b'1\n\n\x0cFederal Rules of\nBankruptcy\nProcedure\nAs amended to January 2, 2014\n\neLangdell\xc2\xae Press\n2014\n\n2\n\n\x0c3\n\n\x0cTable of Contents\nFederal Rules of Bankruptcy Procedure ......................................................................................... 2\nPreface....................................................................................................................................... 11\nNotices ...................................................................................................................................... 12\nFEDERAL RULES OF BANKRUPTCY PROCEDURE ............................................................ 13\nBANKRUPTCY RULES .......................................................................................................... 19\nRule 1001. Scope of Rules and Forms; Short Title .............................................................. 19\nPART I\xe2\x80\x94COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION\nAND ORDER FOR RELIEF .................................................................................................... 22\nRule 1002. Commencement of Case ..................................................................................... 22\nRule 1003. Involuntary Petition ............................................................................................ 23\nRule 1004. Involuntary Petition Against a Partnership ........................................................ 24\nRule 1004.1. Petition for an Infant or Incompetent Person .................................................. 25\nRule 1004.2. Petition in Chapter 15 Cases ........................................................................... 26\nRule 1005. Caption of Petition.............................................................................................. 26\nRule 1006. Filing Fee ............................................................................................................ 27\nRule 1007. Lists, Schedules, Statements, and Other Documents; Time Limits ................... 29\nRule 1008. Verification of Petitions and Accompanying Papers ......................................... 40\nRule 1009. Amendments of Voluntary Petitions, Lists, Schedules and Statements ............. 40\nRule 1010. Service of Involuntary Petition and Summons; Petition For Recognition of a\nForeign Nonmain Proceeding ............................................................................................... 42\nRule 1011. Responsive Pleading or Motion in Involuntary and Cross-Border Cases .......... 44\n[Rule 1012. Examination of Debtor, Including Discovery, on Issue of Nonpayment of Debts\nin Involuntary Cases.] (Abrogated Mar. 30, 1987, eff. Aug. 1, 1987) ................................. 47\nRule 1013. Hearing and Disposition of a Petition in an Involuntary Case ........................... 47\nRule 1014. Dismissal and Change of Venue ........................................................................ 48\nRule 1015. Consolidation or Joint Administration of Cases Pending in Same Court .......... 50\nRule 1016. Death or Incompetency of Debtor ...................................................................... 52\nRule 1017. Dismissal or Conversion of Case; Suspension ................................................... 52\nRule 1018. Contested Involuntary Petitions; Contested Petitions Commencing Chapter 15\nCases; Proceedings to Vacate Order for Relief; Applicability of Rules in Part VII Governing\nAdversary Proceedings ......................................................................................................... 56\nRule 1019. Conversion of a Chapter 11 Reorganization Case, Chapter 12 Family Farmer\'s\nDebt Adjustment Case, or Chapter 13 Individual\'s Debt Adjustment Case to a Chapter 7\nLiquidation Case ................................................................................................................... 57\nRule 1020. Small Business Chapter 11 Reorganization Case............................................... 63\nRule 1021. Health Care Business Case ................................................................................. 65\nPART II\xe2\x80\x94OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS;\nEXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS .......................... 66\nRule 2001. Appointment of Interim Trustee Before Order for Relief in a Chapter 7\nLiquidation Case ................................................................................................................... 66\nRule 2002. Notices to Creditors, Equity Security Holders, Administrators in Foreign\nProceedings, Persons Against Whom Provisional Relief is Sought in Ancillary and Other\nCross-Border Cases, United States, and United States Trustee ............................................ 67\nRule 2003. Meeting of Creditors or Equity Security Holders .............................................. 82\n4\n\n\x0cRule 2004. Examination........................................................................................................ 87\nRule 2005. Apprehension and Removal of Debtor to Compel Attendance for Examination 88\nRule 2006. Solicitation and Voting of Proxies in Chapter 7 Liquidation Cases................... 90\nRule 2007. Review of Appointment of Creditors\' Committee Organized Before\nCommencement of the Case ................................................................................................. 93\nRule 2007.1. Appointment of Trustee or Examiner in a Chapter 11 Reorganization Case .. 95\nRule 2007.2. Appointment of Patient Care Ombudsman in a Health Care Business Case .. 98\nRule 2008. Notice to Trustee of Selection ............................................................................ 99\nRule 2009. Trustees for Estates When Joint Administration Ordered ................................ 100\nRule 2010. Qualification by Trustee; Proceeding on Bond ................................................ 102\nRule 2011. Evidence of Debtor in Possession or Qualification of Trustee ........................ 103\nRule 2012. Substitution of Trustee or Successor Trustee; Accounting .............................. 104\nRule 2013. Public Record of Compensation Awarded to Trustees, Examiners, and\nProfessionals ....................................................................................................................... 105\nRule 2014. Employment of Professional Persons ............................................................... 106\nRule 2015. Duty to Keep Records, Make Reports, and Give Notice of Case or Change of\nStatus ................................................................................................................................... 107\nRule 2015.1. Patient Care Ombudsman .............................................................................. 111\nRule 2015.2. Transfer of Patient in Health Care Business Case ......................................... 112\nRule 2015.3. Reports of Financial Information on Entities in Which a Chapter 11 Estate\nHolds a Controlling or Substantial Interest ......................................................................... 113\nRule 2016. Compensation for Services Rendered and Reimbursement of Expenses ......... 114\nRule 2017. Examination of Debtor\'s Transactions with Debtor\'s Attorney ........................ 116\nRule 2018. Intervention; Right to Be Heard ....................................................................... 117\nRule 2019. Disclosure Regarding Creditors and Equity Security Holders in Chapter 9 and\nChapter 11 Cases................................................................................................................. 119\nRule 2020. Review of Acts by United States Trustee ......................................................... 123\nPART III\xe2\x80\x94CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY INTEREST\nHOLDERS; PLANS ............................................................................................................... 124\nRule 3001. Proof of Claim .................................................................................................. 124\nRule 3002. Filing Proof of Claim or Interest ...................................................................... 130\nRule 3002.1. Notice Relating to Claims Secured by Security Interest in the Debtor\'s Principal\nResidence ............................................................................................................................ 133\nRule 3003. Filing Proof of Claim or Equity Security Interest in Chapter 9 Municipality or\nChapter 11 Reorganization Cases ....................................................................................... 136\nRule 3004. Filing of Claims by Debtor or Trustee ............................................................. 138\nRule 3005. Filing of Claim, Acceptance, or Rejection by Guarantor, Surety, Indorser, or\nOther Codebtor.................................................................................................................... 140\nRule 3006. Withdrawal of Claim; Effect on Acceptance or Rejection of Plan .................. 141\nRule 3007. Objections to Claims ........................................................................................ 142\nRule 3008. Reconsideration of Claims ............................................................................... 145\nRule 3009. Declaration and Payment of Dividends in a Chapter 7 Liquidation Case ........ 146\nRule 3010. Small Dividends and Payments in Chapter 7 Liquidation, Chapter 12 Family\nFarmer\'s Debt Adjustment, and Chapter 13 Individual\'s Debt Adjustment Cases ............. 146\nRule 3011. Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 Family Farmer\'s Debt\nAdjustment, and Chapter 13 Individual\'s Debt Adjustment Cases ..................................... 147\n5\n\n\x0cRule 3012. Valuation of Security........................................................................................ 148\nRule 3013. Classification of Claims and Interests .............................................................. 148\nRule 3014. Election Under \xc2\xa71111(b) by Secured Creditor in Chapter 9 Municipality or\nChapter 11 Reorganization Case ......................................................................................... 149\nRule 3015. Filing, Objection to Confirmation, and Modification of a Plan in a Chapter 12\nFamily Farmer\'s Debt Adjustment or a Chapter 13 Individual\'s Debt Adjustment Case ... 150\nRule 3016. Filing of Plan and Disclosure Statement in a Chapter 9 Municipality or Chapter 11\nReorganization Case ........................................................................................................... 152\nRule 3017. Court Consideration of Disclosure Statement in a Chapter 9 Municipality or\nChapter 11 Reorganization Case ......................................................................................... 154\nRule 3017.1. Court Consideration of Disclosure Statement in a Small Business Case ...... 158\nRule 3018. Acceptance or Rejection of Plan in a Chapter 9 Municipality or a Chapter 11\nReorganization Case ........................................................................................................... 159\nRule 3019. Modification of Accepted Plan in a Chapter 9 Municipality or a Chapter 11\nReorganization Case ........................................................................................................... 162\nRule 3020. Deposit; Confirmation of Plan in a Chapter 9 Municipality or Chapter 11\nReorganization Case ........................................................................................................... 163\nRule 3021. Distribution Under Plan.................................................................................... 166\nRule 3022. Final Decree in Chapter 11 Reorganization Case ............................................ 167\nPART IV\xe2\x80\x94THE DEBTOR: DUTIES AND BENEFITS ....................................................... 168\nRule 4001. Relief from Automatic Stay; Prohibiting or Conditioning the Use, Sale, or Lease\nof Property; Use of Cash Collateral; Obtaining Credit; Agreements ................................. 168\nRule 4002. Duties of Debtor ............................................................................................... 175\nRule 4003. Exemptions ....................................................................................................... 178\nRule 4004. Grant or Denial of Discharge ........................................................................... 180\nRule 4005. Burden of Proof in Objecting to Discharge ...................................................... 186\nRule 4006. Notice of No Discharge .................................................................................... 186\nRule 4007. Determination of Dischargeability of a Debt ................................................... 187\nRule 4008. Filing of Reaffirmation Agreement; Statement in Support of Reaffirmation\nAgreement ........................................................................................................................... 188\nPART V\xe2\x80\x94COURTS AND CLERKS ..................................................................................... 191\nRule 5001. Courts and Clerks\' Offices................................................................................ 191\nRule 5002. Restrictions on Approval of Appointments ...................................................... 191\nRule 5003. Records Kept By the Clerk ............................................................................... 195\nRule 5004. Disqualification ................................................................................................ 197\nRule 5005. Filing and Transmittal of Papers ...................................................................... 198\nRule 5006. Certification of Copies of Papers ..................................................................... 202\nRule 5007. Record of Proceedings and Transcripts ............................................................ 202\nRule 5008. Notice Regarding Presumption of Abuse in Chapter 7 Cases of Individual Debtors\n............................................................................................................................................. 203\nRule 5009. Closing Chapter 7 Liquidation, Chapter 12 Family Farmer\'s Debt Adjustment,\nChapter 13 Individual\'s Debt Adjustment, and Chapter 15 Ancillary and Cross-Border Cases\n............................................................................................................................................. 203\nRule 5010. Reopening Cases .............................................................................................. 205\nRule 5011. Withdrawal and Abstention from Hearing a Proceeding ................................. 206\nRule 5012. Agreements Concerning Coordination of Proceedings in Chapter 15 Cases ... 207\n6\n\n\x0cPART VI\xe2\x80\x94COLLECTION AND LIQUIDATION OF THE ESTATE ................................ 208\nRule 6001. Burden of Proof As to Validity of Postpetition Transfer ................................. 208\nRule 6002. Accounting by Prior Custodian of Property of the Estate ................................ 208\nRule 6003. Interim and Final Relief Immediately Following the Commencement of the\nCase\xe2\x80\x94Applications for Employment; Motions for Use, Sale, or Lease of Property; and\nMotions for Assumption or Assignment of Executory Contracts ....................................... 209\nRule 6004. Use, Sale, or Lease of Property ........................................................................ 210\nRule 6005. Appraisers and Auctioneers.............................................................................. 214\nRule 6006. Assumption, Rejection or Assignment of an Executory Contract or Unexpired\nLease ................................................................................................................................... 214\nRule 6007. Abandonment or Disposition of Property ........................................................ 218\nRule 6008. Redemption of Property from Lien or Sale ...................................................... 219\nRule 6009. Prosecution and Defense of Proceedings by Trustee or Debtor in Possession 219\nRule 6010. Proceeding to Avoid Indemnifying Lien or Transfer to Surety ....................... 220\nRule 6011. Disposal of Patient Records in Health Care Business Case ............................. 220\nPART VII\xe2\x80\x94ADVERSARY PROCEEDINGS ....................................................................... 222\nRule 7001. Scope of Rules of Part VII ............................................................................... 222\nRule 7002. References to Federal Rules of Civil Procedure .............................................. 224\nRule 7003. Commencement of Adversary Proceeding ....................................................... 225\nRule 7004. Process; Service of Summons, Complaint ....................................................... 225\nRule 7005. Service and Filing of Pleadings and Other Papers ........................................... 233\nRule 7007. Pleadings Allowed ............................................................................................ 233\nRule 7007.1. Corporate Ownership Statement ................................................................... 234\nRule 7008. General Rules of Pleading ................................................................................ 235\nRule 7009. Pleading Special Matters .................................................................................. 235\nRule 7010. Form of Pleadings ............................................................................................ 236\nRule 7012. Defenses and Objections\xe2\x80\x94When and How Presented\xe2\x80\x94By Pleading or\nMotion\xe2\x80\x94Motion for Judgment on the Pleadings ............................................................... 236\nRule 7013. Counterclaim and Cross-Claim ........................................................................ 237\nRule 7014. Third-Party Practice ......................................................................................... 238\nRule 7015. Amended and Supplemental Pleadings ............................................................ 238\nRule 7016. Pre-Trial Procedure; Formulating Issues .......................................................... 238\nRule 7017. Parties Plaintiff and Defendant; Capacity ........................................................ 239\nRule 7018. Joinder of Claims and Remedies ...................................................................... 239\nRule 7019. Joinder of Persons Needed for Just Determination .......................................... 239\nRule 7020. Permissive Joinder of Parties ........................................................................... 240\nRule 7021. Misjoinder and Non-Joinder of Parties ............................................................ 240\nRule 7022. Interpleader ....................................................................................................... 240\nRule 7023. Class Proceedings ............................................................................................. 241\nRule 7023.1. Derivative Actions ......................................................................................... 241\nRule 7023.2. Adversary Proceedings Relating to Unincorporated Associations................ 241\nRule 7024. Intervention ...................................................................................................... 241\nRule 7025. Substitution of Parties ...................................................................................... 242\nRule 7026. General Provisions Governing Discovery ........................................................ 242\nRule 7027. Depositions Before Adversary Proceedings or Pending Appeal ...................... 242\nRule 7028. Persons Before Whom Depositions May Be Taken ......................................... 242\n7\n\n\x0cRule 7029. Stipulations Regarding Discovery Procedure................................................... 243\nRule 7030. Depositions Upon Oral Examination ............................................................... 243\nRule 7031. Deposition Upon Written Questions ................................................................ 243\nRule 7032. Use of Depositions in Adversary Proceedings ................................................. 243\nRule 7033. Interrogatories to Parties .................................................................................. 244\nRule 7034. Production of Documents and Things and Entry Upon Land for Inspection and\nOther Purposes .................................................................................................................... 244\nRule 7035. Physical and Mental Examination of Persons .................................................. 244\nRule 7036. Requests for Admission.................................................................................... 244\nRule 7037. Failure to Make Discovery: Sanctions ............................................................. 244\nRule 7040. Assignment of Cases for Trial .......................................................................... 245\nRule 7041. Dismissal of Adversary Proceedings ................................................................ 245\nRule 7042. Consolidation of Adversary Proceedings; Separate Trials ............................... 246\nRule 7052. Findings by the Court ....................................................................................... 246\nRule 7054. Judgments; Costs .............................................................................................. 246\nRule 7055. Default .............................................................................................................. 247\nRule 7056. Summary Judgment .......................................................................................... 247\nRule 7058. Entering Judgment in Adversary Proceeding ................................................... 248\nRule 7062. Stay of Proceedings to Enforce a Judgment ..................................................... 248\nRule 7064. Seizure of Person or Property........................................................................... 