,” but members of the Advisory 

Committee at the spring 2021 meeting expressed support for a narrower approach than was 

suggested. Among the comments were those of the Department of Justice representatives, who 

said that the government would be concerned with a broad rule applicable to all types of property, 

including funds held by the government, especially if the government had only seven days to 

respond. 

Rule 7001(1) provides that, subject to a few listed exceptions, “a proceeding to recover 

money or property” is an adversary proceeding, governed by the Part VII rules. Despite this 

provision, it was reported that some bankruptcy courts allow turnover of money or property to be 

sought by motion, rather than by the filing of a complaint initiating an adversary proceeding. The 

Advisory Committee was interested in determining the content and scope of any such local rules 

as part of its consideration of the appropriate scope of any amendment to Rule 7001(1). 

The Subcommittee on Consumer Issues surveyed bankruptcy clerks and chapter 13 trustees 

to determine the nature and extent of such local practices. The responses revealed that ten or so 

districts allow turnover to be sought by motion under certain circumstances. A few have local 

rules expressly allowing such motions, while others have rules or practices that merely refer to

“turnover motions” without specifically authorizing them. In some districts turnover motions are 

limited to chapter 13 cases or to specific types of property, and in some the respondent to a turnover 

motion can demand that an adversary proceeding be brought. 

Preliminary Draft of Proposed Amendments | August 2022 Page 38 of 320
Excerpt from the December 6, 2021 Report of the Advisory Committee on Bankruptcy Rules

In arriving at its recommendation to the Advisory Committee on how best to amend the 

rules to allow more expeditious turnover proceedings, the Subcommittee considered the nature of 

the concerns expressed by Justice Sotomayor, the concerns motivating the local court practices

that deviate from Rule 7001(1), and comments by clerks and trustees. All members agreed that 

having to wait a hundred days on average to get a car needed to commute to work to earn money 

to fund a chapter 13 plan is not desirable. 

The Subcommittee discussed several possible limiting principles of a rule allowing 

turnover to be sought by motion. They included allowing turnover by motion only in chapter 13 

cases, the situation most frequently cited as giving rise to concerns. Subcommittee members, 

however, thought that the need for the urgent turnover of property could exist in other types of 

cases, so that it would be better to limit the proposed amendment to cases involving individual 

debtors rather than just chapter 13 cases. The Subcommittee also agreed that the procedure should 

be used only when turnover is sought under § 542(a)—that is, efforts to obtain “property that the 

trustee may use, sell, or lease under section 363 . . . or the debtor may exempt under section 522.” 

That limitation would still require adversary proceedings for the turnover of debts under § 542(b), 

turnover of records by an attorney or accountant under § 542(e), and turnover of property by a 

custodian under § 543. 

The Subcommittee then considered whether the rule should further limit the types of 

property for which turnover could be sought by motion. Several possibilities were discussed, and 

the Subcommittee concluded that any such limitation should be one that is easily discernible, 

because the type of procedure needed to initiate a turnover proceeding should not depend on an 

uncertain factual determination. Members concluded that adoption of a motion procedure is most 

appropriate for the turnover of tangible personal property. 

Although the law professors suggested creating a new rule that would provide a national 

procedure for turnover motions, the Subcommittee concluded that an amendment to Rule 7001 is 

sufficient to implement the proposal. Rule 9014 (Contested Matters) would apply, and courts 

could use their own procedures for motion practice. Should a particular turnover proceeding 

require more detailed procedure, a court under Rule 9014(c) could order the application of the full 

range of Part VII rules.

After discussion, the Advisory Committee accepted the Subcommittee’s recommendation 

that an amendment to Rule 7001(1)—creating an exception for “a proceeding by an individual 

debtor to recover tangible personal property under § 542(a)”—be approved for publication. 

* * * * * 

 

Preliminary Draft of Proposed Amendments | August 2022 Page 39 of 320
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Hon. John D. Bates, Chair

 Committee on Rules of Practice and Procedure

FROM: Hon. Dennis R. Dow, Chair

 Advisory Committee on Bankruptcy Rules

RE: Report of the Advisory Committee on Bankruptcy Rules 

DATE: May 10, 2022 

I. Introduction

The Advisory Committee on Bankruptcy Rules met by videoconference on March 31, 

2022. The draft minutes of that meeting are attached.

At the meeting, the Advisory Committee gave its final approval to rule and form 

amendments that were published for comment last August. * * * * * The Advisory Committee also 

voted to seek publication for comment of (1) amendments to Parts VII, VIII, and IX of the 

Bankruptcy Rules―the final installment of the restyling project; (2) amendments to Rule 

1007(b)(7) (Schedules, Statements, and Other Documents Required) and conforming amendments 

to six other rules; (3) a new Rule 8023.1 (Substitution of Parties); and (4) amendments to Official 

Form 410A (Mortgage Proof of Claim Attachment). 

Preliminary Draft of Proposed Amendments | August 2022 Page 40 of 320
Excerpt from the May 10, 2022 Report of the Advisory Committee on Bankruptcy Rules 

Part II of this report presents those action items * * * * *. 

Part II is organized as follows: 

* * * * * 

B. Items for Publication

• Restyled Parts VII, VIII, and IX;

• Rule 1007(b)(7) and conforming amendments to Rules 1007(c)(4), 

4004(c)(1)(H), 4004(c)(4), 5009(b), 9006(b)(3) and 9006(c)(2);

• Rule 8023.1; and

• Official Form 410A.

* * * * * 

 

B. Items for Publication

The Advisory Committee recommends that the following rule and form amendments 

be published for public comment in August 2022. The rules and forms in this group appear in 

Bankruptcy Appendix B.

Action Item 8. Restyled Parts VII, VIII, and IX. The Advisory Committee seeks 

publication of the restyled versions of the rules in Parts VII, VIII, and IX of the Federal Rules of 

Bankruptcy Procedure, which reflect many hours of work by the style consultants, the reporters, 

and the Restyling Subcommittee. This is the final group of restyled rules for publication. 

Action Item 9. Rule 1007(b)(7) (Lists, Schedules, Statements, and Other Documents; 

Time Limits) and conforming amendments to Rules 1007(c)(4), 4004(c)(1)(H), 4004(c)(4), 

5009(b), 9006(b)(3), and 9006(c)(2). The amendments to Rule 1007(b)(7) would eliminate the 

requirement that the debtor file a statement on Official Form 423 and make filing of the certificate 

of debtor education provided by the approved provider of the course the exclusive means of 

establishing satisfaction of the requirement for discharge that a debtor has taken a postpetition 

course in personal financial management. The amendments would also eliminate the requirement 

that a debtor who has been excused from taking such a course file a form so stating. The six other 

rules that referred to a “statement” required by Rule 1007(b)(7) would also be amended to refer to 

a “certificate.”

Action Item 10. Rule 8023.1 (Substitution of Parties). The Advisory Committee seeks 

publication of a new rule on Substitution of Parties, modeled on Fed. R. App. P. 43. Neither FRAP 

43 nor Fed. R. Civ. P. 25 is applicable to parties in bankruptcy appeals to the district court or 

bankruptcy appellate panel, and this new rule is intended to fill that gap. 

Action Item 11. Official Form 410A (Mortgage Proof of Claim Attachment). The 

proposed amendments are to Part 3 (Arrearage as of Date of the Petition) of Official Form 410A 

and would replace the first line (which currently asks for “Principal & Interest”) with two lines, 

Preliminary Draft of Proposed Amendments | August 2022 Page 41 of 320
Excerpt from the May 10, 2022 Report of the Advisory Committee on Bankruptcy Rules 

one for “Principal” and one for “Interest.” The amendments put the burden on the claim holder to 

identify the elements of its claim.

* * * * * 

Preliminary Draft of Proposed Amendments | August 2022 Page 42 of 320
PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

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

Documents; Time to File2 2 

3 * * * * *

4 (b) SCHEDULES, STATEMENTS, AND 

5 OTHER DOCUMENTS.

6 * * * * *

7 (7) Personal Financial-Management 

8 Course. Unless an approved provider has notified the 

9 court that the debtor has completed a course in 

10 personal financial management after filing the 

11 petition or the debtor is not required to complete one 

12 as a condition to discharge, an individual debtor in a 

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

is lined through. 

2 The changes indicated are to the restyled version of 

Rule 1007, not yet in effect, which is included in the June 2021 

Agenda Book of the Committee on Rules of Practice and 

Procedures on uscourts.gov. 

Preliminary Draft of Proposed Amendments | August 2022 Page 43 of 320
2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

13 Chapter 7 or Chapter 13 case—or in a Chapter 11 

14 case in which § 1141(d)(3) applies—must file a 

15 statement that such a course has been completed 

16 (Form 423) certificate of course completion issued 

17 by the provider.

18 * * * * *

19 (c) TIME TO FILE.

20 * * * * * 

21 (4) Financial-Management Course.

22 Unless the court extends the time to file, an 

23 individual debtor must file the statement 

24 certificate required by (b)(7) as follows:

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

26 days after the first date set for the meeting of 

27 creditors under § 341; and 

28 (B) in a Chapter 11 or Chapter 13 

29 case, before the last payment is made under 

Preliminary Draft of Proposed Amendments | August 2022 Page 44 of 320
FEDERAL RULES OF BANKRUPTCY PROCEDURE 3

30 the plan or before a motion for a discharge is 

31 filed under§ 1141(d)(5)(B) or § 1328(b). 

32 * * * * *

Committee Note

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.

Preliminary Draft of Proposed Amendments | August 2022 Page 45 of 320
PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

Rule 4004. Granting or Denying a Discharge2 1 

2 * * * * *

3 (c) GRANTING A DISCHARGE.

4 (1) Chapter 7. In a Chapter 7 case, 

5 when the times to object to discharge and to file a 

6 motion to dismiss the case under Rule 1017(e) 

7 expire, the court must promptly grant the 

8 discharge—except under these circumstances:

9 * * * * *

10 (H) the debtor has not filed a 

11 statement certificate showing that a 

12 course on personal financial 

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

is lined through. 

2 The changes indicated are to the restyled version of Rule 

4004, not yet in effect, which is included in the June 2021 Agenda 

Book of the Committee on Rules of Practice and Procedures on 

uscourts.gov. 

Preliminary Draft of Proposed Amendments | August 2022 Page 46 of 320
2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

13 management has been completed—if 

14 such a statement certificate is 

15 required by Rule 1007(b)(7); 

16 * * * * * 

17 (4) Individual Chapter 11 or Chapter 13 

18 Case. In a Chapter 11 case in which the debtor is an 

19 individual—or a Chapter 13 case—the court must 

20 not grant a discharge if the debtor has not filed a

21 statement certificate required by Rule 1007(b)(7). 

22 * * * * * 

Committee Note

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.

Preliminary Draft of Proposed Amendments | August 2022 Page 47 of 320
PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

1 Rule 5009. Closing a Chapter 7, 12, 13, or 15 Case;

Declaring Liens Satisfied2 2 

3 * * * * *

4 (b) CHAPTER 7 OR 13—NOTICE OF A 

5 FAILURE TO FILE A STATEMENT ABOUT 

6 COMPLETING CERTIFICATE OF COMPLETION FOR

7 A COURSE ON PERSONAL FINANCIAL 

8 MANAGMENT. This subdivision (b) applies if an 

9 individual debtor in a Chapter 7 or 13 case is required to file 

10 a statement certificate under Rule 1007(b)(7) and fails to do 

11 so within 45 days after the first date set for the meeting of 

12 creditors under § 341(a). The clerk must promptly notify the 

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

is lined through. 

2 The changes indicated are to the restyled version of 

Rule 5009, not yet in effect, which is included in the June 2021 

Agenda Book of the Committee on Rules of Practice and 

Procedures on uscourts.gov. 

Preliminary Draft of Proposed Amendments | August 2022 Page 48 of 320
2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

13 debtor that the case will be closed without entering a 

14 discharge unless the statement certificate is filed within the 

15 time prescribed by Rule 1007(c). 