249\nRule 7065. Injunctions ........................................................................................................ 249\nRule 7067. Deposit in Court ............................................................................................... 249\nRule 7068. Offer of Judgment ............................................................................................ 250\nRule 7069. Execution .......................................................................................................... 250\nRule 7070. Judgment for Specific Acts; Vesting Title ....................................................... 250\nRule 7071. Process in Behalf of and Against Persons Not Parties ..................................... 250\nRule 7087. Transfer of Adversary Proceeding ................................................................... 250\nPART VIII\xe2\x80\x94APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE PANEL\n................................................................................................................................................. 252\nRule 8001. Manner of Taking Appeal; Voluntary Dismissal; Certification to Court of Appeals\n............................................................................................................................................. 252\nRule 8002. Time for Filing Notice of Appeal ..................................................................... 256\nRule 8003. Leave to Appeal................................................................................................ 260\nRule 8004. Service of the Notice of Appeal ....................................................................... 261\nRule 8005. Stay Pending Appeal ........................................................................................ 261\nRule 8006. Record and Issues on Appeal ........................................................................... 262\nRule 8007. Completion and Transmission of the Record; Docketing of the Appeal ......... 263\nRule 8008. Filing and Service ............................................................................................. 264\nRule 8009. Briefs and Appendix; Filing and Service ......................................................... 265\nRule 8010. Form of Briefs; Length ..................................................................................... 267\nRule 8011. Motions............................................................................................................. 268\nRule 8012. Oral Argument .................................................................................................. 269\nRule 8013. Disposition of Appeal; Weight Accorded Bankruptcy Judge\'s Findings of Fact\n............................................................................................................................................. 269\nRule 8014. Costs ................................................................................................................. 269\nRule 8015. Motion for Rehearing ....................................................................................... 270\n8\n\n\x0cRule 8016. Duties of Clerk of District Court and Bankruptcy Appellate Panel ................. 271\nRule 8017. Stay of Judgment of District Court or Bankruptcy Appellate Panel ................ 271\nRule 8018. Rules by Circuit Councils and District Courts; Procedure When There is No\nControlling Law .................................................................................................................. 272\nRule 8019. Suspension of Rules in Part VIII ...................................................................... 273\nRule 8020. Damages and Costs for Frivolous Appeal ........................................................ 274\nPART IX\xe2\x80\x94GENERAL PROVISIONS .................................................................................. 275\nRule 9001. General Definitions .......................................................................................... 275\nRule 9002. Meanings of Words in the Federal Rules of Civil Procedure When Applicable to\nCases Under the Code ......................................................................................................... 276\nRule 9003. Prohibition of Ex Parte Contacts ...................................................................... 277\nRule 9004. General Requirements of Form ........................................................................ 278\nRule 9005. Harmless Error ................................................................................................. 278\nRule 9005.1. Constitutional Challenge to a Statute\xe2\x80\x94Notice, Certification, and Intervention\n............................................................................................................................................. 278\nRule 9006. Computing and Extending Time; Time for Motion Papers .............................. 279\nRule 9007. General Authority to Regulate Notices ............................................................ 288\nRule 9008. Service or Notice by Publication ...................................................................... 289\nRule 9009. Forms ................................................................................................................ 289\nRule 9010. Representation and Appearances; Powers of Attorney .................................... 290\nRule 9011. Signing of Papers; Representations to the Court; Sanctions; Verification and\nCopies of Papers ................................................................................................................. 290\nRule 9012. Oaths and Affirmations .................................................................................... 293\nRule 9013. Motions: Form and Service .............................................................................. 294\nRule 9014. Contested Matters ............................................................................................. 294\nRule 9015. Jury Trials ......................................................................................................... 297\nRule 9016. Subpoena .......................................................................................................... 298\nRule 9017. Evidence ........................................................................................................... 298\nRule 9018. Secret, Confidential, Scandalous, or Defamatory Matter ................................. 299\nRule 9019. Compromise and Arbitration ............................................................................ 299\nRule 9020. Contempt Proceedings ...................................................................................... 300\nRule 9021. Entry of Judgment ............................................................................................ 302\nRule 9022. Notice of Judgment or Order ............................................................................ 303\nRule 9023. New Trials; Amendment of Judgments ............................................................ 304\nRule 9024. Relief from Judgment or Order ........................................................................ 304\nRule 9025. Security: Proceedings Against Sureties ............................................................ 305\nRule 9026. Exceptions Unnecessary ................................................................................... 305\nRule 9027. Removal............................................................................................................ 306\nRule 9028. Disability of a Judge ......................................................................................... 310\nRule 9029. Local Bankruptcy Rules; Procedure When There is No Controlling Law ....... 310\nRule 9030. Jurisdiction and Venue Unaffected .................................................................. 312\nRule 9031. Masters Not Authorized ................................................................................... 313\nRule 9032. Effect of Amendment of Federal Rules of Civil Procedure ............................. 313\nRule 9033. Review of Proposed Findings of Fact and Conclusions of Law in Non-Core\nProceedings ......................................................................................................................... 314\nRule 9034. Transmittal of Pleadings, Motion Papers, Objections, and Other Papers to the\n9\n\n\x0cUnited States Trustee .......................................................................................................... 315\nRule 9035. Applicability of Rules in Judicial Districts in Alabama and North Carolina ... 316\nRule 9036. Notice by Electronic Transmission .................................................................. 317\nRule 9037. Privacy Protection For Filings Made with the Court ....................................... 318\n[PART X\xe2\x80\x94UNITED STATES TRUSTEES] (Abrogated Apr. 30, 1991, eff. Aug. 1, 1991) 321\nOFFICIAL FORMS ............................................................................................................ 321\n\n10\n\n\x0cPreface\nThe Federal Rules of Bankruptcy Procedure appear in the Appendix to Title 11 of the\nUnited State Code. This publication was made with data provided by the United States\ngovernment on the Office of Law Revision Counsel Bulk US Code page at:\nhttp://uscodebeta.house.gov/download/download.shtml\nThis title is current through July 31, 2014. All updates to this material will appear at the\nabove URL.\n\n11\n\n\x0cNotices\nThis work is licensed and published by CALI eLangdell Press under a Creative Commons\nAttribution-NonCommercial-ShareAlike 3.0 Unported License. CALI and CALI eLangdell Press\nreserve under copyright all rights not expressly granted by this Creative Commons license. CALI\nand CALI eLangdell Press do not assert copyright in US Government works or other public\ndomain material included herein. Permissions beyond the scope of this license may be available\nthrough feedback@cali.org.\nIn brief, the terms of that license are that you may copy, distribute, and display this work,\nor make derivative works, so long as\nyou give CALI eLangdell Press and the author credit;\nyou do not use this work for commercial purposes; and\nyou distribute any works derived from this one under the same licensing terms as this.\nCALI\xc2\xae and eLangdell\xc2\xae are United States federally registered trademarks owned by the\nCenter for Computer-Assisted Legal Instruction. The cover art design is a copyrighted work of\nCALI, all rights reserved. The CALI graphical logo is a trademark and may not be used without\npermission.\nShould you create derivative works based on the text of this book or other Creative\nCommons materials therein, you may not use this book\xe2\x80\x99s cover art and the aforementioned logos,\nor any derivative thereof, to imply endorsement or otherwise without written permission from\nCALI.\nThis material does not contain nor is intended to be legal advice. Users seeking legal advice\nshould consult with a licensed attorney in their jurisdiction. The editors have endeavored to\nprovide complete and accurate information in this book. However, CALI does not warrant that the\ninformation provided is complete and accurate. CALI disclaims all liability to any person for any\nloss caused by errors or omissions in this collection of information.\n\n12\n\n\x0cTITLE 11\xe2\x80\x94APPENDIX\n\nFEDERAL RULES OF BANKRUPTCY PROCEDURE\n(Effective August 1, 1983, as amended to January 2, 2014)\nHistorical Note\n\nThe Federal Rules of Bankruptcy Procedure were adopted by order of the Supreme Court\non Apr. 25, 1983, transmitted to Congress by the Chief Justice on the same day, and became\neffective Aug. 1, 1983.\nThe Rules have been amended Aug. 30, 1983, Pub. L. 98\xe2\x80\x9391, \xc2\xa72(a), 97 Stat. 607, eff. Aug.\n1, 1983; July 10, 1984, Pub. L. 98\xe2\x80\x93353, title III, \xc2\xa7321, 98 Stat. 357; Apr. 29, 1985, eff. Aug. 1,\n1985; Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Aug. 1, 1989; Apr. 30, 1991, eff. Aug.\n1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 29, 1994, eff. Aug. 1, 1994; Oct. 22, 1994, Pub. L.\n103\xe2\x80\x93394, title I, \xc2\xa7114, 108 Stat. 4118; Apr. 27, 1995, eff. Dec. 1, 1995; Apr. 23, 1996, eff. Dec. 1,\n1996; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 17, 2000, eff. Dec. 1,\n2000; Apr. 23, 2001, eff. Dec. 1, 2001; Apr. 29, 2002, eff. Dec. 1, 2002; Mar. 27, 2003, eff. Dec. 1,\n2003; Apr. 26, 2004, eff. Dec. 1, 2004; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 12, 2006, eff. Dec. 1,\n2006; Apr. 30, 2007, eff. Dec. 1, 2007; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1,\n2009; Apr. 28, 2010, eff. Dec. 1, 2010; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 23, 2012, eff. Dec. 1,\n2012; Apr. 16, 2013, eff. Dec. 1, 2013.\nRule 1001. Scope of Rules and Forms; Short Title.\nPART I. COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND\nORDER FOR RELIEF\n1002. Commencement of Case.\n1003. Involuntary Petition.\n1004. Involuntary Petition Against a Partnership.\n1004.1. Petition for an Infant or Incompetent Person.\n1004.2. Petition in Chapter 15 Cases.\n1005. Caption of Petition.\n1006. Filing Fee.\n1007. Lists, Schedules, Statements, and Other Documents; Time Limits.\n1008. Verification of Petitions and Accompanying Papers.\n1009. Amendments of Voluntary Petitions, Lists, Schedules and Statements.\n1010. Service of Involuntary Petition and Summons; Petition For Recognition of a Foreign\nNonmain Proceeding.\n1011. Responsive Pleading or Motion in Involuntary and Cross-Border Cases.\n1012. [Abrogated].\n1013. Hearing and Disposition of a Petition in an Involuntary Case.\n1014. Dismissal and Change of Venue.\n1015. Consolidation or Joint Administration of Cases Pending in Same Court.\n1016. Death or Incompetency of Debtor.\n13\n\n\x0c1017. Dismissal or Conversion of Case; Suspension.\n1018. Contested Involuntary Petitions; Contested Petitions Commencing Chapter 15 Cases;\nProceedings to Vacate Order for Relief; Applicability of Rules in Part VII Governing Adversary\nProceedings.\n1019. Conversion of a Chapter 11 Reorganization Case, Chapter 12 Family Farmer\'s Debt\nAdjustment Case, or Chapter 13 Individual\'s Debt Adjustment Case to a Chapter 7 Liquidation\nCase.\n1020. Small Business Chapter 11 Reorganization Case.\n1021. Health Care Business Case.\nPART II. OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; EXAMINATIONS;\nELECTIONS; ATTORNEYS AND ACCOUNTANTS\n2001. Appointment of Interim Trustee Before Order for Relief in a Chapter 7 Liquidation Case.\n2002. Notices to Creditors, Equity Security Holders, Administrators in Foreign Proceedings,\nPersons Against Whom Provisional Relief is Sought in Ancillary and Other Cross-Border Cases,\nUnited States, and United States Trustee.\n2003. Meeting of Creditors or Equity Security Holders.\n2004. Examination.\n2005. Apprehension and Removal of Debtor to Compel Attendance for Examination.\n2006. Solicitation and Voting of Proxies in Chapter 7 Liquidation Cases.\n2007. Review of Appointment of Creditors\' Committee Organized Before Commencement of\nthe Case.\n2007.1. Appointment of Trustee or Examiner in a Chapter 11 Reorganization Case.\n2007.2. Appointment of Patient Care Ombudsman in a Health Care Business Case.\n2008. Notice to Trustee of Selection.\n2009. Trustees for Estates When Joint Administration Ordered.\n2010. Qualification by Trustee; Proceeding on Bond.\n2011. Evidence of Debtor in Possession or Qualification of Trustee.\n2012. Substitution of Trustee or Successor Trustee; Accounting.\n2013. Public Record of Compensation Awarded to Trustees, Examiners, and Professionals.\n2014. Employment of Professional Persons.\n2015. Duty to Keep Records, Make Reports, and Give Notice of Case or Change of Status.\n2015.1. Patient Care Ombudsman.\n2015.2. Transfer of Patient in Health Care Business Case.\n2015.3. Reports of Financial Information on Entities in Which a Chapter 11 Estate Holds a\nControlling or Substantial Interest.\n2016. Compensation for Services Rendered and Reimbursement of Expenses.\n2017. Examination of Debtor\'s Transactions with Debtor\'s Attorney.\n2018. Intervention; Right to Be Heard.\n2019. Disclosure Regarding Creditors and Equity Security Holders in Chapter 9 and Chapter 11\nCases.\n2020. Review of Acts by United States Trustee.\nPART III. CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY INTEREST\nHOLDERS; PLANS\n3001. Proof of Claim.\n3002. Filing Proof of Claim or Interest.\n14\n\n\x0c3002.1 Notice Relating to Claims Secured by Security Interest in the Debtor\'s Principal\nResidence.\n3003. Filing Proof of Claim or Equity Security Interest in Chapter 9 Municipality or Chapter 11\nReorganization Cases.\n3004. Filing of Claims by Debtor or Trustee.\n3005. Filing of Claim, Acceptance, or Rejection by Guarantor, Surety, Indorser, or Other\nCodebtor.\n3006. Withdrawal of Claim; Effect on Acceptance or Rejection of Plan.\n3007. Objections to Claims.\n3008. Reconsideration of Claims.\n3009. Declaration and Payment of Dividends in a Chapter 7 Liquidation Case.\n3010. Small Dividends and Payments in Chapter 7 Liquidation, Chapter 12 Family Farmer\'s\nDebt Adjustment, and Chapter 13 Individual\'s Debt Adjustment Cases.\n3011. Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 Family Farmer\'s Debt\nAdjustment, and Chapter 13 Individual\'s Debt Adjustment Cases.\n3012. Valuation of Security.\n3013. Classification of Claims and Interests.\n3014. Election Under \xc2\xa71111(b) by Secured Creditor in Chapter 9 Municipality or Chapter 11\nReorganization Case.\n3015. Filing, Objection to Confirmation, and Modification of a Plan in a Chapter 12 Family\nFarmer\'s Debt Adjustment or a Chapter 13 Individual\'s Debt Adjustment Case.\n3016. Filing of Plan and Disclosure Statement in a Chapter 9 Municipality or Chapter 11\nReorganization Case.\n3017. Court Consideration of Disclosure Statement in a Chapter 9 Municipality or Chapter 11\nReorganization Case.\n3017.1. Court Consideration of Disclosure Statement in a Small Business Case.\n3018. Acceptance or Rejection of Plan in a Chapter 9 Municipality or a Chapter 11\nReorganization Case.\n3019. Modification of Accepted Plan in a Chapter 9 Municipality or a Chapter 11\nReorganization Case.\n3020. Deposit; Confirmation of Plan in a Chapter 9 Municipality or Chapter 11 Reorganization\nCase.\n3021. Distribution Under Plan.\n3022. Final Decree in Chapter 11 Reorganization Case.\nPART IV. THE DEBTOR: DUTIES AND BENEFITS\n4001. Relief from Automatic Stay; Prohibiting or Conditioning the Use, Sale, or Lease of\nProperty; Use of Cash Collateral; Obtaining Credit; Agreements.\n4002. Duties of Debtor.\n4003. Exemptions.\n4004. Grant or Denial of Discharge.\n4005. Burden of Proof in Objecting to Discharge.\n4006. Notice of No Discharge.\n4007. Determination of Dischargeability of a Debt.\n4008. Filing of Reaffirmation Agreement; Statement in Support of Reaffirmation Agreement.\nPART V. COURTS AND CLERKS\n15\n\n\x0c5001. Courts and Clerks\' Offices.\n5002. Restrictions on Approval of Appointments.\n5003. Records Kept By the Clerk.\n5004. Disqualification.\n5005. Filing and Transmittal of Papers.\n5006. Certification of Copies of Papers.\n5007. Record of Proceedings and Transcripts.\n5008. Notice Regarding Presumption of Abuse in Chapter 7 Cases of Individual Debtors.\n5009. Closing Chapter 7 Liquidation, Chapter 12 Family Farmer\'s Debt Adjustment, Chapter 13\nIndividual\'s Debt Adjustment, and Chapter 15 Ancillary and Cross-Border Cases.\n5010. Reopening Cases.\n5011. Withdrawal and Abstention from Hearing a Proceeding.\n5012. Agreements Concerning Coordination of Proceedings in Chapter 15 Cases.\nPART VI. COLLECTION AND LIQUIDATION OF THE ESTATE\n6001. Burden of Proof As to Validity of Postpetition Transfer.\n6002. Accounting by Prior Custodian of Property of the Estate.\n6003. Interim and Final Relief Immediately Following the Commencement of the\nCase\xe2\x80\x94Applications for Employment; Motions for Use, Sale, or Lease of Property; and Motions\nfor Assumption or Assignment of Executory Contracts.\n6004. Use, Sale, or Lease of Property.\n6005. Appraisers and Auctioneers.\n6006. Assumption, Rejection or Assignment of an Executory Contract or Unexpired Lease.\n6007. Abandonment or Disposition of Property.\n6008. Redemption of Property from Lien or Sale.\n6009. Prosecution and Defense of Proceedings by Trustee or Debtor in Possession.\n6010. Proceeding to Avoid Indemnifying Lien or Transfer to Surety.\n6011. Disposal of Patient Records in Health Care Business Case.\nPART VII. ADVERSARY PROCEEDINGS\n7001. Scope of Rules of Part VII.\n7002. References to Federal Rules of Civil Procedure.\n7003. Commencement of Adversary Proceeding.\n7004. Process; Service of Summons, Complaint.\n7005. Service and Filing of Pleadings and Other Papers.\n7007. Pleadings Allowed.\n7007.1. Corporate Ownership Statement.\n7008. General Rules of Pleading.\n7009. Pleading Special Matters.\n7010. Form of Pleadings.\n7012. Defenses and Objections\xe2\x80\x94When and How Presented\xe2\x80\x94By Pleading or Motion\xe2\x80\x94Motion\nfor Judgment on the Pleadings.\n7013. Counterclaim and Cross-Claim.\n7014. Third-Party Practice.\n7015. Amended and Supplemental Pleadings.\n7016. Pre-Trial Procedure; Formulating Issues.\n7017. Parties Plaintiff and Defendant; Capacity.\n16\n\n\x0c7018. Joinder of Claims and Remedies.\n7019. Joinder of Persons Needed for Just Determination.\n7020. Permissive Joinder of Parties.\n7021. Misjoinder and Non-Joinder of Parties.\n7022. Interpleader.\n7023. Class Proceedings.\n7023.1. Derivative Actions.\n7023.2. Adversary Proceedings Relating to Unincorporated Associations.\n7024. Intervention.\n7025. Substitution of Parties.\n7026. General Provisions Governing Discovery.\n7027. Depositions Before Adversary Proceedings or Pending Appeal.\n7028. Persons Before Whom Depositions May Be Taken.\n7029. Stipulations Regarding Discovery Procedure.\n7030. Depositions Upon Oral Examination.\n7031. Deposition Upon Written Questions.\n7032. Use of Depositions in Adversary Proceedings.\n7033. Interrogatories to Parties.\n7034. Production of Documents and Things and Entry Upon Land for Inspection and Other\nPurposes.\n7035. Physical and Mental Examination of Persons.\n7036. Requests for Admission.\n7037. Failure to Make Discovery: Sanctions.\n7040. Assignment of Cases for Trial.\n7041. Dismissal of Adversary Proceedings.\n7042. Consolidation of Adversary Proceedings; Separate Trials.\n7052. Findings by the Court.\n7054. Judgments; Costs.\n7055. Default.\n7056. Summary Judgment.\n7058. Entering Judgment in Adversary Proceeding.\n7062. Stay of Proceedings to Enforce a Judgment.\n7064. Seizure of Person or Property.\n7065. Injunctions.\n7067. Deposit in Court.\n7068. Offer of Judgment.\n7069. Execution.\n7070. Judgment for Specific Acts; Vesting Title.\n7071. Process in Behalf of and Against Persons Not Parties.\n7087. Transfer of Adversary Proceeding.\nPART VIII. APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE PANEL\n8001.\n8002.\n8003.\n8004.\n8005.\n\nManner of Taking Appeal; Voluntary Dismissal; Certification to Court of Appeals.\nTime for Filing Notice of Appeal.\nLeave to Appeal.\nService of the Notice of Appeal.\nStay Pending Appeal.\n17\n\n\x0c8006.\n8007.\n8008.\n8009.\n8010.\n8011.\n8012.\n8013.\n8014.\n8015.\n8016.\n8017.\n8018.\nLaw.\n8019.\n8020.\n\nRecord and Issues on Appeal.\nCompletion and Transmission of the Record; Docketing of the Appeal.\nFiling and Service.\nBriefs and Appendix; Filing and Service.\nForm of Briefs; Length.\nMotions.\nOral Argument.\nDisposition of Appeal; Weight Accorded Bankruptcy Judge\'s Findings of Fact.\nCosts.\nMotion for Rehearing.\nDuties of Clerk of District Court and Bankruptcy Appellate Panel.\nStay of Judgment of District Court or Bankruptcy Appellate Panel.\nRules by Circuit Councils and District Courts; Procedure When There is No Controlling\nSuspension of Rules in Part VIII.\nDamages and Costs for Frivolous Appeal.\nPART IX. GENERAL PROVISIONS\n\n9001. General Definitions.\n9002. Meanings of Words in the Federal Rules of Civil Procedure When Applicable to Cases\nunder the Code.\n9003. Prohibition of Ex Parte Contacts.\n9004. General Requirements of Form.\n9005. Harmless Error.\n9005.1. Constitutional Challenge to a Statute\xe2\x80\x94Notice, Certification, and Intervention.\n9006. Computing and Extending Time; Time for Motion Papers.\n9007. General Authority to Regulate Notices.\n9008. Service or Notice by Publication.\n9009. Forms.\n9010. Representation and Appearances; Powers of Attorney.\n9011. Signing of Papers; Representations to the Court; Sanctions; Verification and Copies of\nPapers.\n9012. Oaths and Affirmations.\n9013. Motions: Form and Service.\n9014. Contested Matters.\n9015. Jury Trials.\n9016. Subpoena.\n9017. Evidence.\n9018. Secret, Confidential, Scandalous, or Defamatory Matter.\n9019. Compromise and Arbitration.\n9020. Contempt Proceedings.\n9021. Entry of Judgment.\n9022. Notice of Judgment or Order.\n9023. New Trials; Amendment of Judgments.\n9024. Relief from Judgment or Order.\n9025. Security: Proceedings Against Sureties.\n9026. Exceptions Unnecessary.\n18\n\n\x0c9027. Removal.\n9028. Disability of a Judge.\n9029. Local Bankruptcy Rules; Procedure When There is No Controlling Law.\n9030. Jurisdiction and Venue Unaffected.\n9031. Masters Not Authorized.\n9032. Effect of Amendment of Federal Rules of Civil Procedure.\n9033. Review of Proposed Findings of Fact and Conclusions of Law in Non-Core Proceedings.\n9034. Transmittal of Pleadings, Motion Papers, Objections, and Other Papers to the United\nStates Trustee.\n9035. Applicability of Rules in Judicial Districts in Alabama and North Carolina.\n9036. Notice by Electronic Transmission.\n9037. Privacy Protection For Filings Made with the Court.\nPART X. [ABROGATED]\nOFFICIAL FORMS [see United States Courts website]\n\nBANKRUPTCY RULES\nEffective Date; Application; Supersedure of Prior Rules; Transmission to Congress\n\nSections 2 to 4 of the Order of the Supreme Court, dated Apr. 25, 1983, provided:\n"2. That the aforementioned Bankruptcy Rules shall take effect on August 1, 1983, and\nshall be applicable to proceedings then pending, except to the extent that in the opinion of the court\ntheir application in a pending proceeding would not be feasible or would work injustice, in which\nevent the former procedure applies.\n"3. That the Bankruptcy Rules, heretofore prescribed by this Court, be, and they hereby\nare, superseded by the new rules, effective August 1, 1983.\n"4. That the Chief Justice be, and he hereby is, authorized to transmit these new\nBankruptcy Rules to the Congress in accordance with the provisions of Section 2075 of Title 28,\nUnited States Code."\n\nRule 1001. Scope of Rules and Forms; Short Title\nThe Bankruptcy Rules and Forms govern procedure in cases under title 11 of the United\nStates Code. The rules shall be cited as the Federal Rules of Bankruptcy Procedure and the forms\nas the Official Bankruptcy Forms. These rules shall be construed to secure the just, speedy, and\ninexpensive determination of every case and proceeding.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSection 247 of Public Law 95\xe2\x80\x93598, 92 Stat. 2549 amended 28 U.S.C. \xc2\xa72075 by omitting\nthe last sentence. The effect of the amendment is to require that procedural rules promulgated\npursuant to 28 U.S.C. \xc2\xa72075 be consistent with the bankruptcy statute, both titles 11 and 28 U.S.C.\n19\n\n\x0cThus, although Rule 1001 sets forth the scope of the bankruptcy rules and forms, any procedural\nmatters contained in title 11 or 28 U.S.C. with respect to cases filed under 11 U.S.C. would control.\nSee 1 Collier, Bankruptcy 3.04 [2][c] (15th ed. 1980).\n28 U.S.C. \xc2\xa7151 establishes a United States Bankruptcy Court in each district as an adjunct\nto the district court. This provision does not, however, become effective until April 1, 1984. Public\nLaw 95\xe2\x80\x93598, \xc2\xa7402(b). From October 1, 1979 through March 31, 1984, the courts of bankruptcy as\ndefined in \xc2\xa71(10) of the Bankruptcy Act, and created in \xc2\xa72a of that Act continue to be the courts of\nbankruptcy. Public Law 95\xe2\x80\x93598, \xc2\xa7404(a). From their effective date these rules and forms are to be\napplicable in cases filed under chapters 7, 9, 11 and 13 of title 11 regardless of whether the court is\nestablished by the Bankruptcy Act or by 28 U.S.C. \xc2\xa7151. Rule 9001 contains a broad and general\ndefinition of "bankruptcy court," "court" and "United States Bankruptcy Court" for this purpose.\n"Bankruptcy Code" or "Code" as used in these rules means title 11 of the United States\nCode, the codification of the bankruptcy law. Public Law 95\xe2\x80\x93598, \xc2\xa7101. See Rule 9001.\n"Bankruptcy Act" as used in the notes to these rules means the Bankruptcy Act of 1898 as\namended which was repealed by \xc2\xa7401(a) of Public Law 95\xe2\x80\x93598.\nThese rules apply to all cases filed under the Code except as otherwise specifically stated.\nThe final sentence of the rule is derived from former Bankruptcy Rule 903. The objective\nof "expeditious and economical administration" of cases under the Code has frequently been\nrecognized by the courts to be "a chief purpose of the bankruptcy laws." See Katchen v. Landy, 382\nU.S. 323, 328 (1966): Bailey v. Glover, 88 U.S. (21 Wall.) 342, 346\xe2\x80\x9347 (1874): Ex parte Christy,\n44 U.S. (3 How.) 292, 312\xe2\x80\x9314, 320\xe2\x80\x9322 (1845). The rule also incorporates the wholesome mandate\nof the last sentence of Rule 1 of the Federal Rules of Civil Procedure. 2 Moore, Federal Practice\n1.13 (2d ed. 1980); 4 Wright & Miller, Federal Practice and Procedure-Civil \xc2\xa71029 (1969).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nTitle I of the Bankruptcy Amendments and Federal Judgeship Act of 1984, Pub. L. No. 98\xe2\x80\x93\n353, 98 Stat. 333 (hereinafter the 1984 amendments), created a new bankruptcy judicial system in\nwhich the role of the district court was substantially increased. 28 U.S.C. \xc2\xa71334 confers on the\nUnited States district courts original and exclusive jurisdiction over all cases under title 11 of the\nUnited States Code and original but not exclusive jurisdiction over civil proceedings arising under\ntitle 11 and civil proceedings arising in or related to a case under title 11.\nPursuant to 28 U.S.C. \xc2\xa7157(a) the district court may but need not refer cases and\nproceedings within the district court\'s jurisdiction to the bankruptcy judges for the district.\nJudgments or orders of the bankruptcy judges entered pursuant to 28 U.S.C. \xc2\xa7157(b)(1) and (c)(2)\nare subject to appellate review by the district courts or bankruptcy appellate panels under 28\nU.S.C. \xc2\xa7158(a).\nRule 81(a)(1) F.R.Civ.P. provides that the civil rules do not apply to proceedings in\nbankruptcy, except as they may be made applicable by rules promulgated by the Supreme Court,\ne.g., Part VII of these rules. This amended Bankruptcy Rule 1001 makes the Bankruptcy Rules\napplicable to cases and proceedings under title 11, whether before the district judges or the\nbankruptcy judges of the district.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe citation to these rules is amended to conform to the citation form of the Federal Rules\nof Civil Procedure, Federal Rules of Appellate Procedure, and Federal Rules of Criminal\n20\n\n\x0cProcedure.\n\n21\n\n\x0cPART I\xe2\x80\x94COMMENCEMENT OF CASE; PROCEEDINGS RELATING\nTO PETITION AND ORDER FOR RELIEF\nRule 1002. Commencement of Case\n(a) Petition. A petition commencing a case under the Code shall be filed with the clerk.\n(b) Transmission to United States Trustee. The clerk shall forthwith transmit to the United\nStates trustee a copy of the petition filed pursuant to subdivision (a) of this rule.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nUnder \xc2\xa7\xc2\xa7301\xe2\x80\x93303 of the Code, a voluntary or involuntary case is commenced by filing a\npetition with the bankruptcy court. The voluntary petition may request relief under chapter 7, 9, 11,\nor 13 whereas an involuntary petition may be filed only under chapter 7 or 11. Section 109 of the\nCode specifies the types of debtors for whom the different forms of relief are available and \xc2\xa7303(a)\nindicates the persons against whom involuntary petitions may be filed.\nThe rule in subdivision (a) is in harmony with the Code in that it requires the filing to be\nwith the bankruptcy court.\nThe number of copies of the petition to be filed is specified in this rule but a local rule may\nrequire additional copies. This rule provides for filing sufficient copies for the court\'s files and for\nthe trustee in a chapter 7 or 13 case.\nOfficial Form No. 1 may be used to seek relief voluntarily under any of the chapters. Only\nthe original need be signed and verified, but the copies must be conformed to the original. See\nRules 1008 and 9011(c). As provided in \xc2\xa7362(a) of the Code, the filing of a petition acts as a stay\nof certain acts and proceedings against the debtor, property of the debtor, and property of the\nestate.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nRules 1002(a), governing a voluntary petition, 1003(a), governing an involuntary petition,\nand 1003(e), governing a petition in a case ancillary to a foreign proceeding, are combined into this\nRule 1002. If a bankruptcy clerk has been appointed for the district, the petition is filed with the\nbankruptcy clerk. Otherwise, the petition is filed with the clerk of the district court.\nThe elimination of the reference to the Official Forms of the petition is not intended to\nchange the practice. Rule 9009 provides that the Official Forms "shall be observed and used" in\ncases and proceedings under the Code.\nSubdivision (b) which provided for the distribution of copies of the petition to agencies of\nthe United States has been deleted. Some of these agencies no longer wish to receive copies of the\npetition, while others not included in subdivision (b) have now requested copies. The Director of\nthe Administrative Office will determine on an ongoing basis which government agencies will be\nprovided a copy of the petition.\nThe number of copies of a petition that must be filed is a matter for local rule.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n22\n\n\x0cSubdivision (b) is derived from Rule X\xe2\x80\x931002(a). The duties of the United States trustee\npursuant to the Code and 28 U.S.C. \xc2\xa7586(a) require that the United States trustee be apprised of the\ncommencement of every case under chapters 7, 11, 12 and 13 and this is most easily accomplished\nby providing that office with a copy of the petition. Although 28 U.S.C. \xc2\xa7586(a) does not give the\nUnited States trustee an administrative role in chapter 9 cases, \xc2\xa71102 of the Code requires the\nUnited States trustee to appoint committees and that section is applicable in chapter 9 cases\npursuant to \xc2\xa7901(a). It is therefore appropriate that the United States trustee receive a copy of\nevery chapter 9 petition.\nNotwithstanding subdivision (b), pursuant to Rule 5005(b)(3), the clerk is not required to\ntransmit a copy of the petition to the United States trustee if the United States trustee requests that\nit not be transmitted. Many rules require the clerk to transmit a certain document to the United\nStates trustee, but Rule 5005(b)(3) relieves the clerk of that duty under this or any other rule if the\nUnited States trustee requests that such document not be transmitted.\n\nRule 1003. Involuntary Petition\n(a) Transferor or Transferee of Claim. A transferor or transferee of a claim shall annex to\nthe original and each copy of the petition a copy of all documents evidencing the transfer, whether\ntransferred unconditionally, for security, or otherwise, and a signed statement that the claim was\nnot transferred for the purpose of commencing the case and setting forth the consideration for and\nterms of the transfer. An entity that has transferred or acquired a claim for the purpose of\ncommencing a case for liquidation under chapter 7 or for reorganization under chapter 11 shall not\nbe a qualified petitioner.\n(b) Joinder of Petitioners After Filing. If the answer to an involuntary petition filed by\nfewer than three creditors avers the existence of 12 or more creditors, the debtor shall file with the\nanswer a list of all creditors with their addresses, a brief statement of the nature of their claims, and\nthe amounts thereof. If it appears that there are 12 or more creditors as provided in \xc2\xa7303(b) of the\nCode, the court shall afford a reasonable opportunity for other creditors to join in the petition\nbefore a hearing is held thereon.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a). Official Form No. 11 (Involuntary Case: Creditors\' Petition), is prescribed\nfor use by petitioning creditors to have a debtor\'s assets liquidated under chapter 7 of the Code or\nthe business reorganized under chapter 11. It contains the required allegations as specified in\n\xc2\xa7303(b) of the Code. Official Form 12 is prescribed for use by fewer than all the general partners to\nobtain relief for the partnership as governed by \xc2\xa7303(b)(3) of the Code and Rule 1004(b).\nAlthough the number of copies to be filed is specified in Rule 1002, a local rule may\nrequire additional copies.\nOnly the original need be signed and verified, but the copies must be conformed to the\noriginal. See Rules 1008 and 9011(c). The petition must be filed with the bankruptcy court. This\nprovision implements \xc2\xa7303(b) which provides that an involuntary case is commenced by filing the\npetition with the court.\n23\n\n\x0cAs provided in \xc2\xa7362 of the Code, the filing of the petition acts as a stay of certain acts and\nproceedings against the debtor, the debtor\'s property and property of the estate.\nSubdivision (c) retains the explicitness of former Bankruptcy Rule 104(d) that a transfer of\na claim for the purpose of commencing a case under the Code is a ground for disqualification of a\nparty to the transfer as a petitioner.\nSection 303(b) "is not intended to overrule Bankruptcy Rule 104(d), which places certain\nrestrictions on the transfer of claims for the purpose of commencing an involuntary case." House\nReport No. 95\xe2\x80\x93595, 95th Cong., 1st Sess. (1977) 322; Senate Report No. 95\xe2\x80\x93989, 95th Cong., 2d\nSess. (1978) 33.\nThe subdivision requires disclosure of any transfer of the petitioner\'s claim as well as a\ntransfer to the petitioner and applies to transfers for security as well as unconditional transfers, Cf.\nIn re 69th & Crandon Bldg. Corp., 97 F.2d 392, 395 (7th Cir.), cert. denied, 305 U.S. 629 (1938),\nrecognizing the right of a creditor to sign a bankruptcy petition notwithstanding a prior assignment\nof his claim for the purpose of security. This rule does not, however, qualify the requirement of\n\xc2\xa7303(b)(1) that a petitioning creditor must have a claim not contingent as to liability.\nSubdivision (d). Section 303(c) of the Code permits a creditor to join in the petition at any\ntime before the case is dismissed or relief is ordered. While this rule does not require the court to\ngive all creditors notice of the petition, the list of creditors filed by the debtor affords a petitioner\nthe information needed to enable him to give notice for the purpose of obtaining the co-petitioners\nrequired to make the petition sufficient. After a reasonable opportunity has been afforded other\ncreditors to join in an involuntary petition, the hearing on the petition should be held without\nfurther delay.\nSubdivision (e). This subdivision implements \xc2\xa7304. A petition for relief under \xc2\xa7304 may\nonly be filed by a foreign representative who is defined in \xc2\xa7101(20) generally as a representative of\nan estate in a foreign proceeding. The term "foreign proceeding" is defined in \xc2\xa7101(19).\nSection 304(b) permits a petition filed thereunder to be contested by a party in interest.\nSubdivision (e)(2) therefore requires that the summons and petition be served on any person\nagainst whom the relief permitted by \xc2\xa7304(b) is sought as well as on any other party the court may\ndirect.\nThe rules applicable to the procedure when an involuntary petition is filed are made\napplicable generally when a case ancillary to a foreign proceeding is commenced. These rules\ninclude Rule 1010 with respect to issuance and service of a summons, Rule 1011 concerning\nresponsive pleadings and motions, and Rule 1018 which makes various rules in Part VII applicable\nin proceedings on contested petitions.\nThe venue for a case ancillary to a foreign proceeding is provided in 28 U.S.C. \xc2\xa71474.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe subject matter of subdivisions (a), (b), and (e) has been incorporated in Rules 1002,\n1010, 1011, and 1018.\n\nRule 1004. Involuntary Petition Against a Partnership\nAfter filing of an involuntary petition under \xc2\xa7303(b)(3) of the Code, (1) the petitioning\npartners or other petitioners shall promptly send to or serve on each general partner who is not a\npetitioner a copy of the petition; and (2) the clerk shall promptly issue a summons for service on\n24\n\n\x0ceach general partner who is not a petitioner. Rule 1010 applies to the form and service of the\nsummons.\n(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Bankruptcy Rule 105 and complements \xc2\xa7\xc2\xa7301 and\n303(b)(3) of the Code.\nSubdivision (a) specifies that while all general partners must consent to the filing of a\nvoluntary petition, it is not necessary that they all execute the petition. It may be executed and filed\non behalf of the partnership by fewer than all.\nSubdivision (b) implements \xc2\xa7303(b)(3) of the Code which provides that an involuntary\npetition may be filed by fewer than all the general partners or, when all the general partners are\ndebtors, by a general partner, trustee of the partner or creditors of the partnership. Rule 1010,\nwhich governs service of a petition and summons in an involuntary case, specifies the time and\nmode of service on the partnership. When a petition is filed against a partnership under \xc2\xa7303(b)(3),\nthis rule requires an additional service on the nonfiling general partners. It is the purpose of this\nsubdivision to protect the interests of the nonpetitioning partners and the partnership.\nCommittee Notes on Rules\xe2\x80\x942002 Amendment\nSection 303(b)(3)(A) of the Code provides that fewer than all of the general partners in a\npartnership may commence an involuntary case against the partnership. There is no counterpart\nprovision in the Code setting out the manner in which a partnership commences a voluntary case.\nThe Supreme Court has held in the corporate context that applicable nonbankruptcy law\ndetermines whether authority exists for a particular debtor to commence a bankruptcy case. See\nPrice v. Gurney, 324 U.S. 100 (1945). The lower courts have followed this rule in the partnership\ncontext as well. See, e.g., Jolly v. Pittore, 170 B.R. 793 (S.D.N.Y. 1994); Union Planters National\nBank v. Hunters Horn Associates, 158 B.R. 729 (Bankr. M.D. Tenn. 1993); In re Channel 64 Joint\nVenture, 61 B.R. 255 (Bankr. S.D. Oh. 1986). Rule 1004(a) could be construed as requiring the\nconsent of all of the general partners to the filing of a voluntary petition, even if fewer than all of\nthe general partners would have the authority under applicable nonbankruptcy law to commence a\nbankruptcy case for the partnership. Since this is a matter of substantive law beyond the scope of\nthese rules, Rule 1004(a) is deleted as is the designation of subdivision (b).\nThe rule is retitled to reflect that it applies only to involuntary petitions filed against\npartnerships.\nChanges Made After Publication and Comments. No changes since publication.\n\nRule 1004.1. Petition for an Infant or Incompetent Person\nIf an infant or incompetent person has a representative, including a general guardian,\ncommittee, conservator, or similar fiduciary, the representative may file a voluntary petition on\nbehalf of the infant or incompetent person. An infant or incompetent person who does not have a\nduly appointed representative may file a voluntary petition by next friend or guardian ad litem. The\ncourt shall appoint a guardian ad litem for an infant or incompetent person who is a debtor and is\nnot otherwise represented or shall make any other order to protect the infant or incompetent debtor.\n25\n\n\x0c(Added Apr. 29, 2002, eff. Dec. 1, 2002.)\nCommittee Notes on Rules\xe2\x80\x942002\nThis rule is derived from Rule 17(c) F.R. Civ. P. It does not address the commencement of\na case filed on behalf of a missing person. See, e.g., In re King, 234 B.R. 515 (Bankr. D.N.M.