16 * * * * *

Committee Note

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.

Preliminary Draft of Proposed Amendments | August 2022 Page 49 of 320
PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

 

Rule 7001. Types of Adversary Proceedings2 1 

2 An adversary proceeding is governed by the rules in this 

3 Part VII. The following are adversary proceedings: 

4 (a) a proceeding to recover money or property—

5 except a proceeding to compel the debtor to 

6 deliver property to the trustee, a proceeding 

7 by an individual debtor to recover tangible 

8 personal property under § 542(a), or a 

9 proceeding under § 554(b), § 725, 

10 Rule 2017, or Rule 6002; 

11 * * * * * 

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

is lined through. 

2 The changes indicated are to the restyled version of 

Rule 7001, not yet in effect, which is included elsewhere in this 

Preliminary Draft. 

Preliminary Draft of Proposed Amendments | August 2022 Page 50 of 320
2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

Committee Note

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.

Preliminary Draft of Proposed Amendments | August 2022 Page 51 of 320
PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

Rule 8023.1.2 1 Substitution of Parties

2 (a) DEATH OF A PARTY. 

3 (1) After a Notice of Appeal Is 

4 Filed. If a party dies after a notice of appeal 

5 has been filed or while a proceeding is 

6 pending on appeal in the district court or 

7 BAP, the decedent’s personal representative 

8 may be substituted as a party on motion filed 

9 with that court’s clerk by the representative 

10 or by any party. A party’s motion must be 

11 served on the representative in accordance 

12 with Rule 8011. If the decedent has no 

13 representative, any party may suggest the 

1 New material is underlined in red.

2 Fed. R. App. P. 43 immediately follows the rule on 

voluntary dismissal, which in Part VIII of the bankruptcy rules 

appears as Fed. R. Bankr. P. 8023. 

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2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

14 death on the record, and the appellate court 

15 may then direct appropriate proceedings.

16 (2) Before a Notice of Appeal Is 

17 Filed—Potential Appellant. If a party entitled 

18 to appeal dies before filing a notice of appeal, 

19 the decedent’s personal representative—or, if 

20 there is no personal representative, the 

21 decedent’s attorney of record—may file a 

22 notice of appeal within the time prescribed by 

23 these rules. After the notice of appeal is filed, 

24 substitution must be in accordance with Rule 

25 8023.1(a)(1).

26 (3) Before a Notice of Appeal Is 

27 Filed—Potential Appellee. If a party against 

28 whom an appeal may be taken dies after entry 

29 of a judgment or order in the bankruptcy 

30 court, but before a notice of appeal is filed, an 

31 appellant may proceed as if the death had not 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 3

32 occurred. After the notice of appeal is filed, 

33 substitution must be in accordance with Rule 

34 8023.1(a)(1).

35 (b) SUBSTITUTION FOR A REASON OTHER 

36 THAN DEATH. If a party needs to be substituted for any 

37 reason other than death, the procedure prescribed in Rule 

38 8023.1(a) applies.

39 (c) PUBLIC OFFICER: IDENTIFICATION; 

40 SUBSTITUTION.

41 (1) Identification of a Party. A 

42 public officer who is a party to an appeal or 

43 other proceeding in an official capacity may 

44 be described as a party by the public officer’s 

45 official title rather than by name. But the 

46 appellate court may require the public 

47 officer’s name to be added.

48 (2) Automatic Substitution of an 

49 Officeholder. When a public officer who is a 

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4 FEDERAL RULES OF BANKRUPTCY PROCEDURE

50 party to an appeal or other proceeding in an 

51 official capacity dies, resigns, or otherwise 

52 ceases to hold office, the action does not 

53 abate. Subject to Rule 2012, the public 

54 officer’s successor is automatically 

55 substituted as a party. Proceedings following 

56 the substitution are to be in the name of the 

57 substituted party, but any misnomer that does 

58 not affect the parties’ substantial rights may 

59 be disregarded. An order of substitution may 

60 be entered at any time, but failure to enter an 

61 order does not 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.

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PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

1 Rule 9006. Computing and Extending Time; 

Motions2 2 

3 * * * * *

4 (b) EXTENDING TIME. 

5 * * * * * 

6 (3) Extensions Governed by Other Rules.

7 The court may extend the time to: 

8 * * * * * 

9 (B) file the statement certificate

10 required by Rule 1007(b)(7), and the 

11 schedules and statements in a small business 

12 case under § 1116(3)—but only as permitted 

13 by Rule 1007(c). 

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

is lined through. 

2 The changes indicated are to the restyled version of 

Rule 9006, not yet in effect, which is included elsewhere in this 

Preliminary Draft. 

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2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

14 (c) REDUCING TIME LIMITS. 

15 * * * * * 

16 (2) When Not Permitted. The court may 

17 not reduce the time to act under Rule 2002(a)(7), 

18 2003(a), 3002(c), 3014, 3015, 4001(b)(2) or (c)(2), 

19 4003(a), 4004(a), 4007(c), 4008(a), 8002, or 

20 9033(b). Also, the court may not, under Rule 

21 1007(c), reduce the time to file the statement 

22 certificate required by Rule 1007(b)(7).

Committee Note

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.

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(7000 Series) 1 

Bankruptcy Rules Restyling

7000 Series

Preface

This revision is a restyling of the Federal Rules of Bankruptcy Procedure to provide 

greater clarity, consistency, and conciseness without changing practice and procedure. 

[The Committee Note to Rule 1001 is included here for reference for purposes of publication. 

It will not be included in the final rule.

Committee Note to Rule 1001

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

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

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

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

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

Rules.

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

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

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

Joseph Kimble, Guiding Principles for Restyling the Civil Rules, in Preliminary Draft of

Proposed Style Revision of the Federal Rules of Civil Procedure, at page x (Feb. 2005)

(available at https://www.michbar.org/file/barjournal/article/documents/pdf4article909.pdf

and https://www.michbar.org/file/barjournal/article/documents/pdf4article921.pdf); Joseph 

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

Legal Writing 25 (2008-2009).

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

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

using progressively indented subparagraphs with headings and substituting vertical for 

horizontal lists. "Hanging indents" are used throughout. These formatting changes make the 

structure of the rules graphic and make the restyled rules easier to read and understand even

when the words are not changed. 

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

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

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

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

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

words. The restyled rules minimize the use of redundant "intensifiers." These are expressions 

that attempt to add emphasis, but instead state the obvious and create negative implications 

for other rules. The absence of intensifiers in the restyled rules does not change their

Preliminary Draft of Proposed Amendments | August 2022 Page 58 of 320
 (7000 Series) 2 

substantive meaning. The restyled rules also remove words and concepts that are outdated or 

redundant. 

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

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

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

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

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

Committee also declined to modify "sacred phrases"― those that have become so familiar in

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

example in the Bankruptcy Rules would be “meeting of creditors.”

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

Rule 2002(n) (Bankruptcy Amendments and Federal Judgeship Act of 1984, Pub. L. 98-353,

98 Stat. 357), Rule 3001(g) (Bankruptcy Amendments and Federal Judgeship Act of 1984,

Pub. L. No. 98-353, 98 Stat. 361) and Rule 7004(h) (Bankruptcy Reform Act of 1994, Pub. L.

No. 103-394, 108 Stat. 4106), the Committee has not restyled the rule.]

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(7000 Series) 3 

ORIGINAL REVISION

PART VII— ADVERSARY

PROCEEDINGS

PART VII. ADVERSARY PROCEEDINGS

Rule 7001. Scope of Rules of Part VII Rule 7001. Types of Adversary

Proceedings

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)1

, (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 coowner; 

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

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(7000 Series) 4 

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 relating 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. 

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(7000 Series) 5 

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 must be read as

a reference 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. 

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(7000 Series) 6 

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. 

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(7000 Series) 7 

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 (3),

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: 

• 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 

• deliver the summons for service.

(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; 

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(7000 Series) 8 

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 case 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

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(7000 Series) 9 

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);2

(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 

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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 may 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 of process; 

(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, with the qualification that 

after a petition has been filed by or

served upon a debtor, and until the 

case is dismissed or closed—by 

addressing the mail to the debtor at 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

trustee—by addressing the mail to the

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(7000 Series) 11

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. 

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

(e) Time to Serve a Summons and

Complaint.

(1) In General. A summons and 

complaint served under Fed. R. Civ. P. 

4(e), (g), (h)(1), (i), or (j)(2) by delivery

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ORIGINAL REVISION

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 

will be issued for service. This

subdivision does not apply to service in 

a foreign country. 

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. 

(2) Exception. This paragraph 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 the

exercise of jurisdiction is consistent with the 

Constitution and laws of the United States, 

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 the person of a 

defendant: 

(A) in a bankruptcy case;

(B) in a civil proceeding arising in or related

to a bankruptcy case; or

(C) in a civil proceeding 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;

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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 first clause of Rule 

7004(b) and Rule 7004(h) have not been restyled because they were enacted by Congress, P.L. 

103-394, 108 Stat. 361, Sec. 4118 (1994). The Bankruptcy Rules Enabling Act, 28 U.S.C. § 2075, 

provides no authority to modify statutory language.

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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. 

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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. 

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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 that is a 

party to an adversary proceeding, other 

than the debtor, 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.

(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. 

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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 a final 

order 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. 

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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. 

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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 conform substantially to the appropriate 

version of Official 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. 

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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 answer

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 

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ORIGINAL REVISION

(B) an answer to a crossclaim or an

answer to 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 a final order 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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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ORIGINAL REVISION

Rule 7019. Joinder of Persons

Needed for Just Determination

Rule 7019. Required Joinder of 

Persons

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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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. 

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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.

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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. 

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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. 

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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. 

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(7000 Series) 45

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. 

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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.

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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. 

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(7000 Series) 48

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. 

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(7000 Series) 49

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. 

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(7000 Series) 50

ORIGINAL REVISION

Rule 7041. Dismissal of Adversary

Proceedings

Rule 7041. Dismissal of Adversary

Proceedings

Rule 41 F.R.Civ.P. applies in adversary

proceedings, except that a complaint 

objecting to the debtor’s discharge shall 

not be dismissed at the plaintiff’s 

instance without notice to the trustee, 

the United States trustee, and such other 

persons as the court may direct, and 

only on order of the court containing 

terms and conditions which the court 

deems proper. 

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) with notice to the trustee, the United

States trustee, and any other person as

the court designates; and

(b) by a court order that sets out any 

conditions for the dismissal.

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. 

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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. 

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(7000 Series) 52

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. 

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(7000 Series) 53

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

Rule 54(d)(2)(C) to 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. 

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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. 

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(7000 Series) 55

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. 

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(7000 Series) 56

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. 

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(7000 Series) 57

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. 

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(7000 Series) 58

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. 

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(7000 Series) 59

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. 

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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. 

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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. 

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(7000 Series) 62

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. 

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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. 

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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. 

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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. 

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(8000 Series) 1 

Bankruptcy Rules Restyling

8000 Series

Preface

This revision is a restyling of the Federal Rules of Bankruptcy Procedure to provide 

greater clarity, consistency, and conciseness without changing practice and procedure. 

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 (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 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. 

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(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 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, 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

judgment, order, or decree is

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(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.

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: 

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(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 the Ruling on the 

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 prescribed

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.

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(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 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 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. 

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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 motion1 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

appeal2 if the motion is filed:

(A) within the time prescribed by this 

rule; or 

(B) within 21 days after that time

expires if the party shows 

excusable neglect.

(2) When the Time May Not Be 

Extended. The bankruptcy court may

not extend the time to file the notice if

the judgment, order, or decree being 

appealed:

(A) grants relief from the 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.

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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 prescribed 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. 

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ORIGINAL REVISION

Rule 8003. 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, order, or decree, or the 

part of it, being appealed; and 

(C) be accompanied by 

the prescribed fee.

(4) 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).

(a) Filing a Notice of Appeal.