\n1999)\nChanges Made After Publication and Comments. No changes were made.\n\nRule 1004.2. Petition in Chapter 15 Cases\n(a) Designating Center of Main Interests. A petition for recognition of a foreign proceeding\nunder chapter 15 of the Code shall state the country where the debtor has its center of main\ninterests. The petition shall also identify each country in which a foreign proceeding by, regarding,\nor against the debtor is pending.\n(b) Challenging Designation. The United States trustee or a party in interest may file a\nmotion for a determination that the debtor\'s center of main interests is other than as stated in the\npetition for recognition commencing the chapter 15 case. Unless the court orders otherwise, the\nmotion shall be filed no later than seven days before the date set for the hearing on the petition. The\nmotion shall be transmitted to the United States trustee and served on the debtor, all persons or\nbodies authorized to administer foreign proceedings of the debtor, all entities against whom\nprovisional relief is being sought under \xc2\xa71519 of the Code, all parties to litigation pending in the\nUnited States in which the debtor was a party as of the time the petition was filed, and such other\nentities as the court may direct.\n(Added Apr. 26, 2011, eff. Dec. 1, 2011.)\nCommittee Notes on Rules\xe2\x80\x942011\nThis rule is new. Subdivision (a) directs any entity that files a petition for recognition of a\nforeign proceeding under chapter 15 of the Code to state in the petition the center of the debtor\'s\nmain interests. The petition must also list each country in which a foreign proceeding involving the\ndebtor is pending. This information will assist the court and parties in interest in determining\nwhether the foreign proceeding is a foreign main or nonmain proceeding.\nSubdivision (b) sets a deadline of seven days prior to the hearing on the petition for\nrecognition for filing a motion challenging the statement in the petition regarding the country in\nwhich the debtor\'s center of main interests is located.\nChanges Made After Publication. The rule was first published for comment in August\n2008. After publication, the deadline in subdivision (b) for challenging the designation of the\ncenter of the debtor\'s main interests was changed from "60 days after the notice of the petition has\nbeen given" to "no later than seven days before the date set for the hearing on the petition."\nThe rule as revised was published in August 2009. Minor stylistic changes were made to\nthe rule\'s language and the Committee Note following that publication.\nNo comments were submitted on proposed Rule 1004.2 after its republication in August\n2009.\n\nRule 1005. Caption of Petition\n26\n\n\x0cThe caption of a petition commencing a case under the Code shall contain the name of the\ncourt, the title of the case, and the docket number. The title of the case shall include the following\ninformation about the debtor: name, employer identification number, last four digits of the\nsocial-security number or individual debtor\'s taxpayer-identification number, any other federal\ntaxpayer-identification number, and all other names used within eight years before filing the\npetition. If the petition is not filed by the debtor, it shall include all names used by the debtor which\nare known to the petitioners.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 23,\n2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThe title of the case should include all names used by the debtor, such as trade names,\nformer married names and maiden name. See also Official Form No. 1 and the Advisory\nCommittee Note to that Form. Additional names of the debtor are also required to appear in the\ncaption of each notice to creditors. See Rule 2002(m).\nCommittee Notes on Rules\xe2\x80\x942003 Amendment\nThe rule is amended to implement the Judicial Conference policy to limit the disclosure of\na party\'s social security number and similar identifiers. Under the rule, as amended, only the last\nfour digits of the debtor\'s social security number need be disclosed. Publication of the employer\nidentification number does not present the same identity theft or privacy protection issues.\nTherefore, the caption must include the full employer identification number.\nDebtors must submit with the petition a statement setting out their social security numbers.\nThis enables the clerk to include the full social security number on the notice of the section 341\nmeeting of creditors, but the statement itself is not submitted in the case or maintained in the case\nfile.\nChanges Made After Publication and Comments. The rule was changed only slightly after\npublication. The rule was changed to make clear that only the debtor\'s social security number is\ntruncated to the final four digits, but other numerical identifiers must be set out in full. The rule\nalso was amended to include a requirement that a debtor list other federal taxpayer identification\nnumbers that may be in use.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to require the disclosure of all names used by the debtor in the past\neight years. Section 727(a)(8) was amended in 2005 to extend the time between chapter 7\ndischarges from six to eight years, and the rule is amended to implement that change. The rule also\nis amended to require the disclosure of the last four digits of an individual debtor\'s\ntaxpayer-identification number. This truncation of the number applies only to individual debtors.\nThis is consistent with the requirements of Rule 9037.\nChanges Made After Publication. No changes were made after publication.\n\nRule 1006. Filing Fee\n\n27\n\n\x0c(a) General Requirement. Every petition shall be accompanied by the filing fee except as\nprovided in subdivisions (b) and (c) of this rule. For the purpose of this rule, "filing fee" means the\nfiling fee prescribed by 28 U.S.C. \xc2\xa71930(a)(1)\xe2\x80\x93(a)(5) and any other fee prescribed by the Judicial\nConference of the United States under 28 U.S.C. \xc2\xa71930(b) that is payable to the clerk upon the\ncommencement of a case under the Code.\n(b) Payment of Filing Fee in Installments.\n(1) Application to Pay Filing Fee in Installments. A voluntary petition by an individual\nshall be accepted for filing if accompanied by the debtor\'s signed application, prepared as\nprescribed by the appropriate Official Form, stating that the debtor is unable to pay the filing fee\nexcept in installments.\n(2) Action on Application. Prior to the meeting of creditors, the court may order the filing\nfee paid to the clerk or grant leave to pay in installments and fix the number, amount and dates of\npayment. The number of installments shall not exceed four, and the final installment shall be\npayable not later than 120 days after filing the petition. For cause shown, the court may extend the\ntime of any installment, provided the last installment is paid not later than 180 days after filing the\npetition.\n(3) Postponement of Attorney\'s Fees. All installments of the filing fee must be paid in full\nbefore the debtor or chapter 13 trustee may make further payments to an attorney or any other\nperson who renders services to the debtor in connection with the case.\n(c) Waiver of Filing Fee. A voluntary chapter 7 petition filed by an individual shall be\naccepted for filing if accompanied by the debtor\'s application requesting a waiver under 28 U.S.C.\n\xc2\xa71930(f), prepared as prescribed by the appropriate Official Form.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23,\n2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n28 U.S.C. \xc2\xa71930 specifies the filing fees for petitions under chapters 7, 9, 11 and 13 of the\nCode. It also permits the payment in installments by individual debtors.\nSubdivision (b) is adapted from former Bankruptcy Rule 107. The administrative cost of\ninstallments in excess of four is disproportionate to the benefits conferred. Prolonging the period\nbeyond 180 days after the commencement of the case causes undesirable delays in administration.\nParagraph (2) accordingly continues the imposition of a maximum of four on the number of\ninstallments and retains the maximum period of installment payments allowable on an original\napplication at 120 days. Only in extraordinary cases should it be necessary to give an applicant an\nextension beyond the four months. The requirement of paragraph (3) that filing fees be paid in full\nbefore the debtor may pay an attorney for services in connection with the case codifies the rule\ndeclared in In re Latham, 271 Fed. 538 (N.D.N.Y. 1921), and In re Darr, 232 Fed. 415 (N.D. Cal.\n1916).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (b)(3) is expanded to prohibit payments by the debtor or the chapter 13 trustee\nnot only to attorneys but to any person who renders services to the debtor in connection with the\ncase.\n28\n\n\x0cNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\n\nThe Judicial Conference prescribes miscellaneous fees pursuant to 28 U.S.C. \xc2\xa71930(b). In\n1992, a $30 miscellaneous administrative fee was prescribed for all chapter 7 and chapter 13 cases.\nThe Judicial Conference fee schedule was amended in 1993 to provide that an individual debtor\nmay pay this fee in installments.\nSubdivision (a) of this rule is amended to clarify that every petition must be accompanied\nby any fee prescribed under 28 U.S.C. \xc2\xa71930(b) that is required to be paid when a petition is filed,\nas well as the filing fee prescribed by 28 U.S.C. \xc2\xa71930(a). By defining "filing fee" to include\nJudicial Conference fees, the procedures set forth in subdivision (b) for paying the filing fee in\ninstallments will also apply with respect to any Judicial Conference fee required to be paid at the\ncommencement of the case.\nGAP Report on Rule 1006. No changes since publication, except for a stylistic change in\nsubdivision (a).\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (a) is amended to include a reference to new subdivision (c), which deals with\nfee waivers under 28 U.S.C. \xc2\xa71930(f), which was added in 2005.\nSubdivision (b)(1) is amended to delete the sentence requiring a disclosure that the debtor\nhas not paid an attorney or other person in connection with the case. Inability to pay the filing fee\nin installments is one of the requirements for a fee waiver under the 2005 revisions to 28 U.S.C.\n\xc2\xa71930(f). If the attorney payment prohibition were retained, payment of an attorney\'s fee would\nrender many debtors ineligible for installment payments and thus enhance their eligibility for the\nfee waiver. The deletion of this prohibition from the rule, which was not statutorily required,\nensures that debtors who have the financial ability to pay the fee in installments will do so rather\nthan request a waiver.\nSubdivision (b)(3) is amended in conformance with the changes to subdivision (b)(1) to\nreflect the 2005 amendments. The change is meant to clarify that subdivision (b)(3) refers to\npayments made after the debtor has filed the bankruptcy case and after the debtor has received\npermission to pay the fee in installments. Otherwise, the subdivision may conflict with the intent\nand effect of the amendments to subdivision (b)(1).\nChanges Made After Publication. No changes were made after publication.\n\nRule 1007. Lists, Schedules, Statements, and Other Documents; Time Limits\n(a) Corporate Ownership Statement, List of Creditors and Equity Security Holders, and\nOther Lists.\n(1) Voluntary Case. In a voluntary case, the debtor shall file with the petition a list\ncontaining the name and address of each entity included or to be included on Schedules D, E, F, G,\nand H as prescribed by the Official Forms. If the debtor is a corporation, other than a governmental\nunit, the debtor shall file with the petition a corporate ownership statement containing the\ninformation described in Rule 7007.1. The debtor shall file a supplemental statement promptly\nupon any change in circumstances that renders the corporate ownership statement inaccurate.\n(2) Involuntary Case. In an involuntary case, the debtor shall file, within seven days after\n29\n\n\x0centry of the order for relief, a list containing the name and address of each entity included or to be\nincluded on Schedules D, E, F, G, and H as prescribed by the Official Forms.\n(3) Equity Security Holders. In a chapter 11 reorganization case, unless the court orders\notherwise, the debtor shall file within 14 days after entry of the order for relief a list of the debtor\'s\nequity security holders of each class showing the number and kind of interests registered in the\nname of each holder, and the last known address or place of business of each holder.\n(4) Chapter 15 Case. In addition to the documents required under \xc2\xa71515 of the Code, a\nforeign representative filing a petition for recognition under chapter 15 shall file with the petition:\n(A) a corporate ownership statement containing the information described in Rule 7007.1; and (B)\nunless the court orders otherwise, a list containing the names and addresses of all persons or bodies\nauthorized to administer foreign proceedings of the debtor, all parties to litigation pending in the\nUnited States in which the debtor is a party at the time of the filing of the petition, and all entities\nagainst whom provisional relief is being sought under \xc2\xa71519 of the Code.\n(5) Extension of Time. Any extension of time for the filing of the lists required by this\nsubdivision may be granted only on motion for cause shown and on notice to the United States\ntrustee and to any trustee, committee elected under \xc2\xa7705 or appointed under \xc2\xa71102 of the Code, or\nother party as the court may direct.\n(b) Schedules, Statements, and Other Documents Required.\n(1) Except in a chapter 9 municipality case, the debtor, unless the court orders otherwise,\nshall file the following schedules, statements, and other documents, prepared as prescribed by the\nappropriate Official Forms, if any:\n(A) schedules of assets and liabilities;\n(B) a schedule of current income and expenditures;\n(C) a schedule of executory contracts and unexpired leases;\n(D) a statement of financial affairs;\n(E) copies of all payment advices or other evidence of payment, if any, received by the\ndebtor from an employer within 60 days before the filing of the petition, with redaction of all but\nthe last four digits of the debtor\'s social-security number or individual taxpayer-identification\nnumber; and\n(F) a record of any interest that the debtor has in an account or program of the type\nspecified in \xc2\xa7521(c) of the Code.\n(2) An individual debtor in a chapter 7 case shall file a statement of intention as required by\n\xc2\xa7521(a) of the Code, prepared as prescribed by the appropriate Official Form. A copy of the\nstatement of intention shall be served on the trustee and the creditors named in the statement on or\nbefore the filing of the statement.\n(3) Unless the United States trustee has determined that the credit counseling requirement\nof \xc2\xa7109(h) does not apply in the district, an individual debtor must file a statement of compliance\nwith the credit counseling requirement, prepared as prescribed by the appropriate Official Form\nwhich must include one of the following:\n(A) an attached certificate and debt repayment plan, if any, required by \xc2\xa7521(b);\n(B) a statement that the debtor has received the credit counseling briefing required by\n\xc2\xa7109(h)(1) but does not have the certificate required by \xc2\xa7521(b);\n(C) a certification under \xc2\xa7109(h)(3); or\n(D) a request for a determination by the court under \xc2\xa7109(h)(4).\n30\n\n\x0c(4) Unless \xc2\xa7707(b)(2)(D) applies, an individual debtor in a chapter 7 case shall file a\nstatement of current monthly income prepared as prescribed by the appropriate Official Form, and,\nif the current monthly income exceeds the median family income for the applicable state and\nhousehold size, the information, including calculations, required by \xc2\xa7707(b), prepared as\nprescribed by the appropriate Official Form.\n(5) An individual debtor in a chapter 11 case shall file a statement of current monthly\nincome, prepared as prescribed by the appropriate Official Form.\n(6) A debtor in a chapter 13 case shall file a statement of current monthly income, prepared\nas prescribed by the appropriate Official Form, and, if the current monthly income exceeds the\nmedian family income for the applicable state and household size, a calculation of disposable\nincome made in accordance with \xc2\xa71325(b)(3), prepared as prescribed by the appropriate Official\nForm.\n(7) Unless an approved provider of an instructional course concerning personal financial\nmanagement has notified the court that a debtor has completed the course after filing the petition:\n(A) An individual debtor in a chapter 7 or chapter 13 case shall file a statement of\ncompletion of the course, prepared as prescribed by the appropriate Official Form; and\n(B) An individual debtor in a chapter 11 case shall file the statement if \xc2\xa71141(d)(3) applies.\n(8) If an individual debtor in a chapter 11, 12, or 13 case has claimed an exemption under\n\xc2\xa7522(b)(3)(A) in property of the kind described in \xc2\xa7522(p)(1) with a value in excess of the amount\nset out in \xc2\xa7522(q)(1), the debtor shall file a statement as to whether there is any proceeding\npending in which the debtor may be found guilty of a felony of a kind described in \xc2\xa7522(q)(1)(A)\nor found liable for a debt of the kind described in \xc2\xa7522(q)(1)(B).\n(c) Time Limits. In a voluntary case, the schedules, statements, and other documents\nrequired by subdivision (b)(1), (4), (5), and (6) shall be filed with the petition or within 14 days\nthereafter, except as otherwise provided in subdivisions (d), (e), (f), and (h) of this rule. In an\ninvoluntary case, the schedules, statements, and other documents required by subdivision (b)(1)\nshall be filed by the debtor within 14 days after the entry of the order for relief. In a voluntary case,\nthe documents required by paragraphs (A), (C), and (D) of subdivision (b)(3) shall be filed with the\npetition. Unless the court orders otherwise, a debtor who has filed a statement under subdivision\n(b)(3)(B), shall file the documents required by subdivision (b)(3)(A) within 14 days of the order\nfor relief. In a chapter 7 case, the debtor shall file the statement required by subdivision (b)(7)\nwithin 60 days after the first date set for the meeting of creditors under \xc2\xa7341 of the Code, and in a\nchapter 11 or 13 case no later than the date when the last payment was made by the debtor as\nrequired by the plan or the filing of a motion for a discharge under \xc2\xa71141(d)(5)(B) or \xc2\xa71328(b) of\nthe Code. The court may, at any time and in its discretion, enlarge the time to file the statement\nrequired by subdivision (b)(7). The debtor shall file the statement required by subdivision (b)(8) no\nearlier than the date of the last payment made under the plan or the date of the filing of a motion for\na discharge under \xc2\xa7\xc2\xa71141(d)(5)(B),1 1228(b), or 1328(b) of the Code. Lists, schedules, statements,\nand other documents filed prior to the conversion of a case to another chapter shall be deemed filed\nin the converted case unless the court directs otherwise. Except as provided in \xc2\xa71116(3), any\nextension of time to file schedules, statements, and other documents required under this rule may\nbe granted only on motion for cause shown and on notice to the United States trustee, any\ncommittee elected under \xc2\xa7705 or appointed under \xc2\xa71102 of the Code, trustee, examiner, or other\n31\n\n\x0cparty as the court may direct. Notice of an extension shall be given to the United States trustee and\nto any committee, trustee, or other party as the court may direct.\n(d) List of 20 Largest Creditors in Chapter 9 Municipality Case or Chapter 11\nReorganization Case. In addition to the list required by subdivision (a) of this rule, a debtor in a\nchapter 9 municipality case or a debtor in a voluntary chapter 11 reorganization case shall file with\nthe petition a list containing the name, address and claim of the creditors that hold the 20 largest\nunsecured claims, excluding insiders, as prescribed by the appropriate Official Form. In an\ninvoluntary chapter 11 reorganization case, such list shall be filed by the debtor within 2 days after\nentry of the order for relief under \xc2\xa7303(h) of the Code.\n(e) List in Chapter 9 Municipality Cases. The list required by subdivision (a) of this rule\nshall be filed by the debtor in a chapter 9 municipality case within such time as the court shall fix.\nIf a proposed plan requires a revision of assessments so that the proportion of special assessments\nor special taxes to be assessed against some real property will be different from the proportion in\neffect at the date the petition is filed, the debtor shall also file a list showing the name and address\nof each known holder of title, legal or equitable, to real property adversely affected. On motion for\ncause shown, the court may modify the requirements of this subdivision and subdivision (a) of this\nrule.\n(f) Statement of Social Security Number. An individual debtor shall submit a verified\nstatement that sets out the debtor\'s social security number, or states that the debtor does not have a\nsocial security number. In a voluntary case, the debtor shall submit the statement with the petition.\nIn an involuntary case, the debtor shall submit the statement within 14 days after the entry of the\norder for relief.\n(g) Partnership and Partners. The general partners of a debtor partnership shall prepare and\nfile the list required under subdivision (a), schedules of the assets and liabilities, schedule of\ncurrent income and expenditures, schedule of executory contracts and unexpired leases, and\nstatement of financial affairs of the partnership. The court may order any general partner to file a\nstatement of personal assets and liabilities within such time as the court may fix.\n(h) Interests Acquired or Arising After Petition. If, as provided by \xc2\xa7541(a)(5) of the Code,\nthe debtor acquires or becomes entitled to acquire any interest in property, the debtor shall within\n14 days after the information comes to the debtor\'s knowledge or within such further time the court\nmay allow, file a supplemental schedule in the chapter 7 liquidation case, chapter 11\nreorganization case, chapter 12 family farmer\'s debt adjustment case, or chapter 13 individual debt\nadjustment case. If any of the property required to be reported under this subdivision is claimed by\nthe debtor as exempt, the debtor shall claim the exemptions in the supplemental schedule. The duty\nto file a supplemental schedule in accordance with this subdivision continues notwithstanding the\nclosing of the case, except that the schedule need not be filed in a chapter 11, chapter 12, or chapter\n13 case with respect to property acquired after entry of the order confirming a chapter 11 plan or\ndischarging the debtor in a chapter 12 or chapter 13 case.\n(i) Disclosure of List of Security Holders. After notice and hearing and for cause shown,\nthe court may direct an entity other than the debtor or trustee to disclose any list of security holders\nof the debtor in its possession or under its control, indicating the name, address and security held\nby any of them. The entity possessing this list may be required either to produce the list or a true\ncopy thereof, or permit inspection or copying, or otherwise disclose the information contained on\nthe list.\n(j) Impounding of Lists. On motion of a party in interest and for cause shown the court may\ndirect the impounding of the lists filed under this rule, and may refuse to permit inspection by any\n32\n\n\x0centity. The court may permit inspection or use of the lists, however, by any party in interest on\nterms prescribed by the court.\n(k) Preparation of List, Schedules, or Statements on Default of Debtor. If a list, schedule, or\nstatement, other than a statement of intention, is not prepared and filed as required by this rule, the\ncourt may order the trustee, a petitioning creditor, committee, or other party to prepare and file any\nof these papers within a time fixed by the court. The court may approve reimbursement of the cost\nincurred in complying with such an order as an administrative expense.\n(l) Transmission to United States Trustee. The clerk shall forthwith transmit to the United\nStates trustee a copy of every list, schedule, and statement filed pursuant to subdivision (a)(1),\n(a)(2), (b), (d), or (h) of this rule.\n(m) Infants and Incompetent Persons. If the debtor knows that a person on the list of\ncreditors or schedules is an infant or incompetent person, the debtor also shall include the name,\naddress, and legal relationship of any person upon whom process would be served in an adversary\nproceeding against the infant or incompetent person in accordance with Rule 7004(b)(2).\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n1996, eff. Dec. 1, 1996; Apr. 23, 2001, eff. Dec. 1, 2001; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 25,\n2005, eff. Dec. 1, 2005; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28,\n2010, eff. Dec. 1, 2010; Apr. 23, 2012, eff. Dec. 1, 2012; Apr. 16, 2013, eff. Dec. 1, 2013.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is an adaptation of former Rules 108, 8\xe2\x80\x93106, 10\xe2\x80\x93108 and 11\xe2\x80\x9311. As specified in\nthe rule, it is applicable in all types of cases filed under the Code.\nSubdivision (a) requires at least a list of creditors with their names and addresses to be filed\nwith the petition. This list is needed for notice of the meeting of creditors (Rule 2002) and notice of\nthe order for relief (\xc2\xa7342 of the Code). The list will also serve to meet the requirements of \xc2\xa7521(1)\nof the Code. Subdivision (a) recognizes that it may be impossible to file the schedules required by\n\xc2\xa7521(1) and subdivision (b) of the rule at the time the petition is filed but in order for the case to\nproceed expeditiously and efficiently it is necessary that the clerk have the names and addresses of\ncreditors. It should be noted that subdivision (d) of the rule requires a special list of the 20 largest\nunsecured creditors in chapter 9 and 11 cases. That list is for the purpose of selecting a committee\nof unsecured creditors.\nSubdivision (b) is derived from former Rule 11\xe2\x80\x9311 and conforms with \xc2\xa7521. This\nsubdivision indicates the forms to be used. The court may dispense with the filing of schedules and\nthe statement of affairs pursuant to \xc2\xa7521.\nSubdivisions (c) and (f) specify the time periods for filing the papers required by the rule as\nwell as the number of copies. The provisions dealing with an involuntary case are derived from\nformer Bankruptcy Rule 108. Under the Code, a chapter 11 case may be commenced by an\ninvoluntary petition (\xc2\xa7303(a)), whereas under the Act, a Chapter XI case could have been\ncommenced only by a voluntary petition. A motion for an extension of time to file the schedules\nand statements is required to be made on notice to parties, as the court may direct, including a\ncreditors\' committee if one has been appointed under \xc2\xa71102 of the Code and a trustee or examiner\nif one has been appointed pursuant to \xc2\xa71104 of the Code. Although written notice is preferable, it\nis not required by the rule; in proper circumstances the notice may be by telephone or otherwise.\nSubdivision (d) is new and requires that a list of the 20 largest unsecured creditors,\nexcluding insiders as defined in \xc2\xa7101(25) of the Code, be filed with the petition. The court,\npursuant to \xc2\xa71102 of the Code, is required to appoint a committee of unsecured creditors as soon as\n33\n\n\x0cpracticable after the order for relief. That committee generally is to consist of the seven largest\nunsecured creditors who are willing to serve. The list should, as indicated on Official Form No. 9,\nspecify the nature and amount of the claim. It is important for the court to be aware of the different\ntypes of claims existing in the case and this form should supply such information.\nSubdivision (e) applies only in chapter 9 municipality cases. It gives greater discretion to\nthe court to determine the time for filing a list of creditors and any other matter related to the list. A\nlist of creditors must at some point be filed since one is required by \xc2\xa7924 of the Code. When the\nplan affects special assessments, the definitions in \xc2\xa7902(2) and (3) for "special tax payer" and\n"special tax payer affected by the plan" become relevant.\nSubdivision (g) is derived from former Rules 108(c) and 11\xe2\x80\x9311. Nondebtor general\npartners are liable to the partnership\'s trustee for any deficiency in the partnership\'s estate to pay\ncreditors in full as provided by \xc2\xa7723 of the Code. Subdivision (g) authorizes the court to require a\npartner to file a statement of personal assets and liabilities to provide the trustee with the relevant\ninformation.\nSubdivision (h) is derived from former Bankruptcy Rule 108(e) for chapter 7, 11 and 13\npurposes. It implements the provisions in and language of \xc2\xa7541(a)(5) of the Code.\nSubdivisions (i) and (j) are adapted from \xc2\xa7\xc2\xa7165 and 166 of the Act and former Rule 10\xe2\x80\x93\n108(b) and (c) without change in substance. The term "party in interest" is not defined in the Code\nor the rules, but reference may be made to \xc2\xa71109(b) of the Code. In the context of this subdivision,\nthe term would include the debtor, the trustee, any indenture trustee, creditor, equity security\nholder or committee appointed pursuant to \xc2\xa71102 of the Code.\nSubdivision (k) is derived from former Rules 108(d) and 10\xe2\x80\x93108(a).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivisions (b), (c), and (g) are amended to provide for the filing of a schedule of current\nincome and current expenditures and the individual debtor\'s statement of intention. These\ndocuments are required by the 1984 amendments to \xc2\xa7521 of the Code. Official Form No. 6A is\nprescribed for use by an individual debtor for filing a schedule of current income and current\nexpenditures in a chapter 7 or chapter 11 case. Although a partnership or corporation is also\nrequired by \xc2\xa7521(1) to file a schedule of current income and current expenditures, no Official\nForm is prescribed therefor.\nThe time for filing the statement of intention is governed by \xc2\xa7521(2)(A). A copy of the\nstatement of intention must be served on the trustee and the creditors named in the statement\nwithin the same time. The provisions of subdivision (c) governing the time for filing when a\nchapter 11 or chapter 13 case is converted to a chapter 7 case have been omitted from subdivision\n(c) as amended. Filing after conversion is now governed exclusively by Rule 1019.\nSubdivision (f) has been abrogated. The number of copies of the documents required by this\nrule will be determined by local rule.\nSubdivision (h) is amended to include a direct reference to \xc2\xa7541(a)(5).\nSubdivision (k) provides that the court may not order an entity other than the debtor to\nprepare and file the statement of intention.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nReferences to Official Form numbers and to the Chapter 13 Statement are deleted and\nsubdivision (b) is amended in anticipation of future revision and renumbering of the Official\n34\n\n\x0cForms. The debtor in a chapter 12 or chapter 13 case shall file the list, schedules and statements\nrequired in subdivisions (a)(1), (b)(1), and (h). It is expected that the information currently\nprovided in the Chapter 13 Statement will be included in the schedules and statements as revised\nnot later than the effective date of these rule amendments.\nSubdivisions (a)(4) and (c) are amended to provide the United States trustee with notice of\nany motion to extend the time for the filing of any lists, schedules, or statements. Such notice\nenables the United States trustee to take appropriate steps to avoid undue delay in the\nadministration of the case. See 28 U.S.C. \xc2\xa7586(a)(3)(G). Subdivisions (a)(4) and (c) are amended\nfurther to provide notice to committees elected under \xc2\xa7705 or appointed pursuant to \xc2\xa71102 of the\nCode. Committees of retired employees appointed pursuant to \xc2\xa71114 are not included.\nThe additions of references to unexpired leases in subdivisions (b)(1) and (g) indicate that\nthe schedule requires the inclusion of unexpired leases as well as other executory contracts.\nThe words "with the court" in subdivisions (b)(1), (e), and (g) are deleted as unnecessary.\nSee Rules 5005(a) and 9001(3).\nSubdivision (l), which is derived from Rule X\xe2\x80\x931002(a), provides the United States trustee\nwith the information required to perform certain administrative duties such as the appointment of a\ncommittee of unsecured creditors. In a chapter 7 case, the United States trustee should be aware of\nthe debtor\'s intention with respect to collateral that secures a consumer debt so that the United\nStates trustee may monitor the progress of the case. Pursuant to \xc2\xa7307 of the Code, the United\nStates trustee has standing to raise, appear and be heard on issues and the lists, schedules and\nstatements contain information that, when provided to the United States trustee, enable that office\nto participate effectively in the case. The United States trustee has standing to move to dismiss a\nchapter 7 or 13 case for failure to file timely the list, schedules or statement required by \xc2\xa7521(1) of\nthe Code. See \xc2\xa7\xc2\xa7707(a)(3) and 1307(c)(9). It is therefore necessary for the United States trustee to\nreceive notice of any extension of time to file such documents. Upon request, the United States\ntrustee also may receive from the trustee or debtor in possession a list of equity security holders.\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nSubdivision (c) is amended to provide that schedules and statements filed prior to the\nconversion of a case to another chapter shall be deemed filed in the converted case, whether or not\nthe case was a chapter 7 case prior to conversion. This amendment is in recognition of the 1991\namendments to the Official Forms that abrogated the Chapter 13 Statement and made the same\nforms for schedules and statements applicable in all cases.\nThis subdivision also contains a technical correction. The phrase "superseded case" creates\nthe erroneous impression that conversion of a case results in a new case that is distinct from the\noriginal case. The effect of conversion of a case is governed by \xc2\xa7348 of the Code.\nGAP Report on Rule 1007(c). No changes since publication, except for stylistic changes.\nCommittee Notes on Rules\xe2\x80\x942001 Amendment\nSubdivision (m) is added to enable the person required to mail notices under Rule 2002 to\nmail them to the appropriate guardian or other representative when the debtor knows that a creditor\nor other person listed is an infant or incompetent person.\nThe proper mailing address of the representative is determined in accordance with Rule\n7004(b)(2), which requires mailing to the person\'s dwelling house or usual place of abode or at the\nplace where the person regularly conducts a business or profession.\n35\n\n\x0cChanges Made After Publication and Comments. No changes were made.\nCommittee Notes on Rules\xe2\x80\x942003 Amendment\n[Subdivision (a).] This rule is amended to require the debtor to file a corporate ownership\nstatement setting out the information described in Rule 7007.1. Requiring debtors to file the\nstatement provides the court with an opportunity to make judicial disqualification determinations\nat the outset of the case. This could reduce problems later in the case by preventing the initial\nassignment of the case to a judge who holds a financial interest in a parent company of the debtor\nor some other entity that holds a significant ownership interest in the debtor. Moreover, by\nincluding the disclosure statement filing requirement at the commencement of the case, the debtor\ndoes not have to make the same disclosure filing each time it is involved in an adversary\nproceeding throughout the case. The debtor also must file supplemental statements as changes in\nownership might arise.\nChanges Made After Publication and Comments. No changes since publication.\n[Subdivisions (c) and (f).] The rule is amended to add a requirement that a debtor submit a\nstatement setting out the debtor\'s social security number. The addition is necessary because of the\ncorresponding amendment to Rule 1005 which now provides that the caption of the petition\nincludes only the final four digits of the debtor\'s social security number. The debtor submits the\nstatement, but it is not filed, nor is it included in the case file. The statement provides the\ninformation necessary to include on the service copy of the notice required under Rule 2002(a)(1).\nIt will also provide the information to facilitate the ability of creditors to search the court record by\na search of a social security number already in the creditor\'s possession.\nChanges Made After Publication and Comments. The rule amendment is made in response\nto the extensive commentary that urged the Advisory Committee to continue the obligation\ncontained in current Rule 1005 that a debtor must include his or her social security number on the\ncaption of the bankruptcy petition. Rule 1005 is amended to limit that disclosure to the final four\ndigits of the social security number, and Rule 1007 is amended to reinstate the obligation in a\nmanner that will provide more protection of the debtor\'s privacy while continuing access to the\ninformation to those persons with legitimate need for that data. The debtor must disclose the\ninformation, but the method of disclosure is by a verified statement that is submitted to the clerk.\nThe statement is not filed in the case and does not become a part of the court record. Therefore, it\nenables the clerk to deliver that information to the creditors and the trustee in the case, but it does\nnot become a part of the court record governed by \xc2\xa7107 of the Bankruptcy Code and is not\navailable to the public.\nCommittee Notes on Rules\xe2\x80\x942005 Amendment\nNotice to creditors and other parties in interest is essential to the operation of the\nbankruptcy system. Sending notice requires a convenient listing of the names and addresses of the\nentities to whom notice must be sent, and virtually all of the bankruptcy courts have adopted a\nlocal rule requiring the submission of a list of these entities with the petition and in a particular\nformat. These lists are commonly called the "mailing matrix."\nGiven the universal adoption of these local rules, the need for such lists in all cases is\napparent. Consequently, the rule is amended to require the debtor to submit such a list at the\ncommencement of the case. This list may be amended when necessary. See Rule 1009(a).\nThe content of the list is described by reference to Schedules D through H of the Official\n36\n\n\x0cForms rather than by reference to creditors or persons holding claims. The cross reference to the\nSchedules as the source of the names for inclusion in the list ensures that persons such as codebtors\nor nondebtor parties to executory contracts and unexpired leases will receive appropriate notices in\nthe case.\nWhile this rule renders unnecessary, in part, local rules on the subject, this rule does not\ndirect any particular format or form for the list to take. Local rules still may govern those\nparticulars of the list.\nSubdivision (c) is amended to reflect that subdivision (a)(1) no longer requires the debtor\nto file a schedule of liabilities with the petition in lieu of a list of creditors. The filing of the list is\nmandatory, and subdivision (b) of the rule requires the filing of schedules. Thus, subdivision (c) no\nlonger needs to account for the possibility that the debtor can delay filing a schedule of liabilities\nwhen the petition is accompanied by a list of creditors. Subdivision (c) simply addresses the\nsituation in which the debtor does not file schedules or statements with the petition, and the\nprocedure for seeking an extension of time for filing.\nOther changes are stylistic.\nChanges Made After Publication and Comment. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe title of this rule is expanded to refer to "documents" in conformity with the 2005\namendments to \xc2\xa7521 and related provisions of the Bankruptcy Code that include a wider range of\ndocumentary requirements.\nSubdivision (a) is amended to require that any foreign representative filing a petition for\nrecognition to commence a case under chapter 15, which was added to the Code in 2005, file a list\nof entities with whom the debtor is engaged in litigation in the United States. The foreign\nrepresentative filing the petition for recognition must also list any entities against whom\nprovisional relief is being sought as well as all persons or bodies authorized to administer foreign\nproceedings of the debtor. This should ensure that entities most interested in the case, or their\nrepresentatives, will receive notice of the petition under Rule 2002(q).\nSubdivision (a)(4) is amended to require the foreign representative who files a petition for\nrecognition under chapter 15 to file the documents described in \xc2\xa71515 of the Code as well as a\ncorporate ownership statement. The subdivision is also amended to identify the foreign\nrepresentative in language that more closely follows the text of the Code. Former subdivision\n(a)(4) is renumbered as subdivision (a)(5) and stylistic changes were made to the subdivision.\nSubdivision (b)(1) addresses schedules, statements, and other documents that the debtor\nmust file unless the court orders otherwise and other than in a case under chapter 9. This\nsubdivision is amended to include documentary requirements added by the 2005 amendments to\n\xc2\xa7521 that apply to the same group of debtors and have the same time limits as the existing\nrequirements of (b)(1). Consistent with the E-Government Act of 2002, Pub. L. No. 107\xe2\x80\x93347, the\npayment advices should be redacted before they are filed.\nSubdivision (b)(2) is amended to conform to the renumbering of the subsections of \xc2\xa7521.\nSubdivisions (b)(3) through (b)(8) are new and implement the 2005 amendments to the\nCode. Subdivision (b)(3) provides for the filing of a document relating to the credit counseling\nrequirement provided by the 2005 amendments to \xc2\xa7109 in the context of an Official Form that\nwarns the debtor of the consequences of failing to comply with the credit counseling requirement.\nSubdivision (b)(4) addresses the filing of information about current monthly income, as\ndefined in \xc2\xa7101, for certain chapter 7 debtors and, if required, additional calculations of expenses\n37\n\n\x0crequired by the 2005 amendments to \xc2\xa7707(b).\nSubdivision (b)(5) addresses the filing of information about current monthly income, as\ndefined in \xc2\xa7101, for individual chapter 11 debtors. The 2005 amendments to \xc2\xa71129(a)(15)\ncondition plan confirmation for individual debtors on the commitment of disposable income, as\ndefined in \xc2\xa71325(b)(2), which is based on current monthly income.\nSubdivision (b)(6) addresses the filing of information about current monthly income, as\ndefined in \xc2\xa7101, for chapter 13 debtors and, if required, additional calculations of expenses. These\nchanges are necessary because the 2005 amendments to \xc2\xa71325 require that the determination of\ndisposable income begin with current monthly income.\nSubdivision (b)(7) reflects the 2005 amendments to \xc2\xa7\xc2\xa7727 and 1328 of the Code that\ncondition the receipt of a discharge on the completion of a personal financial management course,\nwith certain exceptions. Certain individual chapter 11 debtors may also be required to complete a\npersonal financial management course under \xc2\xa7727(a)(11) as incorporated by \xc2\xa71141(d)(3)(C). To\nevidence compliance with that requirement, the subdivision requires the debtor to file the\nappropriate Official Form certifying that the debtor has completed the personal financial\nmanagement course.