(1) Time to File. An appeal under

28 U.S.C. § 158(a)(1) or (2) from a

judgment, order, or decree of a 

bankruptcy court 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 other

step 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, 

order, or decree, or the part of it,

being appealed; and 

(C) be accompanied by the prescribed

filing fee.

(4) 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).

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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— 

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 validity of the appeal. 

(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.

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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 BAP

clerk or district 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. 

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ORIGINAL REVISION

Rule 8004. Appeal by Leave—How

Taken; Docketing the Appeal

Rule 8004. Appeal by Leave 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. 

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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 has been served, a

party may file with the district clerk or 

BAP clerk a response in opposition or 

a cross-motion. 

(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

titleof 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 

the notice of appeal and the motion

for leave to appeal to the BAP clerk.

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

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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. 

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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 a 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 an appeal heard in a district court, a 

party must file a statement of election

within the time prescribed by 28 U.S.C.

§ 158(c)(1). The statement must conform 

substantially 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 

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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. 

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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).

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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. On a party’s request or on its own, 

the court where the matter is pending 

under (b) may certify a direct appeal to a

court of appeals.

(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.

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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 Cross-Request. 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 crossrequest 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.

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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. 

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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. 

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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

withthe bankruptcy court.

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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. 

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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. 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.

(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 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. 

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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. 

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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 CrossAppellant. 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. 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. 

(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.

(3) Cross-Appellee’s Designation.

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ORIGINAL REVISION

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

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.

appellant’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;

• 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, and 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.

(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.

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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 

Cross-Appellant. 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

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 crossappellant 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.

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ORIGINAL REVISION

(3) Appellee’s or CrossAppellee’s Right to Order. Within 14

days after the appellant or crossappellant 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 crossappellee 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) may order in writing from the 

reporter (as defined in

Rule 8010(a)(1)) 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 

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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 may consider 

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

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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 

presentedto the court where the

appeal is pending. 

(e) Correcting or Modifying the Record.

(1) Differences About Accuracy and 

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 it.

(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 as to the form and content 

of the record must be presented to the 

court where the appeal is pending. 

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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 so 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. 

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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 were 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. 

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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 paragraph (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 the record is available

electronically.

(2) Multiple Appeals. When 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. 

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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:

• 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.

(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. 

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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 istimely 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 orbefore 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 

filedelectronically 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 clerk of the 

district court or BAP. 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

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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.

) 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 allowed or required by local rule.

i)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 

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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 

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’s clerk must not refuse to accept

for filing any document presented for 

that purpose 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. 

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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 

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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.

than through the court’s electronicfiling system:

(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

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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. 

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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 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.

(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. 

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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. 

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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.

(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 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.

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 

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ORIGINAL REVISION

(ii) 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. 

(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 itwithin 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.

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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 notice was impracticable.

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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):

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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 particularcase.

(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 

(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.

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ORIGINAL REVISION 

intervention, whether intervention was 

sought in the 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

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. 

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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 

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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).

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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

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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 

made within 7 days after service, unless the

court orders otherwise, and must be 

similarly limited.

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. 

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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 e-mail address of 

counsel representing the party for 

whom the brief is filed.

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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 81⁄2-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 

101⁄2 characters per inch. 

(6) Type Styles. A brief 

must beset 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

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ORIGINAL REVISION

(7) Length. contains a certificate

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).

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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 81⁄2-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) Photocopy of Court Document. An

appendix may include a legible

photocopy of any document found in 

the record or of a printed decision. 

(2) Odd-Sized Document. When 

necessary to facilitate inclusion of 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

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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).

under Rule 8014(f)—must comply 

with (a), with the following exceptions: 

(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;

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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 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 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. 

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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

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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

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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 

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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 

good 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. 

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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 orreversal. If an amicus 

curiae is a corporation, the brief 

(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

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, 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 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

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ORIGINAL REVISION

must include a 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

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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. 

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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

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. 

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 for Filing. 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. 

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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 good 

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

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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 crossappeal, but omitted by the crossappellant. 

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 Duty. 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) Appellant’s Duty as Cross-Appellee. 

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. 

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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. 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. 

These provisions apply:

(1) Page Numbers. When transcript 

pages are placed in the appendix, the 

transcript page numbers must be 

shown in brackets immediately before

the included pages. 

(2) Omissions. Omissions from the text

of a document or of the transcript 

must be indicated by asterisks.

(3) Immaterial Formal Matters. 

Immaterial formal matters (captions,

subscriptions, acknowledgments, and 

the like) should be omitted.

(d) EXHIBITS. Exhibits designated for

inclusion in the appendix may be 

reproduced in a separate volume or 

volumes, suitably indexed. 

(d) Reproduction of 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.

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.

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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. 

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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 all the BAP judges 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 Argument. The 

appellant opens and concludes the 

argument. Counsel must not read at length

from briefs, the record, or authorities. 

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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. Any 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, counsel must remove the

exhibits from the courtroom unless the 

district court or BAP orders otherwise. The

clerk may destroy or dispose of them if

counsel does not reclaim them within a 

reasonable time after the clerk gives notice

to do so. 

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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. 

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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, 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.

(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. 

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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, 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.

(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;

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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

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 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. 

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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 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. 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.

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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. The 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. 

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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 beyond the mere

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 mere 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. 

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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 entering a judgment, 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. 

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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 a United

States Court of Appeals.

(1) In General. The district court or BAP

may—on a party’s motion with notice 

to all other parties to the appeal—stay

its judgment pending an appeal to the 

court of appeals.

(2) Time Limit. Except for cause shown, 

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 

not 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 a Bankruptcy Court’s

Order, Judgment, or Decree. If a district

court or BAP enters a judgment affirming a

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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.

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 for the duration of the appellate 

stay.

(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 One of

Its Judges Not Limited. This rule does 

not limit the power of a court of appeals or 

one 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. 

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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 Sates.

(3) Limit 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 

(b) Procedure When There Is No

Controlling Law.

(1) In General. A district court or BAP

may regulate practice in any manner 

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ORIGINAL REVISION

or BAP may regulate practice in any 

manner consistent with federal law,

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. 

consistent with federal law, applicable 

federal rules, the official forms, and

local rules.

(2) Limit on Imposing Sanctions. 

Unless an alleged violator has been

given actual notice of a requirement in

the particular case, no sanction or 

other disadvantage may be imposed 

for failing to comply with any 

requirement not in federal law,

applicable federal rules, the official

forms, or local rules.

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. 

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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 a 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.

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. 

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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. 

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(9000 Series) 1

Bankruptcy Rules Restyling

9000 Series

Preface

This revision is a restyling of the Federal Rules of Bankruptcy Procedure to provide 

greater clarity, consistency, and conciseness without changing practice and procedure.

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ORIGINAL REVISION

PART 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. 

(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) “Bankruptcy Code” or “Code” means 

Title 11 U.S.C.

(3) “Clerk” means a bankruptcy clerk if 

one has been appointed; otherwise, it 

means the district clerk.

(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 

be compelled to appear for 

examination, includes any or all of the 

following: 

(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 

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ORIGINAL REVISION

(7) “Judgment” means any 

appealable order.

(8) “Mail” means first class, 

postage prepaid. 

 (9) “Notice provider” means any 

entity approved by the Administrative 

Office of the United States Courts to 

give notice to creditors under Rule 

2002(g)(4). 

(10) “Regular associate” means 

any attorney regularly employed by, 

associated with, or counsel to an 

individual or firm.

 (11) “Trustee” includes a debtor 

in possession in a chapter 11 case. 

(12) “United States trustee” 

includes an assistant United States 

trustee and any designee of the United 

States trustee.

other person in control.

(6) “Firm” includes a partnership or 

professional corporation of attorneys 

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 any 

assistant United States trustee and 

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. 

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(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 an 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. 

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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 problems of 

bankruptcy administration and how to 

improve it—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. 

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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. An abbreviation 

commonly used in English is 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. To be filed, a document 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. 

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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 substantial 

rights.

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. 

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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. 

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ORIGINAL REVISION

Rule 9006. Computing and 

Extending Time; Time for Motion 

Papers

Rule 9006. Computing and Extending 

Time; Motions

(a) COMPUTING TIME. The 

following rules apply in computing any 

time period specified in these rules, in 

the Federal Rules of Civil Procedure, in 

any local rule or court order, or in any 

statute that does not specify a method of 

computing time.

(1) Period Stated in Days or a Longer 

Unit. When the period is stated in days 

or a longer unit of time: 

 (A) exclude the day of 

the event that triggers the period; 

 (B) count every day, 

including intermediate Saturdays, 

Sundays, and legal holidays; and 

 (C) include the last day 

of the period, but if the last day is a 

Saturday, Sunday, or legal holiday, the 

period continues to run until the end of 

the next day that is not a Saturday, 

Sunday, or legal holiday. 

(2) Period Stated in Hours. When 

the period is stated in hours: 

 (A) begin counting 

immediately on the occurrence of the 

event that triggers the period;

 (B) count every hour, 

including hours during intermediate 

Saturdays, Sundays, and legal holidays; 

and 

 (C) if the period would 

end on a Saturday, Sunday, or legal 

holiday, then continue the period until 

the same time on the next day that is not 

a Saturday, Sunday, or legal holiday.

(3) Inaccessibility of Clerk’s Office. 

Unless the court orders otherwise, if the 

(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 hour on the next day that is 

not a Saturday, Sunday, or legal 

holiday. 

(3) Inaccessibility of the Clerk’s Office 

When a Filing Is Due. Unless the 

court orders otherwise, if the clerk’s 

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ORIGINAL REVISION

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, 

Independence Day, Labor Day, 

Columbus Day, Veterans’ Day, 

Thanksgiving Day, or Christmas Day;

 (B) any day declared a 

holiday by the President or Congress; 

and 

 (C) for periods that are 

measured after an event, any other day 

declared a holiday by the state where the 

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, Columbus Day, Veteran’s 

Day, Thanksgiving Day, and 

Christmas Day;

(B) any day declared a holiday by the 

President or Congress; and 

(C) for periods that are measured after 

an event, any other day declared a 

holiday by the State where the 

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ORIGINAL REVISION

district court is located. (In this rule, 

“state” includes the District of Columbia 

and any United States commonwealth or 

territory.)

district court is located. (In this 

rule, “State” includes the District 

of Columbia and any United States 

commonwealth or territory.) 

(b) ENLARGEMENT.

(1) In General. Except as 

provided in paragraphs (2) and (3) of 

this subdivision, when an act is required 

or allowed to be done at or within a 

specified period by these rules or by a 

notice given thereunder or by order of 

court, the court for cause shown may at 

any time in its discretion (1) with or 

without motion or notice order the 

period enlarged if the request therefor is 

made before the expiration of the period 

originally prescribed or as extended by a 

previous order or (2) on motion made 

after the expiration of the specified 

period permit the act to be done where 

the failure to act was the result of 

excusable neglect.

(2) Enlargement Not Permitted. The 

court may not enlarge the time for 

taking action under Rules 1007(d), 

2003(a) and (d), 7052, 9023, and 9024.

(3) Enlargement Governed By Other 

Rules. The court may enlarge the time 

for taking action under Rules 1006(b)(2), 

1017(e), 3002(c), 4003(b), 4004(a), 

4007(c), 4008(a), 8002, and 9033, only to 

the extent and under the conditions 

stated in those rules. In addition, the 

court may enlarge the time to file the 

statement required under Rule 

1007(b)(7), and to file schedules and 

statements in a small business case 

under § 1116(3) of the Code, only to the 

extent and under the conditions stated 

in Rule 1007(c).

(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

shown—extend the time to act if:

(A) with or without a motion or notice, 

the request 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 to the extent and under 

the conditions stated in 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 

permitted by Rule 1007(c).

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ORIGINAL REVISION

(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 Limits.

(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 shown and with or 

without a motion or notice—reduce 

the period to act.

(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, 

under Rule 1007(c), reduce the time 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.

(1) In General. A 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 

application to change the period for 

service may be made ex parte for cause 

shown. 