\nSubdivision (b)(8) requires an individual debtor in a case under chapter 11, 12, or 13 to file\na statement that there are no reasonable grounds to believe that the restrictions on a homestead\nexemption as set out in \xc2\xa7522(q) of the Code are applicable. Sections 1141(d)(5)(C), 1228(f), and\n1328(h) each provide that the court shall not enter a discharge order unless it finds that there is no\nreasonable cause to believe that \xc2\xa7522(q) applies. Requiring the debtor to submit a statement to that\neffect in cases under chapters 11, 12, and 13 in which an exemption is claimed in excess of the\namount allowed under \xc2\xa7522(q)(1) provides the court with a basis to conclude, in the absence of\nany contrary information, that \xc2\xa7522(q) does not apply. Creditors receive notice under Rule\n2002(f)(11) of the time to request postponement of the entry of the discharge to permit an\nopportunity to challenge the debtor\'s assertions in the Rule 1007(b)(8) statement in appropriate\ncases.\nSubdivision (c) is amended to include time limits for the filing requirements added to\nsubdivision (b) due to the 2005 amendments to the Code, and to make conforming amendments.\nSeparate time limits are provided for the documentation of credit counseling and for the statement\nof the completion of the financial management course. While most documents relating to credit\ncounseling must be filed with the voluntary petition, the credit counseling certificate and debt\nrepayment plan can be filed within 15 days of the filing of a voluntary petition if the debtor files a\nstatement under subdivision (b)(3)(B) with the petition. Sections 727(a)(11), 1141(d)(3), and\n1328(g) of the Code require individual debtors to complete a personal financial management\ncourse prior to the entry of a discharge. The amendment allows the court to enlarge the deadline for\nthe debtor to file the statement of completion. Because no party is harmed by the enlargement, no\nspecific restriction is placed on the court\'s discretion to enlarge the deadline, even after its\nexpiration.\nSubdivision (c) of the rule is also amended to recognize the limitation on the extension of\ntime to file schedules and statements when the debtor is a small business debtor. Section 1116(3),\nadded to the Code in 2005, establishes a specific standard for courts to apply in the event that the\ndebtor in possession or the trustee seeks an extension for filing these forms for a period beyond 30\ndays after the order for relief.\nChanges Made After Publication. Subdivision (a)(4) was amended to insert the\nrequirement that the foreign representative who files the chapter 15 petition must file the corporate\n38\n\n\x0cownership statement. Subdivision (b)(4) was amended to provide that all individual debtors rather\nthan just those whose debts are primarily consumer debts must file the statement of current\nmonthly income. Subdivisions (b)(7) and (c) were amended to make the obligation to file a\nstatement of the completion of a personal financial management course applicable to certain\nindividual chapter 11 debtors as well as to individual debtors in chapters 7 and 13. Subdivision (c)\nis also amended to provide the court with broad discretion to enlarge the time to file the statement\nof completion of a personal financial management course. The Committee Note was amended to\nexplain these changes.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. Each deadline in the rule of\nfewer than 30 days is amended to substitute a deadline that is a multiple of seven days. Throughout\nthe rules, deadlines are amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nSubdivision (a)(2). Subdivision (a)(2) is amended to shorten the time for a debtor to file a\nlist of the creditors included on the various schedules filed or to be filed in the case. This list\nprovides the information necessary for the clerk to provide notice of the \xc2\xa7341meeting of creditors\nin a timely manner.\nSubdivision (c). Subdivision (c) is amended to provide additional time for individual\ndebtors in chapter 7 to file the statement of completion of a course in personal financial\nmanagement. This change is made in conjunction with an amendment to Rule 5009 requiring the\nclerk to provide notice to debtors of the consequences of not filing the statement in a timely\nmanner.\nChanges Made After Publication. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942012 Amendment\nSubdivision (c). In subdivision (c), the time limit for a debtor in an involuntary case to file\nthe list required by subdivision (a)(2) is deleted as unnecessary. Subdivision (a)(2) provides that\nthe list must be filed within seven days after the entry of the order for relief. The other change to\nsubdivision (c) is stylistic.\nCommittee Notes on Rules\xe2\x80\x942013 Amendment\nSubdivision (b)(7) is amended to relieve an individual debtor of the obligation to file a\nstatement of completion of a personal financial management course if the course provider notifies\nthe court that the debtor has completed the course. Course providers approved under \xc2\xa7111 of the\nCode may be permitted to file this notification electronically with the court immediately upon the\n39\n\n\x0cdebtor\'s completion of the course. If the provider does not notify the court, the debtor must file the\nstatement, prepared as prescribed by the appropriate Official Form, within the time period\nspecified by subdivision (c).\nChanges Made After Publication and Comment. No changes were made after publication\nand comment.\n1\nSo in original. Probably should be only one section symbol.\n\nRule 1008. Verification of Petitions and Accompanying Papers\nAll petitions, lists, schedules, statements and amendments thereto shall be verified or\ncontain an unsworn declaration as provided in 28 U.S.C. \xc2\xa71746.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule retains the requirement under the Bankruptcy Act and rules that petitions and\naccompanying papers must be verified. Only the original need be signed and verified, but the\ncopies must be conformed to the original. See Rule 9011(c).\nThe verification may be replaced by an unsworn declaration as provided in 28 U.S.C.\n\xc2\xa71746. See also, Official Form No. 1 and Advisory Committee Note.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe amendments to this rule are stylistic.\n\nRule 1009. Amendments of Voluntary Petitions, Lists, Schedules and\nStatements\n(a) General Right To Amend. A voluntary petition, list, schedule, or statement may be\namended by the debtor as a matter of course at any time before the case is closed. The debtor shall\ngive notice of the amendment to the trustee and to any entity affected thereby. On motion of a party\nin interest, after notice and a hearing, the court may order any voluntary petition, list, schedule, or\nstatement to be amended and the clerk shall give notice of the amendment to entities designated by\nthe court.\n(b) Statement of Intention. The statement of intention may be amended by the debtor at any\ntime before the expiration of the period provided in \xc2\xa7521(a) of the Code. The debtor shall give\nnotice of the amendment to the trustee and to any entity affected thereby.\n(c) Statement of Social Security Number. If a debtor becomes aware that the statement of\nsocial security number submitted under Rule 1007(f) is incorrect, the debtor shall promptly submit\nan amended verified statement setting forth the correct social security number. The debtor shall\ngive notice of the amendment to all of the entities required to be included on the list filed under\nRule 1007(a)(1) or (a)(2).\n(d) Transmission to United States Trustee. The clerk shall promptly transmit to the United\nStates trustee a copy of every amendment filed or submitted under subdivision (a), (b), or (c) of\nthis rule.\n40\n\n\x0c(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 12,\n2006, eff. Dec. 1, 2006; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule continues the permissive approach adopted by former Bankruptcy Rule 110 to\namendments of voluntary petitions and accompanying papers. Notice of any amendment is\nrequired to be given to the trustee. This is particularly important with respect to any amendment of\nthe schedule of property affecting the debtor\'s claim of exemptions. Notice of any amendment of\nthe schedule of liabilities is to be given to any creditor whose claim is changed or newly listed.\nThe rule does not continue the provision permitting the court to order an amendment on its\nown initiative. Absent a request in some form by a party in interest, the court should not be\ninvolved in administrative matters affecting the estate.\nIf a list or schedule is amended to include an additional creditor, the effect on the\ndischargeability of the creditor\'s claim is governed by the provisions of \xc2\xa7523(a)(3) of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended to require notice and a hearing in the event a party in interest\nother than the debtor seeks to amend. The number of copies of the amendment will be determined\nby local rule of court.\nSubdivision (b) is added to treat amendments of the statement of intention separately from\nother amendments. The intention of the individual debtor must be performed within 45 days of the\nfiling of the statement, unless the court extends the period. Subdivision (b) limits the time for\namendment to the time for performance under \xc2\xa7521(2)(B) of the Code or any extension granted by\nthe court.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe amendments to subdivision (a) are stylistic.\nSubdivision (c) is derived from Rule X\xe2\x80\x931002(a) and is designed to provide the United\nStates trustee with current information to enable that office to participate effectively in the case.\nCommittee Notes on Rules\xe2\x80\x942006 Amendment\nSubdivision (c). Rule 2002(a)(1) provides that the notice of the \xc2\xa7341 meeting of creditors\ninclude the debtor\'s social security number. It provides creditors with the full number while\nlimiting publication of the social security number otherwise to the final four digits of the number to\nprotect the debtor\'s identity from others who do not have the same need for that information. If,\nhowever, the social security number that the debtor submitted under Rule 1007(f) is incorrect, then\nthe only notice to the entities contained on the list filed under Rule 1007(a)(1) or (a)(2) would be\nincorrect. This amendment adds a new subdivision (c) that directs the debtor to submit a verified\namended statement of social security number and to give notice of the new statement to all entities\nin the case who received the notice containing the erroneous social security number.\nSubdivision (d). Former subdivision (c) becomes subdivision (d) and is amended to include\nnew subdivision (c) amendments in the list of documents that the clerk must transmit to the United\nStates trustee.\n41\n\n\x0cOther amendments are stylistic.\nChanges Made After Publication. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (b) is amended to conform to the 2005 amendments to \xc2\xa7521 of the Code.\nChanges Made After Publication. No changes were made after publication.\n\nRule 1010. Service of Involuntary Petition and Summons; Petition For\nRecognition of a Foreign Nonmain Proceeding\n(a) Service of Involuntary Petition and Summons; Service of Petition for Recognition of\nForeign Nonmain Proceeding. On the filing of an involuntary petition or a petition for recognition\nof a foreign nonmain proceeding, the clerk shall forthwith issue a summons for service. When an\ninvoluntary petition is filed, service shall be made on the debtor. When a petition for recognition of\na foreign nonmain proceeding is filed, service shall be made on the debtor, any entity against\nwhom provisional relief is sought under \xc2\xa71519 of the Code, and on any other party as the court\nmay direct. The summons shall be served with a copy of the petition in the manner provided for\nservice of a summons and complaint by Rule 7004(a) or (b). If service cannot be so made, the court\nmay order that the summons and petition be served by mailing copies to the party\'s last known\naddress, and by at least one publication in a manner and form directed by the court. The summons\nand petition may be served on the party anywhere. Rule 7004(e) and Rule 4(l) F.R.Civ.P. apply\nwhen service is made or attempted under this rule.\n(b) Corporate Ownership Statement. Each petitioner that is a corporation shall file with the\ninvoluntary petition a corporate ownership statement containing the information described in Rule\n7007.1.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule provides the procedure for service of the involuntary petition and summons. It\ndoes not deal with service of a summons and complaint instituting an adversary proceeding\npursuant to Part VII.\nWhile this rule is similar to former Bankruptcy Rule 111, it substitutes the clerk of the\nbankruptcy court for the clerk of the district court as the person who is to issue the summons.\nThe modes of service prescribed by the rule are personal or by mail, when service can be\neffected in one of these ways in the United States. Such service is to be made in the manner\nprescribed in adversary proceedings by Rule 7004(a) and (b). If service must be made in a foreign\ncountry, the mode of service is one of that set forth in Rule 4(i) F.R.Civ.P.\nWhen the methods set out in Rule 7004(a) and (b) cannot be utilized, service by publication\ncoupled with mailing to the last known address is authorized. Cf. Rule 7004(c). The court\ndetermines the form and manner of publication as provided in Rule 9007. The publication need not\nset out the petition or the order directing service by publication. In order to apprise the debtor\nfairly, however, the publication should include all the information required to be in the summons\nby Official Form No. 13 and a notice indicating how service is being effected and how a copy of\n42\n\n\x0cthe petition may be obtained.\nThere are no territorial limits on the service authorized by this rule, which continues the\npractice under the former rules and Act. There must, however, be a basis for jurisdiction pursuant\nto \xc2\xa7109(a) of the Code for the court to order relief. Venue provisions are set forth in 28 U.S.C.\n\xc2\xa71472.\nSubdivision (f) of Rule 7004 and subdivisions (g) and (h) of Rule 4 F.R.Civ.P. govern time\nand proof of service and amendment of process or of proof of service.\nRule 1004 provides for transmission to nonpetitioning partners of a petition filed against\nthe partnership by fewer than all the general partners.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe rule has been broadened to include service of a petition commencing a case ancillary to\na foreign proceeding, previously included in Rule 1003(e)(2).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nReference to the Official Form number is deleted in anticipation of future revision and\nrenumbering of the Official Forms.\nRule 4(g) and (h) F.R.Civ.P. made applicable by this rule refers to Rule 4(g) and (h)\nF.R.Civ.P. in effect on January 1, 1990, notwithstanding any subsequent amendment thereto. See\nRule 7004(g).\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nThis rule is amended to delete the reference to the Official Form. The Official Form for the\nsummons was abrogated in 1991. Other amendments are stylistic and make no substantive change.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nThe amendments to this rule are technical, are promulgated solely to conform to changes in\nsubdivision designations in Rule 4, F.R.Civ.P., and in Rule 7004, and are not intended to effectuate\nany material change in substance.\nIn 1996, the letter designation of subdivision (f) of Rule 7004 (Summons; Time Limit for\nService) was changed to subdivision (e). In 1993, the provisions of Rule 4, F.R.Civ.P., relating to\nproof of service contained in Rule 4(g) (Return) and Rule 4(h) (Amendments), were placed in the\nnew subdivision (l) of Rule 4 (Proof of Service). The technical amendments to Rule 1010 are\ndesigned solely to conform to these new subdivision designations.\nThe 1996 amendments to Rule 7004 and the 1993 amendments to Rule 4, F.R.Civ.P., have\nnot affected the availability of service by first class mail in accordance with Rule 7004(b) for the\nservice of a summons and petition in an involuntary case commenced under \xc2\xa7303 or an ancillary\ncase commenced under \xc2\xa7304 of the Code.\nGAP Report on Rule 1010. These amendments, which are technical and conforming, were\nnot published for comment.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\n\n43\n\n\x0cThis rule is amended to implement the 2005 amendments to the Code, which repealed \xc2\xa7304\nand replaced it with chapter 15 governing ancillary and other cross-border cases. Under chapter\n15, a foreign representative commences a case by filing a petition for recognition of a pending\nforeign nonmain proceeding. The amendment requires service of the summons and petition on the\ndebtor and any entity against whom the representative is seeking provisional relief. Until the court\nenters a recognition order under \xc2\xa71517, no stay is in effect unless the court enters some form of\nprovisional relief under \xc2\xa71519. Thus, only those entities against whom specific provisional relief is\nsought need to be served. The court may, however, direct that service be made on additional\nentities as appropriate.\nThis rule does not apply to a petition for recognition of a foreign main proceeding.\nThe rule is also amended by renumbering the prior rule as subdivision (a) and adding a new\nsubdivision (b) requiring any corporate creditor that files or joins an involuntary petition to file a\ncorporate ownership statement.\nChanges Made After Publication. No changes were made after publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subd. (a), are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 1011. Responsive Pleading or Motion in Involuntary and Cross-Border\nCases\n(a) Who May Contest Petition. The debtor named in an involuntary petition, or a party in\ninterest to a petition for recognition of a foreign proceeding, may contest the petition. In the case of\na petition against a partnership under Rule 1004, a nonpetitioning general partner, or a person who\nis alleged to be a general partner but denies the allegation, may contest the petition.\n(b) Defenses and Objections; When Presented. Defenses and objections to the petition shall\nbe presented in the manner prescribed by Rule 12 F.R.Civ.P. and shall be filed and served within\n21 days after service of the summons, except that if service is made by publication on a party or\npartner not residing or found within the state in which the court sits, the court shall prescribe the\ntime for filing and serving the response.\n(c) Effect of Motion. Service of a motion under Rule 12(b) F.R.Civ.P. shall extend the time\nfor filing and serving a responsive pleading as permitted by Rule 12(a) F.R.Civ.P.\n(d) Claims Against Petitioners. A claim against a petitioning creditor may not be asserted\nin the answer except for the purpose of defeating the petition.\n(e) Other Pleadings. No other pleadings shall be permitted, except that the court may order\na reply to an answer and prescribe the time for filing and service.\n(f) Corporate Ownership Statement. If the entity responding to the involuntary petition or\nthe petition for recognition of a foreign proceeding is a corporation, the entity shall file with its\nfirst appearance, pleading, motion, response, or other request addressed to the court a corporate\nownership statement containing the information described in Rule 7007.1.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 26, 2004, eff. Dec. 1, 2004; Apr. 23,\n2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n44\n\n\x0cThis rule is derived from former Bankruptcy Rule 112. A petition filed by fewer than all\nthe general partners under Rule 1004(b) to have an order for relief entered with respect to the\npartnership is referred to as a petition against the partnership because of the adversary character of\nthe proceeding it commences. Cf. \xc2\xa7303(b)(3) of the Code; 2 Collier Bankruptcy 303.05[5][a] (15th\ned. 1981); 2 id. 18.33[2], 18.46 (14th ed. 1966). One who denies an allegation of membership in\nthe firm is nevertheless recognized as a party entitled to contest a petition filed against a\npartnership under subdivision (b) of Rule 1004 in view of the possible consequences to him of an\norder for relief against the entity alleged to include him as a member. See \xc2\xa7723 of the Code;\nFrancis v. McNeal, 228 U.S. 695 (1913); Manson v. Williams, 213 U.S. 453 (1909); Carter v.\nWhisler, 275 Fed. 743, 746\xe2\x80\x93747 (8th Cir. 1921). The rule preserves the features of the former Act\nand Rule 112 and the Code permitting no response by creditors to an involuntary petition or\npetition against a partnership under Rule 1004(b).\nSubdivision (b): Rule 12 F.R.Civ.P. has been looked to by the courts as prescribing the\nmode of making a defense or objection to a petition in bankruptcy. See Fada of New York, Inc. v.\nOrganization Service Co., Inc., 125 F.2d 120. (2d Cir. 1942); In the Matter of McDougald, 17\nF.R.D. 2, 5 (W.D. Ark. 1955); In the Matter of Miller, 6 Fed. Rules Serv. 12f.26, Case No. 1 (N.D.\nOhio 1942); Tatum v. Acadian Production Corp. of La., 35 F. Supp. 40, 50 (E.D. La. 1940); 2\nCollier, supra 303.07 (15th ed. 1981); 2 id. at 134\xe2\x80\x9340 (14th ed. 1966). As pointed out in the Note\naccompanying former Bankruptcy Rule 915 an objection that a debtor is neither entitled to the\nbenefits of the Code nor amenable to an involuntary petition goes to jurisdiction of the subject\nmatter and may be made at any time consistent with Rule 12(h)(3) F.R.Civ.P. Nothing in this rule\nrecognizes standing in a creditor or any other person not authorized to contest a petition to raise an\nobjection that a person eligible to file a voluntary petition cannot be the subject of an order for\nrelief on an involuntary petition. See Seligson & King, Jurisdiction and Venue in Bankruptcy, 36\nRef.J. 36, 38\xe2\x80\x9340 (1962).\nAs Collier has pointed out with respect to the Bankruptcy Act, "the mechanics of the\nprovisions in \xc2\xa718a and b relating to time for appearance and pleading are unnecessarily confusing.\n. . . It would seem, though, to be more straightforward to provide, as does Federal Rule 12(a), that\nthe time to respond runs from the date of service rather than the date of issuance of process." 2\nCollier, supra at 119. The time normally allowed for the service and filing of an answer or motion\nunder Rule 1011 runs from the date of the issuance of the summons. Compare Rule 7012. Service\nof the summons and petition will ordinarily be made by mail under Rule 1010 and must be made\nwithin 10 days of the issuance of the summons under Rule 7004(e), which governs the time of\nservice. When service is made by publication, the court should fix the time for service and filing of\nthe response in the light of all the circumstances so as to afford a fair opportunity to the debtor to\nenter a defense or objection without unduly delaying the hearing on the petition. Cf. Rule 12(a)\nF.R.Civ.P.\nSubdivision (c): Under subdivision (c), the timely service of a motion permitted by Rule\n12(b), (e), (f), or (h) F.R.Civ.P. alters the time within which an answer must be filed. If the court\ndenies a motion or postpones its disposition until trial on the merits, the answer must be served\nwithin 10 days after notice of the court\'s action. If the court grants a motion for a more definite\nstatement, the answer may be served any time within 10 days after the service of the more definite\nstatement.\nMany of the rules governing adversary proceedings apply to proceedings on a contested\npetition unless the court otherwise directs as provided in Rule 1018. The specific provisions of this\nRule 1011 or 7005, however, govern the filing of an answer or motion responsive to a petition. The\n45\n\n\x0crules of Part VII are adaptations of the corresponding Federal Rules of Civil Procedure, and the\neffect of Rule 1018 is thus to make the provisions of Civil Rules 5, 8, 9, 15, and 56, inter alia,\ngenerally applicable to the making of defenses and objections to the petition. Rule 1018 follows\nprior law and practice in this respect. See 2 Collier, Bankruptcy 18.39\xe2\x80\x9318.41 (14th ed. 1966).\nSubdivision (d). This subdivision adopts the position taken in many cases that an\naffirmative judgment against a petitioning creditor cannot be sought by a counterclaim filed in an\nanswer to an involuntary petition. See, e.g., Georgia Jewelers, Inc. v. Bulova Watch Co., 302 F.2d\n362, 369\xe2\x80\x9370 (5th Cir. 1962); Associated Electronic Supply Co. of Omaha v. C.B.S. Electronic\nSales Corp., 288 F.2d 683, 684\xe2\x80\x9385 (8th Cir. 1961). The subdivision follows Harris v.\nCapehart-Farnsworth Corp., 225 F.2d 268 (8th Cir. 1955), in permitting the debtor to challenge\nthe standing of a petitioner by filing a counterclaim against him. It does not foreclose the court\nfrom rejecting a counterclaim that cannot be determined without unduly delaying the decision\nupon the petition. See In the Matter of Bichel Optical Laboratories, Inc., 299 F. Supp. 545 (D.\nMinn. 1969).\nSubdivision (e). This subdivision makes it clear that no reply needs to be made to an\nanswer, including one asserting a counterclaim, unless the court orders otherwise.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe rule has been broadened to make applicable in ancillary cases the provisions\nconcerning responsive pleadings to involuntary petitions.\nCommittee Notes on Rules\xe2\x80\x942004 Amendment\nThe amendment to Rule 1004 that became effective on December 1, 2002, deleted former\nsubdivision (a) of that rule leaving only the provisions relating to involuntary petitions against\npartnerships. The rule no longer includes subdivisions. Therefore, this technical amendment\nchanges the reference to Rule 1004(b) to Rule 1004.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to reflect the 2005 amendments to the Code, which repealed \xc2\xa7304 and\nadded chapter 15. Section 304 covered cases ancillary to foreign proceedings, while chapter 15\ngoverns ancillary and other cross-border cases and introduces the concept of a petition for\nrecognition of a foreign proceeding.\nThe rule is also amended in tandem with the amendment to Rule 1010 to require the parties\nresponding to an involuntary petition and a petition for recognition of a foreign proceeding to file\ncorporate ownership statements to assist the court in determining whether recusal is necessary.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n46\n\n\x0c\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nChanges Made After Publication. No changes were made after publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subds. (b) and (c), are set out in the\nAppendix to Title 28, Judiciary and Judicial Procedure.\n\n[Rule 1012. Examination of Debtor, Including Discovery, on Issue of\nNonpayment of Debts in Involuntary Cases.] (Abrogated Mar. 30, 1987, eff.\nAug. 1, 1987)\nNotes of Advisory Committee on Rules\xe2\x80\x941987\n\nThis rule is abrogated. The discovery rules apply whenever an involuntary petition is\ncontested. Rule 1018.\n\nRule 1013. Hearing and Disposition of a Petition in an Involuntary Case\n(a) Contested Petition. The court shall determine the issues of a contested petition at the\nearliest practicable time and forthwith enter an order for relief, dismiss the petition, or enter any\nother appropriate order.\n(b) Default. If no pleading or other defense to a petition is filed within the time provided by\nRule 1011, the court, on the next day, or as soon thereafter as practicable, shall enter an order for\nthe relief requested in the petition.\n[(c) Order for Relief] (Abrogated Apr. 22, 1993, eff. Aug. 1, 1993)\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Bankruptcy Rule 115(a) and (c) and applies in chapter 7\nand 11 cases. The right to trial by jury under \xc2\xa719a of the Bankruptcy Act has been abrogated and\nthe availability of a trial by jury is within the discretion of the bankruptcy judge pursuant to 28\nU.S.C. \xc2\xa71480(b). Rule 9015 governs the demand for a jury trial.\nSubdivision (b) of Rule 1013 is derived from former Bankruptcy Rule 115(c) and \xc2\xa718(e) of\nthe Bankruptcy Act. If an order for relief is not entered on default, dismissal will ordinarily be\nappropriate but the court may postpone definitive action. See also Rule 9024 with respect to setting\naside an order for relief on default for cause.\nSubdivision (e) of former Bankruptcy Rule 115 has not been carried over because its\nprovisions are covered by \xc2\xa7303(i) of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n\n47\n\n\x0cReference to the Official Form number is deleted in anticipation of future revision and\nrenumbering of the Official Forms.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nSubdivision (c) is abrogated because the official form for the order for relief was abrogated\nin 1991. Other amendments are stylistic and make no substantive change.\n\nRule 1014. Dismissal and Change of Venue\n(a) Dismissal and Transfer of Cases.\n(1) Cases Filed in Proper District. If a petition is filed in the proper district, the court, on\nthe timely motion of a party in interest or on its own motion, and after hearing on notice to the\npetitioners, the United States trustee, and other entities as directed by the court, may transfer the\ncase to any other district if the court determines that the transfer is in the interest of justice or for\nthe convenience of the parties.\n(2) Cases Filed in Improper District. If a petition is filed in an improper district, the court,\non the timely motion of a party in interest or on its own motion, and after hearing on notice to the\npetitioners, the United States trustee, and other entities as directed by the court, may dismiss the\ncase or transfer it to any other district if the court determines that transfer is in the interest of justice\nor for the convenience of the parties.\n(b) Procedure When Petitions Involving the Same Debtor or Related Debtors Are Filed in\nDifferent Courts. If petitions commencing cases under the Code or seeking recognition under\nchapter 15 are filed in different districts by, regarding, or against (1) the same debtor, (2) a\npartnership and one or more of its general partners, (3) two or more general partners, or (4) a\ndebtor and an affiliate, on motion filed in the district in which the petition filed first is pending and\nafter hearing on notice to the petitioners, the United States trustee, and other entities as directed by\nthe court, the court may determine, in the interest of justice or for the convenience of the parties,\nthe district or districts in which the case or cases should proceed. Except as otherwise ordered by\nthe court in the district in which the petition filed first is pending, the proceedings on the other\npetitions shall be stayed by the courts in which they have been filed until the determination is\nmade.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 30,\n2007, eff. Dec. 1, 2007; Apr. 28, 2010, eff. Dec. 1, 2010.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 116 which contained venue as well as\ntransfer provisions. Public Law 95\xe2\x80\x93598, however, placed the venue provisions in 28 U.S.C. \xc2\xa71472,\nand no purpose is served by repeating them in this rule. Transfer of cases is provided in 28 U.S.C.\n\xc2\xa71475 but this rule adds the procedure for obtaining transfer. Pursuant to 28 U.S.C. \xc2\xa71472, proper\nvenue for cases filed under the Code is either the district of domicile, residence, principal place of\nbusiness, or location of principal assets for 180 days or the longer portion thereof immediately\npreceding the petition. 28 U.S.C. \xc2\xa71475 permits the court to transfer a case in the interest of justice\nand for the convenience of the parties. If the venue is improper, the court may retain or transfer the\n48\n\n\x0ccase in the interest of justice and for the convenience of the parties pursuant to 28 U.S.C. \xc2\xa71477.\nSubdivision (a) of the rule is derived from former Bankruptcy Rule 116(b). It implements\n28 U.S.C. \xc2\xa7\xc2\xa71475 and 1477 and clarifies the procedure to be followed in requesting and effecting\ntransfer of a case. Subdivision (a) protects the parties against being subjected to a transfer except\non a timely motion of a party in interest. If the transfer would result in fragmentation or duplication\nof administration, increase expense, or delay closing the estate, such a factor would bear on the\ntimeliness of the motion as well as on the propriety of the transfer under the standards prescribed in\nsubdivision (a). Subdivision (a) of the rule requires the interest of justice and the convenience of\nthe parties to be the grounds of any transfer of a case or of the retention of a case filed in an\nimproper district as does 28 U.S.C. \xc2\xa71477. Cf. 28 U.S.C. \xc2\xa71404(a) (district court may transfer any\ncivil action "[f]or the convenience of parties and witnesses, in the interest of justice"). It also\nexpressly requires a hearing on notice to the petitioner or petitioners before the transfer of any case\nmay be ordered. Under this rule, a motion by a party in interest is necessary. There is no provision\nfor the court to act on its own initiative.\nSubdivision (b) is derived from former Bankruptcy Rule 116(c). It authorizes the court in\nwhich the first petition is filed under the Code by or against a debtor to entertain a motion seeking\na determination whether the case so commenced should continue or be transferred and\nconsolidated or administered jointly with another case commenced by or against the same or\nrelated person in another court under a different chapter of the Code. Subdivision (b) is correlated\nwith 28 U.S.C. \xc2\xa71472 which authorizes petitioners to file cases involving a partnership and\npartners or affiliated debtors.\nThe reference in subdivision (b) to petitions filed "by" a partner or "by" any other of the\npersons mentioned is to be understood as referring to voluntary petitions. It is not the purpose of\nthis subdivision to permit more than one case to be filed in the same court because a creditor\nsigning an involuntary petition happens to be a partner, a partnership, or an affiliate of a debtor.\nTransfers of adversary proceedings in cases under title 11 are governed by Rule 7087 and\n28 U.S.C. \xc2\xa71475.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nBoth paragraphs 1 and 2 of subdivision (a) are amended to conform to the standard for\ntransfer in 28 U.S.C. \xc2\xa71412. Formerly, 28 U.S.C. \xc2\xa71477 authorized a court either to transfer or\nretain a case which had been commenced in a district where venue was improper. However, 28\nU.S.C. \xc2\xa71412, which supersedes 28 U.S.C. \xc2\xa71477, authorizes only the transfer of a case. The rule\nis amended to delete the reference to retention of a case commenced in the improper district.\nDismissal of a case commenced in the improper district as authorized by 28 U.S.C. \xc2\xa71406 has been\nadded to the rule. If a timely motion to dismiss for improper venue is not filed, the right to object to\nvenue is waived.\nThe last sentence of the rule has been deleted as unnecessary.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (b) is amended to provide that a motion for transfer of venue under this\nsubdivision shall be filed in the district in which the first petition is pending. If the case\ncommenced by the first petition has been transferred to another district prior to the filing of a\nmotion to transfer a related case under this subdivision, the motion must be filed in the district to\nwhich the first petition had been transferred.\n49\n\n\x0cThe other amendments to this rule are consistent with the responsibilities of the United\nStates trustee in the supervision and administration of cases pursuant to 28 U.S.C. \xc2\xa7586(a)(3). The\nUnited States trustee may appear and be heard on issues relating to the transfer of the case or\ndismissal due to improper venue. See \xc2\xa7307 of the Code.\nCommittee Notes on Rules\xe2\x80\x942007 Amendment\nCourts have generally held that they have the authority to dismiss or transfer cases on their\nown motion. The amendment recognizes this authority and also provides that dismissal or transfer\nof the case may take place only after notice and a hearing.\nOther amendments are stylistic.\nChanges Made After Publication. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nSubdivision (b). Subdivision (b) of the rule is amended to provide that petitions for\nrecognition of a foreign proceeding are included among those that are governed by the procedure\nfor determining where cases should go forward when multiple petitions involving the same debtor\nare filed. The amendment adds a specific reference to chapter 15 petitions and also provides that\nthe rule governs proceedings regarding a debtor as well as those that are filed by or against a\ndebtor.\nOther changes are stylistic.\nChanges Made After Publication. No changes since publication.\n\nRule 1015. Consolidation or Joint Administration of Cases Pending in Same\nCourt\n(a) Cases Involving Same Debtor. If two or more petitions by, regarding, or against the\nsame debtor are pending in the same court, the court may order consolidation of the cases.\n(b) Cases Involving Two or More Related Debtors. If a joint petition or two or more\npetitions are pending in the same court by or against (1) a husband and wife, or (2) a partnership\nand one or more of its general partners, or (3) two or more general partners, or (4) a debtor and an\naffiliate, the court may order a joint administration of the estates. Prior to entering an order the\ncourt shall give consideration to protecting creditors of different estates against potential conflicts\nof interest. An order directing joint administration of individual cases of a husband and wife shall,\nif one spouse has elected the exemptions under \xc2\xa7522(b)(2) of the Code and the other has elected\nthe exemptions under \xc2\xa7522(b)(3), fix a reasonable time within which either may amend the\nelection so that both shall have elected the same exemptions. The order shall notify the debtors that\nunless they elect the same exemptions within the time fixed by the court, they will be deemed to\nhave elected the exemptions provided by \xc2\xa7522(b)(2).\n(c) Expediting and Protective Orders. When an order for consolidation or joint\nadministration of a joint case or two or more cases is entered pursuant to this rule, while protecting\nthe rights of the parties under the Code, the court may enter orders as may tend to avoid\nunnecessary costs and delay.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 1, 2008; Apr. 28,\n2010, eff. Dec. 1, 2010.)\n50\n\n\x0cNotes of Advisory Committee on Rules\xe2\x80\x941983\n\nSubdivision (a) of this rule is derived from former Bankruptcy Rule 117(a). It applies to\ncases when the same debtor is named in both voluntary and involuntary petitions, when husband\nand wife have filed a joint petition pursuant to \xc2\xa7302 of the Code, and when two or more\ninvoluntary petitions are filed against the same debtor. It also applies when cases are pending in\nthe same court by virtue of a transfer of one or more petitions from another court. Subdivision (c)\nallows the court discretion regarding the order of trial of issues raised by two or more involuntary\npetitions against the same debtor.\nSubdivision (b) recognizes the propriety of joint administration of estates in certain kinds\nof cases. The election or appointment of one trustee for two or more jointly administered estates is\nauthorized by Rule 2009. The authority of the court to order joint administration under subdivision\n(b) extends equally to the situation when the petitions are filed under different sections, e.g., when\none petition is voluntary and the other involuntary, and when all of the petitions are filed under the\nsame section of the Code.\nConsolidation of cases implies a unitary administration of the estate and will ordinarily be\nindicated under the circumstances to which subdivision (a) applies. This rule does not deal with the\nconsolidation of cases involving two or more separate debtors. Consolidation of the estates of\nseparate debtors may sometimes be appropriate, as when the affairs of an individual and a\ncorporation owned or controlled by that individual are so intermingled that the court cannot\nseparate their assets and liabilities. Consolidation, as distinguished from joint administration, is\nneither authorized nor prohibited by this rule since the propriety of consolidation depends on\nsubstantive considerations and affects the substantive rights of the creditors of the different estates.\nFor illustrations of the substantive consolidation of separate estates, see Sampsell v. Imperial\nPaper & Color Corp., 313 U.S. 215 (1941). See also Chemical Bank N.Y. Trust Co. v. Kheel, 369\nF.2d 845 (2d Cir. 1966); Seligson & Mandell, Multi-Debtor Petition\xe2\x80\x94Consolidation of Debtors\nand Due Process of Law, 73 Com.L.J. 341 (1968); Kennedy, Insolvency and the Corporate Veil in\nthe United States in Proceedings of the 8th International Symposium on Comparative Law 232,\n248\xe2\x80\x9355 (1971).\nJoint administration as distinguished from consolidation may include combining the\nestates by using a single docket for the matters occurring in the administration, including the\nlisting of filed claims, the combining of notices to creditors of the different estates, and the joint\nhandling of other purely administrative matters that may aid in expediting the cases and rendering\nthe process less costly.\nSubdivision (c) is an adaptation of the provisions of Rule 42(a) F.R.Civ.P. for the purposes\nof administration of estates under this rule. The rule does not deal with filing fees when an order\nfor the consolidation of cases or joint administration of estates is made.\nA joint petition of husband and wife, requiring the payment of a single filing fee, is\npermitted by \xc2\xa7302 of the Code. Consolidation of such a case, however, rests in the discretion of the\ncourt; see \xc2\xa7302(b) of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe amendment to subdivision (b) implements the provisions of \xc2\xa7522(b) of the Code, as\nenacted by the 1984 amendments.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\n51\n\n\x0cThe rule is amended to conform to the change in the numbering of \xc2\xa7522(b) of the Code that\nwas made as a part of the 2005 amendments. Former subsections (b)(1) and (b)(2) of \xc2\xa7522 were\nrenumbered as subsections (b)(2) and (b)(3), respectively. The rule is amended to make the\nparallel change.\nChanges Made After Publication. No changes were made after publication.\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nSubdivision (a). By amending subdivision (a) to include cases regarding the same debtor,\nthe rule explicitly recognizes that the court\'s authority to consolidate cases when more than one\npetition is filed includes the authority to consolidate cases when one or more of the petitions is\nfiled under chapter 15. This amendment is made in conjunction with the amendment to Rule\n1014(b), which also governs petitions filed under chapter 15 regarding the same debtor as well as\nthose filed by or against the debtor.\nChanges Made After Publication. No changes since publication.\n\nRule 1016. Death or Incompetency of Debtor\nDeath or incompetency of the debtor shall not abate a liquidation case under chapter 7 of\nthe Code. In such event the estate shall be administered and the case concluded in the same\nmanner, so far as possible, as though the death or incompetency had not occurred. If a\nreorganization, family farmer\'s debt adjustment, or individual\'s debt adjustment case is pending\nunder chapter 11, chapter 12, or chapter 13, the case may be dismissed; or if further administration\nis possible and in the best interest of the parties, the case may proceed and be concluded in the\nsame manner, so far as possible, as though the death or incompetency had not occurred.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Rules 118 and 11\xe2\x80\x9316. In a chapter 11 reorganization case\nor chapter 13 individual\'s debt adjustment case, the likelihood is that the case will be dismissed.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to conform to 25 F.R.Civ.P. and to include chapter 12 cases.\n\nRule 1017. Dismissal or Conversion of Case; Suspension\n(a) Voluntary Dismissal; Dismissal for Want of Prosecution or Other Cause. Except as\nprovided in \xc2\xa7\xc2\xa7707(a)(3), 707(b), 1208(b), and 1307(b) of the Code, and in Rule 1017(b), (c), and\n(e), a case shall not be dismissed on motion of the petitioner, for want of prosecution or other\ncause, or by consent of the parties, before a hearing on notice as provided in Rule 2002. For the\npurpose of the notice, the debtor shall file a list of creditors with their addresses within the time\nfixed by the court unless the list was previously filed. If the debtor fails to file the list, the court\n52\n\n\x0cmay order the debtor or another entity to prepare and file it.