(2) Response. Except as provided in 

Rule 9023, any response must be 

served at least 1 day before the 

hearing—unless the court allows 

otherwise.

(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.

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ORIGINAL REVISION

(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 Kinds of 

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. 

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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 any 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. 

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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. 

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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 official 

form. An Official 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. 

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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—through an authorized 

agent, attorney-in-fact, or proxy—any 

act not constituting the practice of law.

(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 that 

contains 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 

conforms substantially 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. 

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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 any amendment

to one—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,—1

 (1) it is not being presented for 

any improper purpose, such as to harass 

or to cause unnecessary delay or 

needless increase in the cost of litigation; 

(2) the claims, defenses, and 

other legal contentions therein are 

warranted by existing law or by a 

nonfrivolous argument for the 

extension, modification, or reversal of 

existing law or the establishment of new 

law; 

(3) the allegations and other 

(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 or to 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 

1 So in original. The comma probably should not appear.

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ORIGINAL REVISION

factual contentions have evidentiary 

support or, if specifically so identified, 

are likely to have evidentiary support 

after a reasonable opportunity for 

further investigation or discovery; and

 (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. 

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.

(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 

(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 stated below, 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 

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ORIGINAL REVISION

jointly responsible for violations 

committed by its partners, associates, 

and employees. 

 (B) On Court’s Initiative.

On its own initiative, the court may 

enter an order describing the specific 

conduct that appears to violate 

subdivision (b) and directing an 

attorney, law firm, or party to show 

cause why it has not violated subdivision 

(b) with respect thereto.

(2) Nature of Sanction; Limitations.

A sanction imposed for violation of this 

rule shall be limited to what is sufficient 

to deter repetition of such conduct or 

comparable conduct by others similarly 

situated. Subject to the limitations in 

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 

in violation of (b).

(C) Awarding Damages. If warranted, the 

court may award to the prevailing 

party reasonable expenses and 

attorney’s fees incurred in 

presenting or opposing the motion. 

(3) By the Court. On its own, the court 

may order an attorney, law firm, or 

party to show cause why conduct 

specifically described in the order 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 

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ORIGINAL REVISION

basis for the sanction imposed. party that is, or whose 

attorneys are, to be 

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) Verification. 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. 

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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 do so 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. 

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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 the Motion. The

motion must state its grounds with 

particularity and set forth the relief or order 

sought. 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. 

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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 Filing. 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 

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;

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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/discovery 

plan. 

(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. 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) 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. 

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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. 

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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. 

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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. 

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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. 

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ORIGINAL REVISION

Rule 9019. Compromise and 

Arbitration

Rule 9019. Compromise; 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. On the 

trustee’s motion and after notice and a 

hearing, the court may approve a 

compromise or settlement. Notice must be 

given to: 

• the creditors; 

• the United States trustee;

• the debtor; 

• 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 direct, the court may:

(1) fix 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. 

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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. 

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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. 

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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 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. 

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ORIGINAL REVISION

Rule 9023. New Trials; Amendment 

of Judgments

Rule 9023. New Trial; 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) By Motion. Except as this rule and 

Rule 3008 provide otherwise, Fed. R. Civ. 

P. 59 applies in a bankruptcy case. 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. 

(b) 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. 

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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;

(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. 

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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. 

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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. 

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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 

(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 

Was 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 

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ORIGINAL REVISION

pleading setting forth the claim or cause 

of action sought to be removed, or (B) 

30 days after receipt of the summons if 

the initial pleading has been filed with 

the court but not served with the 

summons.

of action is asserted in another court

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 the 

claim or cause of action is remanded. 

(d) REMAND. A motion for remand of

the removed claim or cause of action 

shall be governed by Rule 9014 and 

served on the parties to the removed 

claim or cause of action.

(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.

(e) Procedure After Removal.

(1) Bringing Proper Parties Before the 

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(1) After removal of a claim or 

cause of action to a district court the 

district court or, if the case under the 

Code has been referred to a bankruptcy 

judge of the district, the bankruptcy 

judge, may issue all necessary orders and 

process to bring before it all proper 

parties whether served by process issued 

by the court from which the claim or 

cause of action was removed or 

otherwise.

(2) The district court or, if the 

case under the Code has been referred 

to a bankruptcy judge of the district, the 

bankruptcy judge, may require the party 

filing the notice of removal to file with 

the clerk copies of all records and 

proceedings relating to the claim or 

cause of action in the court from which 

the claim or cause of action was 

removed. 

 (3) Any party who has filed a 

pleading in connection with the 

removed claim or cause of action, other 

than the party filing the notice of 

removal, shall file a statement 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.

Court. After removal, the district 

court—or the bankruptcy judge to 

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 to a Removed 

Claim. A party who has filed a 

pleading in 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 entry of 

a final order or judgment of the 

bankruptcy court; 

(B) ensure that the statement is signed 

as Rule 9011 provides;

(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 

(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—process or service may be 

completed or new process issued as the 

Part VII rules provide. A defendant served 

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ORIGINAL REVISION

pursuant to Part VII of these rules. This 

subdivision shall not deprive any 

defendant on whom process is served 

after removal of the defendant’s right to 

move to remand the case.

after removal may move to remand the 

claim or cause of action to the court from 

which it was removed.

(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 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 

(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 

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ORIGINAL REVISION

had in the court, and all process 

awarded, as if certified copies had been 

filed.

affidavit or otherwise. The court may then 

proceed to trial and judgment, and may 

award all process, as if certified copies had 

been filed. 

(i) ATTACHMENT OR 

SEQUESTRATION; SECURITIES. 

When a claim or cause of action is 

removed to a district court, any 

attachment or sequestration of property 

in the court from which the claim or 

cause of action was removed shall hold 

the property to answer the final 

judgment or decree in the same manner 

as the property would have been held to 

answer final judgment or decree had it 

been rendered by the court from which 

the claim or cause of action was 

removed. All bonds, undertakings, or 

security given by either party to the 

claim or cause of action prior to its 

removal shall remain valid and effectual 

notwithstanding such removal. All 

injunctions issued, orders entered and 

other proceedings had prior to removal 

shall remain in full force and effect until 

dissolved or modified by the court. 

(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. 

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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. 

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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—federal statutes 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 do the same. 

(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 rights 

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. But for any 

requirement set out elsewhere a sanction or 

other disadvantage may be imposed for 

noncompliance only if the alleged violator 

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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. 

has been 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. 

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ORIGINAL REVISION

Rule 9030. Jurisdiction and Venue 

Unaffected

Rule 9030. Jurisdiction and Venue

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 jurisdiction of the courts 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. 

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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. 

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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 the Federal Rules of Civil 

Procedure 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. 

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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. The objections 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 to or the 

bankruptcy judge considers 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 the time to file for any 

party for no more than 21 days after 

the time otherwise provided by this 

rule expires. But a request made within 

21 days after that time expires may be 

granted upon a showing of excusable 

neglect.

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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 them, 

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. 

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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 the 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 papers or the court orders copies sent 

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ORIGINAL REVISION

transmitted to the United States trustee. 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. 

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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 and 

North Carolina

In any case under the Code that is filed 

in or transferred to a district in the State 

of Alabama or the State of North 

Carolina and in which a United States 

trustee is not authorized to act, these 

rules apply to the extent that they are 

not inconsistent with any federal statute 

effective in the case.

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. 

Preliminary Draft of Proposed Amendments | August 2022 Page 262 of 320
(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. 

(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) 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 

(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 document with the 

court’s electronic-filing system. 

 (2) 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).

Preliminary Draft of Proposed Amendments | August 2022 Page 263 of 320
(9000 Series) 55

ORIGINAL REVISION

the paper electronically at 

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). 

(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). 

(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. 

(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 notified or served. The

recipient must 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.

(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. 

Preliminary Draft of Proposed Amendments | August 2022 Page 264 of 320
(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) Required Redaction. Unless the court 

orders otherwise, in an electronic or paper 

filing with the court that contains an 

individual’s social-security number, 

taxpayer-identification number, or birth 

date, the name of an individual other than 

the debtor known to be and identified as a 

minor, or a financial-account number, a 

party or nonparty making the filing may 

include only: 

(1) the last four digits of 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.

Preliminary Draft of Proposed Amendments | August 2022 Page 265 of 320
(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) Order for a Filing 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 under the Code:

(1) require redaction of additional 

information; or 

(2) limit or prohibit a nonparty’s remote 

electronic access to a document filed 

with the court. 

(e) OPTION FOR ADDITIONAL 

UNREDACTED FILING UNDER 

SEAL. An entity making a redacted 

filing may also file an unredacted copy 

under seal. The court must retain the 

unredacted copy as part of the record.

(e) Option to File an 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 to File 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. 

Preliminary Draft of Proposed Amendments | August 2022 Page 266 of 320
(9000 Series) 58

ORIGINAL REVISION

(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. 

(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 person who 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 

Preliminary Draft of Proposed Amendments | August 2022 Page 267 of 320
(9000 Series) 59

ORIGINAL REVISION

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. 

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. 

Preliminary Draft of Proposed Amendments | August 2022 Page 268 of 320
Mortgage Proof of Claim Attachment (12/23)

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 of claim. See separate instructions.

Official Form 410A Mortgage Proof of Claim Attachment page 1 of __ 

Part 1: Mortgage and Case Information Part 2: Total Debt Calculation Part 3: Arrearage as of Date of the Petition Part 4: Monthly Mortgage Payment

Case number: ____________________ Principal balance: __________ Principal due: ____________ Principal & interest: _____________

Debtor 1: ____________________ Interest due: __________ Interest due: ____________ Monthly escrow: _____________

Debtor 2: ____________________ Fees, costs due: __________ Prepetition fees due: ____________ Private mortgage 

insurance: _____________

Last 4 digits to identify: ___ ___ ___ ___ Escrow deficiency for 

funds advanced: __________

Escrow deficiency for funds 

advanced: ____________

Total monthly 

payment: _____________

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 After Amount Received or Incurred 

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

N.

Accrued 

interest 

balance

O.

Escrow 

balance

P.

Fees / 

Charges 

balance

Q.

Unapplied 

funds 

balance

 

 

 

 

Preliminary Draft of Proposed Amendments | August 2022 Page 269 of 320
Mortgage Proof of Claim Attachment: Additional Page (12/23)

Case number:

Debtor 1:

Official Form 410A Mortgage Proof of Claim Attachment page __ of __ 

Part 5 : Loan Payment History from First Date of Default

Account Activity How Funds Were Applied/Amount Incurred Balance After Amount Received or Incurred 

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

N.

Accrued 

interest 

balance

O.

Escrow 

balance

P.

Fees / 

Charges 

balance

Q.

Unapplied 

funds 

balance

Preliminary Draft of Proposed Amendments | August 2022 Page 270 of 320
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. 

Preliminary Draft of Proposed Amendments | August 2022 Page 271 of 320
Official Form 410A Mortgage Proof of Claim Attachment page 1

Official Form 410A 

Instructions for Mortgage Proof of Claim Attachment

United States Bankruptcy Court 12/23 

Introduction

This form is used only in individual debtor cases. 

When required to be filed, it must be attached to 

Proof of Claim (Official Form B410) with other 

documentation required under the Federal Rules 

of Bankruptcy Procedure. 

Applicable Law and Rules

Rule 3001(c)(2)(A) of the Federal Rules of 

Bankruptcy Procedure requires for the 

bankruptcy case of an individual that any proof 

of claim be accompanied by a statement 

itemizing any interest, fees, expenses, and 

charges that are included in the claim. 

Rule 3001(c)(2)(B) requires that a statement of 

the amount necessary to cure any default be filed 

with the claim if a security interest is claimed in 

the debtor’s property. 

If a security interest is claimed in property that is 

the debtor’s principal residence, 

Rule 3001(c)(2)(C) requires this form to be filed 

with the proof of claim. The form implements 

the requirements of Rule 3001(c)(2)(A) and (B). 

If an escrow account has been established in 

connection with the claim, Rule 3001(c)(2)(C) 

also requires an escrow statement to be filed with 

the proof of claim. The statement must be 

prepared as of the date of the petition and in a 

form consistent with applicable nonbankruptcy 

law. 

Directions

Definition

This form must list all transactions on the claim 

from the first date of default to the petition date.

The first date of default is the first date on which 

the borrower failed to make a payment in 

accordance with the terms of the note and 

mortgage, unless the note was subsequently 

brought current with no principal, interest, fees, 

escrow payments, or other charges immediately 

payable.

Information required in Part 1: Mortgage and 

Case Information

Insert on the appropriate lines:

 the case number; 

 the names of Debtor 1 and Debtor 2; 

 the last 4 digits of the loan account number 

or any other number used to identify the 

account;

 the creditor’s name; 

 the servicer’s name, if applicable; and

 the method used to calculate interest on the 

debt (i.e., fixed accrual, daily simple 

interest, or other method).

Preliminary Draft of Proposed Amendments | August 2022 Page 272 of 320
Official Form 410A Mortgage Proof of Claim Attachment page 2

Information required in Part 2: Total Debt 

Calculation

Insert: 

 the principal balance on the debt; 

 the interest due and owing; 

 any fees or costs owed under the note or 

mortgage and outstanding as of the date of 

the bankruptcy filing; and

 any Escrow deficiency for funds advanced—

that is, the amount of any prepetition 

payments for taxes and insurance that the 

servicer or mortgagee made out of its own 

funds and for which it has not been 

reimbursed. 

If the secured debt has merged into a prepetition 

judgment, the principal balance on the debt is the 

remaining amount of the judgment. Any postjudgment interest due and owing, fees and costs, 

and escrow deficiency for funds advanced shall 

be the amounts that are collectible under 

applicable law. 

Also disclose the Total amount of funds on hand. 

This amount is the total of the following, if 

applicable: 

 a positive escrow balance, 

 unapplied funds, and 

 amounts held in suspense accounts.

Total the amounts owed—subtracting total funds 

on hand—to determine the total debt due. 

Insert this amount under Total debt. The amount 

should be the same as the claim amount that you 

report on line 7 of Official Form 410.

Information required in the Part 3: Arrearage 

as of the Date of Petition 

Insert the amounts of the principal and interest 

portions of all prepetition monthly installments 

that remain outstanding as of the petition date. 

The escrow portion of prepetition monthly 

installment payments should not be included in 

this figure.

Insert the amount of fees and costs outstanding 

as of the petition date. This amount should equal 

the Fees/Charges balance as shown in the last 

entry in Part 5, Column P. 

Insert any escrow deficiency for funds advanced. 

This amount should be the same as the amount 

of escrow deficiency stated in Part 2.

Insert the Projected escrow shortage as of the 

date the bankruptcy petition was filed. The 

projected escrow shortage is the amount the 

claimant asserts should exist in the escrow 

account as of the petition date, less the amount

actually held. The amount actually held should 

equal the amount of a positive escrow account 

balance as shown in the last entry in Part 5, 

Column O. 

This calculation should result in the amount 

necessary to cure any prepetition default on the 

note or mortgage that arises from the failure of 

the borrower to satisfy the amounts required 

under the Real Estate Settlement Practices Act

(RESPA). The amount necessary to cure should 

include 1/6 of the anticipated annual charges 

against the escrow account or 2 months of the 

monthly pro rata installments due by the 

borrower as calculated under RESPA guidelines.

The amount of the projected escrow shortage 

should be consistent with the escrow account 

statement attached to the Proof of Claim, as 

required by Rule 3001(c)(2)(C). 

Insert the amount of funds on hand that are 

unapplied or held in a suspense account as of the 

petition date.

Total the amounts due listed in Part 3, 

subtracting the funds on hand, and insert the 

calculated amount in Total prepetition 

arrearage. This should be the same amount as 

“Amount necessary to cure any default as of the 

date of the petition” that you report on line 9 of 

Official Form 410.

Preliminary Draft of Proposed Amendments | August 2022 Page 273 of 320
Official Form 410A Mortgage Proof of Claim Attachment page 3

Information required in Part 4: Monthly 

Mortgage Payment

Insert the principal and interest amount of the 

first postpetition payment.

Insert the monthly escrow portion of the monthly 

payment. This amount should take into account 

the receipt of any amounts claimed in Part 3 as

escrow deficiency and projected escrow 

shortage. Therefore, a claimant should assume 

that the escrow deficiency and shortage will be 

paid through a plan of reorganization and 

provide for a credit of a like amount when

calculating postpetition escrow installment 

payments. 

Claimants should also add any monthly private 

mortgage insurance amount.

Insert the sum of these amounts in Total monthly 

payment. 

Information required in Part 5: Loan Payment 

History from the First Date of Default

Beginning with the First Date of Default, enter: 

 the date of the default in Column A;

 amount incurred in Column D; 

 description of the charge in Column E;

 principal balance, escrow balance, and 

unapplied or suspense funds balance as of 

that date in Columns M, O, and Q, 

respectively.

For (1) all subsequently accruing installment 

payments; (2) any subsequent payment received; 

(3) any fee, charge, or amount incurred; and

(4) any escrow charge satisfied since the date of 

first default, enter the information in date order, 

showing: 

 the amount paid, accrued, or incurred; 

 a description of the transaction; 

 the contractual due date, if applicable; 

 how the amount was applied or assessed; 

and

 the resulting principal balance, accrued 

interest balance, escrow balance, 

outstanding fees or charges balance, and the 

total unapplied funds held or in suspense.

If more space is needed, fill out and attach as 

many copies of Mortgage Proof of Claim 

Attachment: Additional Page as necessary.

Preliminary Draft of Proposed Amendments | August 2022 Page 274 of 320
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Hon. John D. Bates, Chair 

 Committee on Rules of Practice and Procedure

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

 Advisory Committee on Civil Rules

RE: Report of the Advisory Committee on Civil Rules

DATE: December 14, 2021 

_____________________________________________________________________________ 

Introduction

The Civil Rules Advisory Committee met on a teleconference platform that included public 

access, on October 5, 2021. Draft minutes of the meeting are attached.

Part I of this report presents one item for action at this meeting, recommending publication 

of an amendment of Rules 12(a)(2) and (3) to recognize statutes that set a time to file a responsive 

pleading different than the 60-day period in the present rule. 

* * * * * 

I. Action Item: Rules 12(a)(2) and (3) for Publication

Rule 12(a) sets the times to serve responsive pleadings. Rule 12(a)(1) recognizes that a 

federal statute setting a different time should govern. Rules 12(a)(2) and (3) do not recognize the 

possibility of conflicting statutes. Statutes setting shorter times than the 60 days provided by 

Preliminary Draft of Proposed Amendments | August 2022 Page 275 of 320
Excerpt from the December 14, 2021 Report of the Advisory Committee on Civil Rules 

(revised July 28, 2022)

paragraph (2) exist. It is not clear whether any statute inconsistent with paragraph (3) exists now. 

This proposal would amend paragraphs (2) and (3) to bring them into line with paragraph (1), 

recognizing that a different statutory time should supersede the general 60-day rule time.

Rule 12(a) begins like this:

(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:

(A) A defendant must serve an answer:

(i) within 21 days after being served with the summons 

and complaint; or 

* * * * * 

(2) United States and Its Agencies, Officers, or Employees Sued in an 

Official Capacity. The United States, a United States agency, or a 

United States officer or employee sued only in an official capacity 

must serve an answer to a complaint, counterclaim, or crossclaim 

within 60 days after service on the United States attorney.

(3) United States Officers of Employees Sued in an Individual Capacity.

A United States officer or employee sued in an individual capacity 

for an act or omission occurring in connection with duties performed 

on the United States’ behalf must serve an answer to a complaint, 

counterclaim, or crossclaim within 60 days after service on the 

officer or employee or service on the United States attorney, 

whichever is later.

* * * * * 

 The amendment would recast the beginning of Rule 12(a) to read like this:

(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 

* * * * * 

The most frequently encountered statute that sets a different time from Rule 12(a)(2) is the 

Freedom of Information Act. The Department of Justice reports that it understands and adheres to 

Preliminary Draft of Proposed Amendments | August 2022 Page 276 of 320
Excerpt from the December 14, 2021 Report of the Advisory Committee on Civil Rules 

(revised July 28, 2022)

the 30-day response time set by FOIA. But this question came to the agenda from a lawyer who 

had to argue with a clerk’s office to gain a 30-day summons, and research by an independent 

journalist with a law librarian suggests that many districts issue 60-day summonses and that mean 

and median response times exceed 30 days.

The reasons to recommend the amendment are direct. Rules 12(a)(2) and (3) were never 

intended to supersede inconsistent statutes. It is embarrassing to have rule text that does not reflect 

the intent to defer. Worse, comparison of the text of paragraph (1) with the texts of paragraphs (2) 

and (3) might suggest a deliberate choice that only the response times set by paragraph (1) should 

defer to inconsistent statutory periods. And the risk that the rule text may be read to supersede 

inconsistent statutory provisions may be real. Working through a supersession argument, 

moreover, would lead to the prospect that the rule supersedes inconsistent earlier statutes, but is 

superseded by later statutes. It is better to avoid these problems by a simple amendment.

The reasons to hesitate are few. One is the ever-present concern that bench and bar should 

not be burdened with a never-ending flow of minor rules amendments. Time and again the 

committees find divergent or likely wrong interpretations of the rules but draw back from 

proposing amendments. The other is that the Department of Justice regularly encounters actions 

that involve both claims subject to a shorter period and claims subject to the general 60-day period 

in Rules 12(a)(2) and (3). Often it wins an order that allows it to file a single answer within the 60-

day period. The Department has some concern that express recognition of the shorter statutes in 

rule text might make it more difficult to win such extensions. These reasons proved troubling to 

the Advisory Committee when this proposal was first considered in October 2020; the proposal 

was held for further study by an evenly divided vote. 

The reasons to recommend this amendment for publication proved more persuasive to the 

Advisory Committee after further discussion. The recommendation was adopted without dissent. 

* * * * * 

Preliminary Draft of Proposed Amendments | August 2022 Page 277 of 320
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 

structure recognizes the priority of any statute for all of 

paragraphs (1), (2), and (3). 

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

is lined through. 

Preliminary Draft of Proposed Amendments | August 2022 Page 278 of 320
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

 

TO: Honorable John D. Bates, Chair 

 Standing Committee on Rules of Practice and Procedure 

FROM: Honorable Patrick J. Schiltz, Chair 

 Advisory Committee on Evidence Rules 

RE: Report of the Advisory Committee on Evidence Rules 

DATE: May 15, 2022 

______________________________________________________________________________ 

I. Introduction

The Advisory Committee on Evidence Rules (the “Committee”) met in Washington, D.C., 

on May 6, 2021. At the meeting the Committee discussed and gave final approval to three 

proposed amendments that had been released for public comment. The Committee also considered

and approved six proposed amendments with the recommendation that they be released for public 

comment. 

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Excerpt from the May 15, 2022 Report of the Advisory Committee on Evidence Rules

 The Committee made the following determinations at the meeting:

* * * * * 

● It unanimously approved proposals to amend Rules 611 * * * * *, 613(b), 801(d)(2), 

804(b)(3), and 1006, and recommends to the Standing Committee that these proposed amendments

be released for public comment. 

 

 A full description of all of these matters can be found in the draft minutes of the Committee 

meeting, attached to this Report. The proposed amendments can also be found as attachments to 

this Report. 

II. Action Items

* * * * * 

D. Possible Amendment to Rule 611 on Illustrative Aids, for Release for 

Public Comment

At the Spring meeting, the Committee unanimously approved a proposal to add a new 

Rule 611(d) 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 jury in understanding 

other evidence) is sometimes a difficult one to draw, and is a point of confusion in the courts. In 

addition, the standards for allowing illustrative aids to be presented --- and particularly whether 

illustrative aids may be used by the jury during deliberations --- are not made clear in the case law. 

The Committee has determined that it would be useful to set forth uniform standards to regulate 

the use of illustrative aids, and in doing so clarify the distinction between illustrative aids and 

demonstrative evidence. 

The proposed amendment would distinguish illustrative aids --- presentations that are not 

evidence but offered only to help the factfinder understand evidence --- from demonstrative 

evidence offered to prove a fact. The amendment would allow 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. 

Because illustrative aids are not evidence, adverse parties do not receive pretrial discovery 

of such aids. The proposed rule would require notice to be provided, unless the court for good 

cause orders otherwise. The Committee determined that advance notice is important so that the 

court can rule on whether the aid has sufficient utility before it is displayed to the jury. (After all, 

you can’t unring a bell.) The Committee Note recognizes that the timing of the notice will depend 

on the circumstances. 

Finally, because illustrative aids are not evidence, the proposed rule provides that the aids 

should not be allowed into the jury room during deliberations, unless the court orders otherwise. 

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Excerpt from the May 15, 2022 Report of the Advisory Committee on Evidence Rules

The Committee Note specifies that if the court does allow an illustrative aid to go to the jury room, 

the court should instruct the jury that the aid is not evidence. 

It is important to note that the proposed rule is not intended to regulate PowerPoints or 

other aids that an attorney uses merely to guide the jury through an opening or closing argument. 

Again, illustrative aids assist the jury in understanding evidence; something that assists the jury in 

following an argument is therefore not an illustrative aid. 

The Committee strongly believes that the 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 

evidence rules specifically addresses their use. This amendment rectifies that problem. 

At the Spring 2022 meeting, the Committee unanimously approved the proposed 

amendment to add Rule 611(d) to regulate the use of illustrative aids at a trial. The Committee 

recommends that the proposed amendment, and the accompanying Committee Note, be released 

for public comment. 

The proposed amendment to add Rule 611(d), together with the proposed Committee Note, 

is attached to this Report. 

E. Proposed Amendment to Rule 1006, for Release for Public Comment1 

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 

Committee has determined that the courts are in dispute about a number of issues regarding 

admissibility of summaries of evidence under Rule 1006 --- and that 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. 

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 evidence that has already been presented (which is not itself 

evidence and would be governed by new Rule 611(d)). The proposed amendment to Rule 1006

would clarify that a summary is admissible whether or not the underlying evidence has been 

1 This rule is taken out of numerical sequence, because it is of a piece with the proposed amendment on illustrative 

aids.

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Excerpt from the May 15, 2022 Report of the Advisory Committee on Evidence Rules

admitted. The Committee believes that the proposed amendment will provide substantial 

assistance to courts and litigants in navigating this confusing area. 

At the Spring 2022 meeting, the Committee unanimously approved the proposed 

amendment to Rule 1006. The Committee recommends that the proposed amendment, and the 

accompanying Committee Note, be released for public comment. 

The proposed amendment to Rule 1006, together with the proposed Committee Note, is 

attached to this Report. 

* * * * * 

G. Proposed Amendment to Rule 613(b), for Release for Public 

Comment. 

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. 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 many (perhaps 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 almost always concede that she made the inconsistent statement, and 

that makes it unnecessary for anyone to introduce extrinsic evidence. The prior presentation 

requirement also avoids unfair surprise and 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. 

After discussion at three Committee meetings, the Committee 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). This 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. 

* * * * * 

At the Spring 2022 meeting, the Committee unanimously approved the proposed 

amendment to Rule 613(b). The Committee recommends that the proposed amendment, and the 

accompanying Committee Note, be released for public comment. 

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Excerpt from the May 15, 2022 Report of the Advisory Committee on Evidence Rules

The proposed amendment to Rule 613(b), together with the proposed Committee Note, is 

attached to this Report. 

H. Proposed Amendment to Rule 801(d)(2) Governing Successors-inInterest, for Release for Public Comment

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. 

At its Spring, 2002 meeting, after previous discussion, the Committee 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 successor/predecessor 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 should be admissible against the successorin-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 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 would emphasize that to be admissible against the 

successor, the declarant must have made the statement before the transfer of the claim or defense.

At its Spring 2022 meeting, the Committee unanimously approved the proposed 

amendment to Rule 801(d)(2). The Committee recommends that the proposed amendment, and 

the accompanying Committee Note, be released for public comment. 

The proposed amendment to Rule 801(d)(2), together with the proposed Committee Note, 

is attached to this Report. 

 

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Excerpt from the May 15, 2022 Report of the Advisory Committee on Evidence Rules

I. Proposed Amendment to the Rule 804(b)(3) Corroborating 

Circumstances Requirement, for Release for Public Comment

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 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. 

At its Spring, 2022 meeting, the Committee unanimously approved an amendment to Rule 

804(b)(3) that would parallel the language in Rule 807, and require the court to consider the 

presence or absence of corroborating evidence in determining whether “corroborating

circumstances” exist. The proposed language for the amendment, which is recommended for 

release for public comment, is 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 evidence, if any, 

corroborating it. if offered in a criminal case as one that tends to expose the 

declarant to criminal liability. 

 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). 

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Excerpt from the May 15, 2022 Report of the Advisory Committee on Evidence Rules

At its Spring 2022 meeting, the Committee unanimously approved the proposed 

amendment to Rule 80(4)(b)(3). The Committee recommends that the proposed amendment, and 

the accompanying Committee Note, be released for public comment. 

The proposed amendment to Rule 804(b)(3), together with the proposed Committee Note, 

is attached to this Report. 

* * * * * 

Preliminary Draft of Proposed Amendments | August 2022 Page 285 of 320
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

1 Rule 611. Mode and Order of Examining Witnesses 

2 and Presenting Evidence

3 * * * * * 

4 (d) Illustrative Aids. 

5 (1) Permitted Uses. The court may allow a party 

6 to present an illustrative aid to help the finder of fact 

7 understand admitted evidence if: 

8 (A) its utility in assisting comprehension 

9 is not [substantially] outweighed by 

10 the danger of unfair prejudice, 

11 confusing the issues, misleading the 

12 jury, undue delay, or wasting time; 

13 and

14 (B) all parties are given notice and a 

15 reasonable opportunity to object to its 

1 New material is underlined in red. 

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2 FEDERAL RULES OF EVIDENCE

16 use, unless the court, for good cause, 

17 orders otherwise. 

18 (2) Use in Jury Deliberations. An illustrative aid 

19 must not be provided to the jury during 

20 deliberations unless: 

21 (A) all parties consent; or

22 (B) the court, for good cause, orders

23 otherwise. 

24 (3) Record. When practicable, an illustrative aid 

25 that is used at trial must be entered into the 

26 record.

Committee Note

The amendment establishes a new subdivision within 

Rule 611 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 is vague and 

has been subject to differing interpretation in the courts. 

“Demonstrative evidence” is a term better applied to 

substantive evidence offered to prove, by demonstration, a 

disputed fact. 

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 FEDERAL RULES OF EVIDENCE 3 

Writings, objects, charts, or other presentations that 

are used during the trial to provide information to the 

factfinder thus fall into two separate 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, to study it, and to use 

it to help determine the disputed facts. 

The second category—the category covered by this 

rule—is information that is offered for the narrow purpose 

of helping the factfinder to understand what is being 

communicated to them by the witness or party presenting 

evidence. Examples include blackboard drawings, photos, 

diagrams, powerpoint presentations, 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 

finder of fact understand evidence that is being or has been 

presented. 

A similar distinction must be drawn between a 

summary of voluminous, admissible information 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 

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4 FEDERAL RULES OF EVIDENCE

which is now to be regulated by the more particularized 

requirements of this Rule 611(d). 

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. Experience has shown that 

illustrative aids can be subject to abuse. It is possible that the 

illustrative aid may be prepared to distort the evidence 

presented, to oversimplify, or to 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. 

Cf. Fed. R. Evid. 703; see Adv. Comm. Note to the 2000 

amendment to Rule 703. Against that beneficial effect, the 

court must 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 demonstrative 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 exercise its discretion to prohibit—or modify—the 

use 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. 

One of the primary means of safeguarding and 

regulating the use of illustrative aids is to require advance 

disclosure. 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. The 

amendment therefore provides that illustrative aids prepared 

for use in court must be disclosed in advance in order to 

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 FEDERAL RULES OF EVIDENCE 5 

allow a reasonable opportunity for objection—unless the 

court, for good cause, orders otherwise. The rule applies to 

aids prepared either before trial or during trial before actual 

use in the courtroom. But the timing of notice will be 

dependent on the nature of the illustrative aid. Notice as to 

an illustrative aid that has been prepared well in advance of 

trial will differ from the notice required with respect to a 

handwritten chart prepared in response to a development at 

trial. The trial court has discretion to determine when and 

how notice is provided. 

Because an illustrative aid is not offered to prove a 

fact in dispute, and is used only in accompaniment with 

testimony or presentation by the proponent, 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 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; that discretion is most likely to be 

exercised in complex cases, or in cases where the jury has 

requested to see the illustrative aid. If the court does exercise 

its discretion to 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. 

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.

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

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 prior to the introduction of extrinsic 

evidence of the statement. This requirement of a prior 

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

lined through. 

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2 FEDERAL RULES OF EVIDENCE

foundation is consistent with the common law approach to 

prior inconsistent statement impeachment. 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 

statement.”). The original rule imposed no timing preference 

or sequence, however, and permitted 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 prevents unfair surprise; 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 

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 FEDERAL RULES OF EVIDENCE 3 

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.

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

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; 

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

lined through. 

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2 FEDERAL RULES OF EVIDENCE

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 

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 does not by itself 

25 establish the declarant’s authority under (C); the existence or 

26 scope of the relationship under (D); or the existence of the 

27 conspiracy or participation in it under (E). 

28 If a party’s claim or potential liability is directly 

29 derived from a declarant or the declarant’s principal, a 

30 statement that would be admissible against the declarant or 

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 FEDERAL RULES OF EVIDENCE 3 

31 the principal under this rule is also admissible against the 

32 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 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 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. 

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

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 

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

lined through.

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2 FEDERAL RULES OF EVIDENCE

17 (B) if offered in a criminal case as one 

18 that tends to expose the declarant to 

19 criminal liability, is supported by 

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 evidence, if 

27 any, corroborating 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 corroborating or contradicting it. 

While most courts have considered corroborating evidence, 

some courts have refused to do so. The rule now provides for 

a uniform approach, and recognizes that the existence or 

absence of corroboration is relevant to, but not dispositive 

of, whether a statement that tends to expose the declarant to 

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 FEDERAL RULES OF EVIDENCE 3 

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. It must also 

consider corroborating 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 

contradicts the declarant’s account.

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. It 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 “unless 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 

(1912), that excluded a third-party confession exculpating 

the defendant despite the existence of independent evidence 

demonstrating the accuracy of the statement). 

Preliminary Draft of Proposed Amendments | August 2022 Page 299 of 320
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

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 to 

5 prove the content of voluminous writings, 

6 recordings, or photographs that cannot be 

7 conveniently examined in court, whether or not they 

8 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. 

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

lined through. 

Preliminary Draft of Proposed Amendments | August 2022 Page 300 of 320
2 FEDERAL RULES OF EVIDENCE

14 (c) Illustrative Aids Not Covered. A summary, chart, 

15 or calculation that functions only as an illustrative 

16 aid is governed by Rule 611(d).

Committee Note

Rule 1006 has been amended to correct 

misperceptions about the operation of the Rule by some 

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 

Preliminary Draft of Proposed Amendments | August 2022 Page 301 of 320
 FEDERAL RULES OF EVIDENCE 3 

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, the summary may be admitted in addition to the 

underlying documents. 

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. 

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 summaries of evidence 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 611(d).

Preliminary Draft of Proposed Amendments | August 2022 Page 302 of 320
§ 440 Procedures for Committees on Rules of Practice and Procedure

This section contains the "Procedures for the Judicial Conference's Committee on Rules of 

Practice and Procedure and Its Advisory Rules Committees," last amended in September 

2011. JCUS-SEP 2011, p. 35.

§ 440.10 Overview

The Rules Enabling Act, 28 U.S.C. §§ 2071–2077, authorizes the Supreme Court to prescribe 

general rules of practice and procedure and rules of evidence for the federal courts. Under the 

Act, the Judicial Conference must appoint a standing committee, and may appoint advisory 

committees to recommend new and amended rules. Section 2073 requires the Judicial 

Conference to publish the procedures that govern the work of the Committee on Rules of 

Practice and Procedure (the "Standing Committee") and its advisory committees on the Rules of 

Appellate, Bankruptcy, Civil, and Criminal Procedure and on the Evidence Rules. See 28 U.S.C.

§ 2073(a)(1). These procedures do not limit the rules committees' authority. Failure to comply 

with them does not invalidate any rules committee action. Cf. 28 U.S.C. § 2073(e). 

§ 440.20 Advisory Committees

§ 440.20.10 Functions

Each advisory committee must engage in "a continuous study of the operation and effect of the 

general rules of practice and procedure now or hereafter in use" in its field, taking into 

consideration suggestions and recommendations received from any source, new statutes and 

court decisions affecting the rules, and legal commentary. See 28 U.S.C. § 331. 

§ 440.20.20 Suggestions and Recommendations

Suggestions and recommendations on the rules are submitted to the Secretary of the Standing 

Committee at the Administrative Office of the United States Courts, Washington, D.C. The 

Secretary will acknowledge the suggestions or recommendations and refer them to the 

appropriate advisory committee. If the Standing Committee takes formal action on them, that 

action will be reflected in the Standing Committee's minutes, which are posted on the judiciary's

rulemaking website. 

§ 440.20.30 Drafting Rule Changes

(a) Meetings

Each advisory committee meets at the times and places that the chair

designates. Advisory committee meetings must be open to the public, except

when the committee — in open session and with a majority present — 

determines that it is in the public interest to have all or part of the meeting closed

and states the reason. Each meeting must be preceded by notice of the time and

place, published in the Federal Register and on the judiciary's rulemaking

website, sufficiently in advance to permit interested persons to attend.

Preliminary Draft of Proposed Amendments | August 2022 Page 303 of 320
(b) Preparing Draft Changes

The reporter assigned to each advisory committee should prepare for the

committee, under the direction of the committee or its chair, draft rule changes,

committee notes explaining their purpose, and copies or summaries of written

recommendations and suggestions received by the committee.

(c) Considering Draft Changes

The advisory committee studies the rules' operation and effect. It meets to

consider proposed new and amended rules (together with committee notes),

whether changes should be made, and whether they should be submitted to the

Standing Committee with a recommendation to approve for publication. The

submission must be accompanied by a written report explaining the advisory

committee's action and its evaluation of competing considerations.

§ 440.20.40 Publication and Public Hearings

(a) Publication

Before any proposed rule change is published, the Standing Committee must

approve publication. The Secretary then arranges for printing and circulating the

proposed change to the bench, bar, and public. Publication should be as wide as

possible. The proposed change must be published in the Federal Register and

on the judiciary's rulemaking website. The Secretary must:

(1) notify members of Congress, federal judges, and the chief justice 

of each state's highest court of the proposed change, with a link to

the judiciary's rulemaking website; and

(2) provide copies of the proposed change to legal-publishing firms

with a request to timely include it in publications.

(b) Public Comment Period

A public comment period on the proposed change must extend for at least six

months after notice is published in the Federal Register, unless a shorter period

is approved under paragraph (d) of this section.

(c) Hearings

The advisory committee must conduct public hearings on the proposed change

unless eliminating them is approved under paragraph (d) of this section or not

enough witnesses ask to testify at a particular hearing. The hearings are held at

the times and places that the advisory committee's chair determines. Notice of

the times and places must be published in the Federal Register and on

the judiciary's rulemaking website. The hearings must be transcribed. Whenever

possible, a transcript should be produced by a qualified court reporter.

Preliminary Draft of Proposed Amendments | August 2022 Page 304 of 320
(d) Expedited Procedures

The Standing Committee may shorten the public comment period or eliminate

public hearings if it determines that the administration of justice requires a 

proposed rule change to be expedited and that appropriate notice to the public

can still be provided and public comment obtained. The Standing Committee may

also eliminate public notice and comment for a technical or conforming

amendment if the Committee determines that they are unnecessary. When an

exception is made, the chair must advise the Judicial Conference and provide the

reasons.

§ 440.20.50 Procedures After the Comment Period

(a) Summary of Comments

When the public comment period ends, the reporter must prepare a summary of

the written comments received and of the testimony presented at public hearings.

If the number of comments is very large, the reporter may summarize and

aggregate similar individual comments, identifying the source of each one.

(b) Advisory Committee Review; Republication

The advisory committee reviews the proposed change in light of any comments

and testimony. If the advisory committee makes substantial changes, the

proposed rule should be republished for an additional period of public comment

unless the advisory committee determines that republication would not be

necessary to achieve adequate public comment and would not assist the work of

the rules committees.

(c) Submission to the Standing Committee

The advisory committee submits to the Standing Committee the proposed

change and committee note that it recommends for approval. Each submission 

must:

(1) be accompanied by a separate report of the comments received;

(2) explain the changes made after the original publication; and

(3) include an explanation of competing considerations examined by

the advisory committee.

§ 440.20.60 Preparing Minutes and Maintaining Records

(a) Minutes of Meetings

The advisory committee's chair arranges for preparing the minutes of the

committee meetings.

Preliminary Draft of Proposed Amendments | August 2022 Page 305 of 320
(b) Records

The advisory committee's records consist of:

o written suggestions received from the public;

o written comments received from the public on drafts of proposed rules;

o the committee's responses to public suggestions and comments;

o other correspondence with the public about proposed rule changes;

o electronic recordings and transcripts of public hearings (when prepared);

o the reporter's summaries of public comments and of testimony from public 

hearings;

o agenda books and materials prepared for committee meetings;

o minutes of committee meetings;

o approved drafts of rule changes; and

o reports to the Standing Committee.

(c) Public Access to Records

The records must be posted on the judiciary's rulemaking website, except for

general public correspondence about proposed rule changes and electronic

recordings of hearings when transcripts are prepared. This correspondence and

archived records are maintained by the AO and are available for public

inspection. Minutes of a closed meeting may be made available to the public but

with any deletions necessary to avoid frustrating the purpose of closing the

meeting under § 440.20.30(a). 

§ 440.30 Standing Committee

§ 440.30.10 Functions

The Standing Committee's functions include:

(a) coordinating the work of the advisory committees;

(b) suggesting proposals for them to study;

(c) considering proposals they recommend for publication for public comment; and

(d) for proposed rule changes that have completed that process, deciding whether to

accept or modify the proposals and transmit them with its own recommendation

to the Judicial Conference, recommit them to the advisory committee for further

study and consideration, or reject them.

§ 440.30.20 Procedures

(a) Meetings

The Standing Committee meets at the times and places that the chair

designates. Committee meetings must be open to the public, except when the

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

in the public interest to have all or part of the meeting closed and states the

Preliminary Draft of Proposed Amendments | August 2022 Page 306 of 320
reason. Each meeting must be preceded by notice of the time and place,

published in the Federal Register and on the judiciary's rulemaking website, 

sufficiently in advance to permit interested persons to attend.

(b) Attendance by the Advisory Committee Chairs and Reporters

The advisory committees' chairs and reporters should attend the Standing

Committee meetings to present their committees' proposed rule changes and

committee notes, to inform the Standing Committee about ongoing work, and to

participate in the discussions.

(c) Action on Proposed Rule Changes or Committee Notes

The Standing Committee may accept, reject, or modify a proposed change or

committee note, or may return the proposal to the advisory committee with

instructions or recommendations.

(d) Transmission to the Judicial Conference

The Standing Committee must transmit to the Judicial Conference the proposed

rule changes and committee notes that it approves, together with the advisory

committee report. The Standing Committee's report includes its own

recommendations and explains any changes that it made.

§ 440.30.30 Preparing Minutes and Maintaining Records

(a) Minutes of Meetings

The Secretary prepares minutes of Standing Committee meetings.

(b) Records

The Standing Committee's records consist of:

o the minutes of Standing Committee and advisory committee meetings;

o agenda books and materials prepared for Standing Committee meetings;

o reports to the Judicial Conference; and

o official correspondence about rule changes, including correspondence with 

advisory committee chairs.

(c) Public Access to Records

The records must be posted on the judiciary's rulemaking website, except for

official correspondence about rule changes. This correspondence and archived

records are maintained by the AO and are available for public inspection.

Minutes of a closed meeting may be made available to the public but with any

deletions necessary to avoid frustrating the purpose of closing the meeting

under § 440.30.20(a). 

 

Last revised (Transmittal 01-026) May 27, 2022

Preliminary Draft of Proposed Amendments | August 2022 Page 307 of 320
RULES COMMITTEES — CHAIRS AND REPORTERS

Effective: October 1, 2021 to September 30, 2022 Page 1 

Revised: July 27, 2022 

Committee on Rules of Practice and Procedure 

(Standing Committee)

Chair

Honorable John D. Bates 

United States District Court

Washington, DC 

Reporter

Professor Catherine T. Struve 

University of Pennsylvania Law School 

Philadelphia, PA 

Secretary to the Standing Committee

H. Thomas Byron III, Esq. 

Administrative Office of the U.S. Courts

Rules Committee Staff 

Washington, DC

Advisory Committee on Appellate Rules 

Chair

Honorable Jay S. Bybee 

United States Court of Appeals 

Las Vegas, NV 

Reporter

Professor Edward Hartnett

Seton Hall University School of Law 

Newark, NJ 

Advisory Committee on Bankruptcy Rules

Chair

Honorable Dennis R. Dow

United States Bankruptcy Court 

Kansas City, MO 

Reporter

Professor S. Elizabeth Gibson 

University of North Carolina at Chapel Hill 

Chapel Hill, NC 

Associate Reporter

Professor Laura B. Bartell

Wayne State University Law School

Detroit, MI 

Preliminary Draft of Proposed Amendments | August 2022 Page 308 of 320
RULES COMMITTEES — CHAIRS AND REPORTERS

Effective: October 1, 2021 to September 30, 2022 Page 2 

Revised: July 27, 2022 

Advisory Committee on Civil Rules 

Chair

Honorable Robert M. Dow, Jr. 

United States District Court

Chicago, IL 

Reporter

Professor Edward H. Cooper 

University of Michigan Law School 

Ann Arbor, MI 

Associate Reporter

Professor Richard L. Marcus 

University of California 

Hastings College of Law 

San Francisco, CA 

Advisory Committee on Criminal Rules 

Chair

Honorable Raymond M. Kethledge 

United States Court of Appeals 

Ann Arbor, MI 

Reporter

Professor Sara Sun Beale

Duke University School of Law

Durham, NC 

Associate Reporter

Professor Nancy J. King 

Vanderbilt University Law School 

Nashville, TN 

Advisory Committee on Evidence Rules 

Chair

Honorable Patrick J. Schiltz 

United States District Court

Minneapolis, MN 

Reporter

Professor Daniel J. Capra 

Fordham University School of Law 

New York, NY 

Preliminary Draft of Proposed Amendments | August 2022 Page 309 of 320
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

(Standing Committee)

Effective: October 1, 2021 to September 30, 2022 Page 1 

Revised: July 27, 2022 

Chair Reporter

Honorable John D. Bates

United States District Court

Washington, DC 

Professor Catherine T. Struve

University of Pennsylvania Law School 

Philadelphia, PA 

Members

Elizabeth J. Cabraser, Esq. 

Lieff Cabraser Heimann & Bernstein, LLP

San Francisco, CA 

Honorable Jesse M. Furman

United States District Court

New York, NY 

Robert J. Giuffra, Jr., Esq.

Sullivan & Cromwell LLP

New York, NY 

Honorable Frank M. Hull

United States Court of Appeals 

Atlanta, GA

Honorable William J. Kayatta, Jr.

United States Court of Appeals 

Portland, ME 

Peter D. Keisler, Esq.

Sidley Austin, LLP 

Washington DC 

Honorable Carolyn B. Kuhl

Superior Court of the State of California 

Los Angeles, CA

Dean Troy A. McKenzie

New York University School of Law 

New York, NY 

Honorable Patricia A. Millett

United States Court of Appeals 

Washington, DC 

Honorable Lisa O. Monaco 

Deputy Attorney General (ex officio)

United States Department of Justice

Washington, DC 

Honorable Gene E.K. Pratter

United States District Court

Philadelphia, PA 

Kosta Stojilkovic, Esq.

Wilkinson Stekloff LLP

Washington, DC 

Honorable Jennifer G. Zipps

United States District Court

Tucson, AZ 

Consultants

Professor Daniel R. Coquillette

Boston College Law School 

Newton Centre, MA

Professor Bryan A. Garner

LawProse, Inc.

Dallas, TX 

Preliminary Draft of Proposed Amendments | August 2022 Page 310 of 320
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

(Standing Committee)

Effective: October 1, 2021 to September 30, 2022 Page 2 

Revised: July 27, 2022 

Consultants (continued)

Professor Joseph Kimble

Thomas M. Cooley Law School 

Lansing, MI 

Joseph F. Spaniol, Jr., Esq.

Bethesda, MD 

Secretary to the Standing Committee

H. Thomas Byron III, Esq.

Administrative Office of the U.S. Courts

Rules Committee Staff

Washington, DC

Preliminary Draft of Proposed Amendments | August 2022 Page 311 of 320
ADVISORY COMMITTEE ON APPELLATE RULES

Effective: October 1, 2021 to September 30, 2022 Page 1 

Revised: July 27, 2022 

Chair Reporter

Honorable Jay S. Bybee

United States Court of Appeals 

Las Vegas, NV 

Professor Edward Hartnett

Seton Hall University School of Law 

Newark, NJ 

Members

Honorable Leondra R. Kruger

Supreme Court of California 

San Francisco, CA

Honorable Carl J. Nichols

United States District Court

Washington, DC 

Honorable Elizabeth Prelogar

Solicitor General (ex officio)

United States Department of Justice

Washington, DC 

Professor Stephen E. Sachs

Harvard Law School 

Cambridge, MA

Danielle Spinelli, Esq.

Wilmer Cutler Pickering Hale and Dorr LLP

Washington DC 

Honorable Paul J. Watford

United States Court of Appeals 

Pasadena, CA 

Honorable Richard C. Wesley

United States Court of Appeals 

Geneseo, NY 

Lisa B. Wright, Esq.

Office of the Federal Public Defender 

Washington, DC 

Liaisons

Honorable Bernice B. Donald

(Bankruptcy) 

United States Court of Appeals 

Memphis, TN 

Honorable Frank M. Hull

(Standing)

United States Court of Appeals 

Atlanta, GA

Clerk of Court Representative

Molly Dwyer, Esq.

Clerk

United States Court of Appeals 

San Francisco, CA

Preliminary Draft of Proposed Amendments | August 2022 Page 312 of 320
ADVISORY COMMITTEE ON BANKRUPTCY RULES

Effective: October 1, 2021 to September 30, 2022 Page 1 

Revised: July 27, 2022 

Chair Reporter

Honorable Dennis R. Dow

United States Bankruptcy Court 

Kansas City, MO 

Professor S. Elizabeth Gibson

University of North Carolina at Chapel Hill 

Chapel Hill, NC 

Associate Reporter

Professor Laura B. Bartell

Wayne State University Law School

Detroit, MI 

Members

Honorable Thomas L. Ambro

United States Court of Appeals 

Wilmington, DE 

Honorable Rebecca B. Connelly

United States Bankruptcy Court 

Harrisonburg, VA 

Honorable Bernice B. Donald

United States Court of Appeals 

Memphis, TN 

Honorable David A. Hubbert

Deputy Assistant Attorney General (ex officio) 

United States Department of Justice

Washington, DC 

Honorable Ben Kahn

United States Bankruptcy Court 

Greensboro, NC 

Honorable Marcia S. Krieger

United States District Court

Denver, CO 

Honorable Catherine P. McEwen

United States Bankruptcy Court 

Tampa, FL 

Debra L. Miller, Esq.

Chapter 13 Bankruptcy Trustee 

South Bend, IN 

Honorable J. Paul Oetken

United States District Court

New York, NY 

Jeremy L. Retherford, Esq.

Balch & Bingham LLP 

Birmingham, AL 

Damian S. Schaible, Esq.

Davis Polk & Wardwell LLP

New York, NY

Professor David A. Skeel

University of Pennsylvania Law School 

Philadelphia, PA 

Tara Twomey, Esq.

National Consumer Bankruptcy Rights 

Center

San Jose, CA 

Honorable George H. Wu

United States District Court

Los Angeles, CA

Preliminary Draft of Proposed Amendments | August 2022 Page 313 of 320
ADVISORY COMMITTEE ON BANKRUPTCY RULES

Effective: October 1, 2021 to September 30, 2022 Page 2 

Revised: July 27, 2022 

Liaisons

Ramona D. Elliott, Esq. 

(U.S. Trustees) 

Executive Office for U.S. Trustees

Washington, DC 

Honorable Laurel M. Isicoff

(Committee on the Administration of the 

Bankruptcy System) 

United States Bankruptcy Court 

Miami, FL 

Honorable William J. Kayatta, Jr.

(Standing) 

United States Court of Appeals 

Portland, ME 

Clerk of Court Representative

Kenneth S. Gardner 

Clerk

United States Bankruptcy Court 

Denver, CO 

Preliminary Draft of Proposed Amendments | August 2022 Page 314 of 320
ADVISORY COMMITTEE ON CIVIL RULES

Effective: October 1, 2021 to September 30, 2022 Page 1 

Revised: July 27, 2022 

Chair Reporter

Honorable Robert M. Dow, Jr.

United States District Court

Chicago, IL 

Professor Edward H. Cooper

University of Michigan Law School 

Ann Arbor, MI 

Associate Reporter

Professor Richard L. Marcus

University of California 

Hastings College of the Law 

San Francisco, CA 

Members

Honorable Cathy Bissoon

United States District Court

Pittsburgh, PA 

Honorable Jennifer C. Boal

United States District Court

Boston, MA 

Honorable Brian M. Boynton

Principal Deputy Assistant Attorney 

General (ex officio) 

United States Department of Justice 

Washington, DC 

David J. Burman, Esq.

Perkins Coie LLP 

Seattle, WA 

Honorable David C. Godbey

United States District Court

Dallas, TX 

Honorable Kent A. Jordan

United States Court of Appeals 

Wilmington, DE 

Honorable Sara Lioi

United States District Court

Akron, OH 

Honorable R. David Proctor

United States District Court

Birmingham, AL 

Honorable Robin L. Rosenberg

United States District Court

West Palm Beach, FL 

Joseph M. Sellers, Esq.

Cohen Milstein Sellers & Toll PLLC

Washington, DC 

Dean A. Benjamin Spencer

William & Mary Law School

Williamsburg, VA 

Ariana J. Tadler, Esq.

Tadler Law LLP

Manhasset, NY 

Helen E. Witt, Esq.

Kirkland & Ellis LLP

Chicago, IL 

Preliminary Draft of Proposed Amendments | August 2022 Page 315 of 320
ADVISORY COMMITTEE ON CIVIL RULES

Effective: October 1, 2021 to September 30, 2022 Page 2 

Revised: July 27, 2022 

Liaisons

Peter D. Keisler, Esq.

(Standing) 

Sidley Austin, LLP 

Washington DC 

Honorable Catherine P. McEwen

(Bankruptcy) 

United States Bankruptcy Court 

Tampa, FL 

Clerk of Court Representative

Carmelita Reeder Shinn, Esq.

Clerk 

United States District Court 

Oklahoma City, OK 

Preliminary Draft of Proposed Amendments | August 2022 Page 316 of 320
ADVISORY COMMITTEE ON CRIMINAL RULES

Effective: October 1, 2021 to September 30, 2022 Page 1 

Revised: July 27, 2022 

Chair Reporter

Honorable Raymond M. Kethledge

United States Court of Appeals 

Ann Arbor, MI 

Professor Sara Sun Beale

Duke Law School 

Durham, NC 

Associate Reporter

Professor Nancy J. King

Vanderbilt University Law School 

Nashville, TN

Members

Honorable Andre Birotte, Jr.

United States District Court

Los Angeles, CA 

Honorable Jane Boyle

United States District Court

Dallas, TX 

Honorable Timothy Burgess

United States District Court

Anchorage, AK 

Honorable Robert J. Conrad, Jr.

United States District Court

Charlotte, NC 

Dean Roger A. Fairfax, Jr.

American University 

Washington College of Law 

Washington, DC 

Honorable Michael J. Garcia

New York State Court of Appeals 

Albany, NY 

Lisa Hay, Esq.

Federal Public Defender

Portland, OR 

Honorable Bruce J. McGiverin

United States District Court

San Juan, PR 

Honorable Jacqueline H. Nguyen

United States Court of Appeals 

Pasadena, CA 

Honorable Kenneth A. Polite

Assistant Attorney General (ex officio)

United States Department of Justice

Washington, DC 

Catherine M. Recker, Esq.

Welsh & Recker PC

Philadelphia, PA 

Susan M. Robinson, Esq.

Thomas Combs & Spann PLLC 

Charleston, WV 

Preliminary Draft of Proposed Amendments | August 2022 Page 317 of 320
ADVISORY COMMITTEE ON CRIMINAL RULES

Effective: October 1, 2021 to September 30, 2022 Page 2 

Revised: July 27, 2022 

Liaisons

Honorable Jesse M. Furman

(Standing) 

United States District Court

New York, NY 

Clerk of Court Representative

Angela E. Noble, Esq.

Clerk

United States District Court 

Miami, FL

Preliminary Draft of Proposed Amendments | August 2022 Page 318 of 320
ADVISORY COMMITTEE ON EVIDENCE RULES

Effective: October 1, 2021 to September 30, 2022 Page 1 

Revised: July 27, 2022 

Chair Reporter

Honorable Patrick J. Schiltz

United States District Court

Minneapolis, MN 

Professor Daniel J. Capra

Fordham University School of Law 

New York, NY

Members

Honorable James P. Bassett

New Hampshire Supreme Court 

Concord, NH 

Honorable John P. Carlin

Principal Associate Deputy Attorney General

(ex officio)

United States Department of Justice

Washington, DC 

Honorable Shelly Dick

United States District Court

Baton Rouge, LA 

Traci L. Lovitt, Esq.

Jones Day

Boston, MA 

Honorable Thomas D. Schroeder

United States District Court

Winston Salem, NC 

Arun Subramanian, Esq.

Susman Godfrey L.L.P. 

New York, NY

Honorable Richard J. Sullivan

United States Court of Appeals 

New York, NY 

Rene L. Valladares, Esq.

Office of the Federal Public Defender

Las Vegas, NV 

Consultants

Professor Liesa Richter

University of Oklahoma School of Law 

300 Timberdell Road 

Norman, OK 

Liaisons

Honorable Robert J. Conrad, Jr.

(Criminal) 

United States District Court

Charlotte, NC 

Honorable Carolyn B. Kuhl 

(Standing) 

Superior Court of the State of California

Los Angeles, CA 

Honorable Sara Lioi 

(Civil) 

United States District Court

Akron, OH 

Preliminary Draft of Proposed Amendments | August 2022 Page 319 of 320
Committee on Rules of Practice and Procedure 

Judicial Conference of the United States

Thurgood Marshall Federal Judiciary Building

Washington, DC 20544

uscourts.gov

Committee on Rules of Practice and Procedure

Thurgood Marshall Federal Judiciary Building

Washington, DC

uscourts.gov

united states courts