\n(b) Dismissal for Failure To Pay Filing Fee.\n(1) If any installment of the filing fee has not been paid, the court may, after a hearing on\nnotice to the debtor and the trustee, dismiss the case.\n(2) If the case is dismissed or closed without full payment of the filing fee, the installments\ncollected shall be distributed in the same manner and proportions as if the filing fee had been paid\nin full.\n(c) Dismissal of Voluntary Chapter 7 or Chapter 13 Case for Failure To Timely File List of\nCreditors, Schedules, and Statement of Financial Affairs. The court may dismiss a voluntary\nchapter 7 or chapter 13 case under \xc2\xa7707(a)(3) or \xc2\xa71307(c)(9) after a hearing on notice served by\nthe United States trustee on the debtor, the trustee, and any other entities as the court directs.\n(d) Suspension. The court shall not dismiss a case or suspend proceedings under \xc2\xa7305\nbefore a hearing on notice as provided in Rule 2002(a).\n(e) Dismissal of an Individual Debtor\'s Chapter 7 Case, or Conversion to a Case Under\nChapter 11 or 13, for Abuse. The court may dismiss or, with the debtor\'s consent, convert an\nindividual debtor\'s case for abuse under \xc2\xa7707(b) only on motion and after a hearing on notice to the\ndebtor, the trustee, the United States trustee, and any other entity as the court directs.\n(1) Except as otherwise provided in \xc2\xa7704(b)(2), a motion to dismiss a case for abuse under\n\xc2\xa7707(b) or (c) may be filed only within 60 days after the first date set for the meeting of creditors\nunder \xc2\xa7341(a), unless, on request filed before the time has expired, the court for cause extends the\ntime for filing the motion to dismiss. The party filing the motion shall set forth in the motion all\nmatters to be considered at the hearing. In addition, a motion to dismiss under \xc2\xa7707(b)(1) and (3)\nshall state with particularity the circumstances alleged to constitute abuse.\n(2) If the hearing is set on the court\'s own motion, notice of the hearing shall be served on\nthe debtor no later than 60 days after the first date set for the meeting of creditors under \xc2\xa7341(a).\nThe notice shall set forth all matters to be considered by the court at the hearing.\n(f) Procedure for Dismissal, Conversion, or Suspension.\n(1) Rule 9014 governs a proceeding to dismiss or suspend a case, or to convert a case to\nanother chapter, except under \xc2\xa7\xc2\xa7706(a), 1112(a), 1208(a) or (b), or 1307(a) or (b).\n(2) Conversion or dismissal under \xc2\xa7\xc2\xa7706(a), 1112(a), 1208(b), or 1307(b) shall be on\nmotion filed and served as required by Rule 9013.\n(3) A chapter 12 or chapter 13 case shall be converted without court order when the debtor\nfiles a notice of conversion under \xc2\xa7\xc2\xa71208(a) or 1307(a). The filing date of the notice becomes the\ndate of the conversion order for the purposes of applying \xc2\xa7348(c) and Rule 1019. The clerk shall\npromptly transmit a copy of the notice to the United States trustee.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23,\n2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) of this rule is derived from former Bankruptcy Rule 120(a). While the rule\napplies to voluntary and involuntary cases, the "consent of the parties" referred to is that of\npetitioning creditors and the debtor in an involuntary case. The last sentence recognizes that the\ncourt should not be confined to petitioning creditors in its choice of parties on whom to call for\n53\n\n\x0cassistance in preparing the list of creditors when the debtor fails to do so. This subdivision\nimplements \xc2\xa7\xc2\xa7303(j), 707, 1112 and 1307 of the Code by specifying the manner of and persons to\nwhom notice shall be given and requiring the court to hold a hearing on the issue of dismissal.\nSubdivision (b) is derived from former Bankruptcy Rule 120(b). A dismissal under this\nsubdivision can occur only when the petition has been permitted to be filed pursuant to Rule\n1006(b). The provision for notice in paragraph (3) is correlated with the provision in Rule 4006\nwhen there is a waiver, denial, or revocation of a discharge. As pointed out in the Note\naccompanying Rule 4008, the purpose of notifying creditors of a debtor that no discharge has been\ngranted is to correct their assumption to the contrary so that they can take appropriate steps to\nprotect their claims.\nSubdivision (c) is new and specifies the notice required for a hearing on dismissal or\nsuspension pursuant to \xc2\xa7305 of the Code. The suspension to which this subdivision refers is that of\nthe case; it does not concern abstention of the court in hearing an adversary proceeding pursuant to\n28 U.S.C. \xc2\xa71478(b).\nSubdivision (d). Any proceeding, whether by a debtor or other party, to dismiss or convert\na case under \xc2\xa7\xc2\xa7706, 707, 1112, or 1307 is commenced by a motion pursuant to Rule 9014.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (d) is amended to provide that dismissal or conversion pursuant to \xc2\xa7\xc2\xa7706(a),\n707(b), 1112(a), and 1307(b) is not automatically a contested matter under Rule 9014. Conversion\nor dismissal under these sections is initiated by the filing and serving of a motion as required by\nRule 9013. No hearing is required on these motions unless the court directs.\nConversion of a chapter 13 case to a chapter 7 case as authorized by \xc2\xa71307(a) is\naccomplished by the filing of a notice of conversion. The notice of conversion procedure is\nmodeled on the voluntary dismissal provision of Rule 41(a)(1) F.R.Civ.P. Conversion occurs on\nthe filing of the notice. No court order is required.\nSubdivision (e) is new and provides the procedure to be followed when a court on its own\nmotion has made a preliminary determination that an individual debtor\'s chapter 7 case may be\ndismissed pursuant to \xc2\xa7707(b) of the Code, which was added by the 1984 amendments. A debtor\'s\nfailure to attend the hearing is not a ground for dismissal pursuant to \xc2\xa7707(b).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to clarify that all entities required to receive notice under Rule\n2002, including but not limited to creditors, are entitled to the 20 day notice of the hearing to\ndismiss the case. The United States trustee receives the notice pursuant to Rule 2002(k).\nThe word "petition" is changed to "case" in subdivisions (a), (b), and (c) to conform to\n\xc2\xa7\xc2\xa7707, 930, 1112, 1208, and 1307.\nSubdivision (d) is amended to conform to \xc2\xa7348(c) of the Code which refers to the\n"conversion order."\nSubdivisions (a) and (d) are amended to provide procedures for dismissal or conversion of\na chapter 12 case. Procedures for dismissal or conversion under \xc2\xa71208(a) and (b) are the same as\nthe procedures for dismissal or conversion of a chapter 13 case under \xc2\xa71307(a) and (b).\nSubdivision (e) is amended to conform to the 1986 amendment to \xc2\xa7707(b) of the Code\nwhich permits the United States trustee to make a motion to dismiss a case for substantial abuse.\nThe time limit for such a motion is added by this subdivision. In general, the facts that are the basis\n54\n\n\x0cfor a motion to dismiss under \xc2\xa7707(b) exist at the time the case is commenced and usually can be\ndiscovered early in the case by reviewing the debtor\'s schedules and examining the debtor at the\nmeeting of creditors. Since dismissal for substantial abuse has the effect of denying the debtor a\ndischarge in the chapter 7 case based on matters which may be discovered early, a motion to\ndismiss under \xc2\xa7707(b) is analogous to an objection to discharge pursuant to Rule 4004 and,\ntherefore, should be required to be made within a specified time period. If matters relating to\nsubstantial abuse are not discovered within the time period specified in subdivision (e) because of\nthe debtor\'s false testimony, refusal to obey a court order, fraudulent schedules or other fraud, and\nthe debtor receives a discharge, the debtor\'s conduct may constitute the basis for revocation of the\ndischarge under \xc2\xa7727(d) and (e) of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nSubdivision (d) is amended to clarify that the date of the filing of a notice of conversion in\na chapter 12 or chapter 13 case is treated as the date of the conversion order for the purpose of\napplying Rule 1019. Other amendments are stylistic and make no substantive change.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nSubdivision (b)(3), which provides that notice of dismissal for failure to pay the filing fee\nshall be sent to all creditors within 30 days after the dismissal, is deleted as unnecessary. Rule\n2002(f) provides for notice to creditors of the dismissal of a case.\nRule 2002(a) and this rule currently require notice to all creditors of a hearing on dismissal\nof a voluntary chapter 7 case for the debtor\'s failure to file a list of creditors, schedules, and\nstatement of financial affairs within the time provided in \xc2\xa7707(a)(3) of the Code. A new\nsubdivision (c) is added to provide that the United States trustee, who is the only entity with\nstanding to file a motion to dismiss under \xc2\xa7707(a)(3) or \xc2\xa71307(c)(9), is required to serve the\nmotion on only the debtor, the trustee, and any other entities as the court directs. This amendment,\nand the amendment to Rule 2002, will have the effect of avoiding the expense of sending notices of\nthe motion to all creditors in a chapter 7 case.\nNew subdivision (f) is the same as current subdivision (d), except that it provides that a\nmotion to suspend all proceedings in a case or to dismiss a case for substantial abuse of chapter 7\nunder \xc2\xa7707(b) is governed by Rule 9014.\nOther amendments to this rule are stylistic or for clarification.\nGAP Report on Rule 1017. No changes since publication, except for stylistic changes in\nRule 1017(e) and (f).\nCommittee Notes on Rules\xe2\x80\x942000 Amendment\nThis rule is amended to permit the court to grant a timely request filed by the United States\ntrustee for an extension of time to file a motion to dismiss a chapter 7 case under \xc2\xa7707(b), whether\nthe court rules on the request before or after the expiration of the 60-day period.\nReporter\'s Note on Text of Rule 1017(e). The above text of Rule 1017(e) is not based on the\ntext of the rule in effect on this date. The above text embodies amendments that have been\npromulgated by the Supreme Court in April 1999 and, unless Congress acts with respect to the\namendments, will become effective on December 1, 1999.\nGAP Report on Rule 1017(e). No changes since publication.\n55\n\n\x0cCommittee Notes on Rules\xe2\x80\x942008 Amendment\n\nSubdivision (e) is amended to implement the 2005 amendments to \xc2\xa7707 of the Code. These\nstatutory amendments permit conversion of a chapter 7 case to a case under chapter 11 or 13,\nchange the basis for dismissal or conversion from "substantial abuse" to "abuse," authorize parties\nother than the United States trustee to bring motions under \xc2\xa7707(b) under certain circumstances,\nand add \xc2\xa7707(c) to create an explicit ground for dismissal based on the request of a victim of a\ncrime of violence or drug trafficking. The conforming amendments to subdivision (e) preserve the\ntime limits already in place for \xc2\xa7707(b) motions, except to the extent that \xc2\xa7704(b)(2) sets the\ndeadline for the United States trustee to act. In contrast to the grounds for a motion to dismiss\nunder \xc2\xa7707(b)(2), which are quite specific, the grounds under \xc2\xa7707(b)(1) and (3) are very general.\nTherefore, to enable the debtor to respond, subdivision (e) requires that motions to dismiss under\n\xc2\xa7707(b)(1) and (3) state with particularity the circumstances alleged to constitute abuse.\nChanges Made After Publication. No changes were made after publication.\n\nRule 1018. Contested Involuntary Petitions; Contested Petitions Commencing\nChapter 15 Cases; Proceedings to Vacate Order for Relief; Applicability of\nRules in Part VII Governing Adversary Proceedings\nUnless the court otherwise directs and except as otherwise prescribed in Part I of these\nrules, the following rules in Part VII apply to all proceedings contesting an involuntary petition or\na chapter 15 petition for recognition, and to all proceedings to vacate an order for relief: Rules\n7005, 7008\xe2\x80\x937010, 7015, 7016, 7024\xe2\x80\x937026, 7028\xe2\x80\x937037, 7052, 7054, 7056, and 7062. The court\nmay direct that other rules in Part VII shall also apply. For the purposes of this rule a reference in\nthe Part VII rules to adversary proceedings shall be read as a reference to proceedings contesting\nan involuntary petition or a chapter 15 petition for recognition, or proceedings to vacate an order\nfor relief. Reference in the Federal Rules of Civil Procedure to the complaint shall be read as a\nreference to the petition.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 28, 2010, eff. Dec. 1, 2010.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThe rules in Part VII to which this rule refers are adaptations of the Federal Rules of Civil\nProcedure for the purpose of governing the procedure in adversary proceedings in cases under the\nCode. See the Note accompanying Rule 7001 infra. Because of the special need for dispatch and\nexpedition in the determination of the issues in an involuntary petition, see Acme Harvester Co. v.\nBeekman Lumber Co., 222 U.S. 300, 309 (1911), the objective of some of the Federal Rules of\nCivil Procedure and their adaptations in Part VII to facilitate the settlement of multiple\ncontroversies involving many persons in a single lawsuit is not compatible with the exigencies of\nbankruptcy administration. See United States F. & G. Co. v. Bray, 225 U.S. 205, 218 (1912). For\nthat reason Rules 7013, 7014 and 7018\xe2\x80\x937023 will rarely be appropriate in a proceeding on a\ncontested petition.\nCertain terms used in the Federal Rules of Civil Procedure have altered meanings when\nthey are made applicable in cases under the Code by these rules. See Rule 9002 infra. This Rule\n1018 requires that the terms "adversary proceedings" when used in the rules in Part VII and\n56\n\n\x0c"complaint" when used in the Federal Rules of Civil Procedure be given altered meanings when\nthey are made applicable to proceedings relating to a contested petition or proceedings to vacate\nany order for relief. A motion to vacate an order for relief, whether or not made on a petition that\nwas or could have been contested, is governed by the rules in Part VII referred to in this Rule 1018.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nRule 1018 is amended to include within its terms a petition commencing an ancillary case\nwhen it is contested. This provision was formerly included in Rule 1003(e)(4).\nAlthough this rule does not contain an explicit authorization for the entry of an order for\nrelief when a debtor refuses to cooperate in discovery relating to a contested involuntary petition,\nthe court has ample power under Rule 37(b) F.R.Civ.P., as incorporated by Rule 7037, to enter an\norder for relief under appropriate circumstances. Rule 37(b) authorizes the court to enter judgment\nby default or an order that "facts shall be taken as established."\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nThe rule is amended to reflect the enactment of chapter 15 of the Code in 2005. As to\nchapter 15 cases, the rule applies to contests over the petition for recognition and not to all matters\nthat arise in the case. Thus, proceedings governed by \xc2\xa71519(e) and \xc2\xa71521(e) of the Code must\ncomply with Rules 7001(7) and 7065, which provide that actions for injunctive relief are adversary\nproceedings governed by Part VII of the rules. The rule is also amended to clarify that it applies to\ncontests over an involuntary petition, and not to matters merely "relating to" a contested\ninvoluntary petition. Matters that may arise in a chapter 15 case or an involuntary case, other than\ncontests over the petition itself, are governed by the otherwise applicable rules.\nOther changes are stylistic.\nChanges Made After Publication. No changes since publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 1019. Conversion of a Chapter 11 Reorganization Case, Chapter 12\nFamily Farmer\'s Debt Adjustment Case, or Chapter 13 Individual\'s Debt\nAdjustment Case to a Chapter 7 Liquidation Case\nWhen a chapter 11, chapter 12, or chapter 13 case has been converted or reconverted to a\nchapter 7 case:\n(1) Filing of Lists, Inventories, Schedules, Statements.\n(A) Lists, inventories, schedules, and statements of financial affairs theretofore filed shall\nbe deemed to be filed in the chapter 7 case, unless the court directs otherwise. If they have not been\npreviously filed, the debtor shall comply with Rule 1007 as if an order for relief had been entered\non an involuntary petition on the date of the entry of the order directing that the case continue\nunder chapter 7.\n(B) If a statement of intention is required, it shall be filed within 30 days after entry of the\n57\n\n\x0corder of conversion or before the first date set for the meeting of creditors, whichever is earlier.\nThe court may grant an extension of time for cause only on written motion filed, or oral request\nmade during a hearing, before the time has expired. Notice of an extension shall be given to the\nUnited States trustee and to any committee, trustee, or other party as the court may direct.\n(2) New Filing Periods.\n(A) A new time period for filing a motion under \xc2\xa7707(b) or (c), a claim, a complaint\nobjecting to discharge, or a complaint to obtain a determination of dischargeability of any debt\nshall commence under Rules 1 1017, 3002, 4004, or 4007, but a new time period shall not\ncommence if a chapter 7 case had been converted to a chapter 11, 12, or 13 case and thereafter\nreconverted to a chapter 7 case and the time for filing a motion under \xc2\xa7707(b) or (c), a claim, a\ncomplaint objecting to discharge, or a complaint to obtain a determination of the dischargeability\nof any debt, or any extension thereof, expired in the original chapter 7 case.\n(B) A new time period for filing an objection to a claim of exemptions shall commence\nunder Rule 4003(b) after conversion of a case to chapter 7 unless:\n(i) the case was converted to chapter 7 more than one year after the entry of the first order\nconfirming a plan under chapter 11, 12, or 13; or\n(ii) the case was previously pending in chapter 7 and the time to object to a claimed\nexemption had expired in the original chapter 7 case.\n(3) Claims Filed Before Conversion. All claims actually filed by a creditor before\nconversion of the case are deemed filed in the chapter 7 case.\n(4) Turnover of Records and Property. After qualification of, or assumption of duties by\nthe chapter 7 trustee, any debtor in possession or trustee previously acting in the chapter 11, 12, or\n13 case shall, forthwith, unless otherwise ordered, turn over to the chapter 7 trustee all records and\nproperty of the estate in the possession or control of the debtor in possession or trustee.\n(5) Filing Final Report and Schedule of Postpetition Debts.\n(A) Conversion of Chapter 11 or Chapter 12 Case. Unless the court directs otherwise, if a\nchapter 11 or chapter 12 case is converted to chapter 7, the debtor in possession or, if the debtor is\nnot a debtor in possession, the trustee serving at the time of conversion, shall:\n(i) not later than 14 days after conversion of the case, file a schedule of unpaid debts\nincurred after the filing of the petition and before conversion of the case, including the name and\naddress of each holder of a claim; and\n(ii) not later than 30 days after conversion of the case, file and transmit to the United States\ntrustee a final report and account;\n(B) Conversion of Chapter 13 Case. Unless the court directs otherwise, if a chapter 13 case\nis converted to chapter 7,\n(i) the debtor, not later than 14 days after conversion of the case, shall file a schedule of\nunpaid debts incurred after the filing of the petition and before conversion of the case, including\nthe name and address of each holder of a claim; and\n(ii) the trustee, not later than 30 days after conversion of the case, shall file and transmit to\nthe United States trustee a final report and account;\n(C) Conversion After Confirmation of a Plan. Unless the court orders otherwise, if a\nchapter 11, chapter 12, or chapter 13 case is converted to chapter 7 after confirmation of a plan, the\n58\n\n\x0cdebtor shall file:\n(i) a schedule of property not listed in the final report and account acquired after the filing\nof the petition but before conversion, except if the case is converted from chapter 13 to chapter 7\nand \xc2\xa7348(f)(2) does not apply;\n(ii) a schedule of unpaid debts not listed in the final report and account incurred after\nconfirmation but before the conversion; and\n(iii) a schedule of executory contracts and unexpired leases entered into or assumed after\nthe filing of the petition but before conversion.\n(D) Transmission to United States Trustee. The clerk shall forthwith transmit to the United\nStates trustee a copy of every schedule filed pursuant to Rule 1019(5).\n(6) Postpetition Claims; Preconversion Administrative Expenses; Notice. A request for\npayment of an administrative expense incurred before conversion of the case is timely filed under\n\xc2\xa7503(a) of the Code if it is filed before conversion or a time fixed by the court. If the request is\nfiled by a governmental unit, it is timely if it is filed before conversion or within the later of a time\nfixed by the court or 180 days after the date of the conversion. A claim of a kind specified in\n\xc2\xa7348(d) may be filed in accordance with Rules 3001(a)\xe2\x80\x93(d) and 3002. Upon the filing of the\nschedule of unpaid debts incurred after commencement of the case and before conversion, the\nclerk, or some other person as the court may direct, shall give notice to those entities listed on the\nschedule of the time for filing a request for payment of an administrative expense and, unless a\nnotice of insufficient assets to pay a dividend is mailed in accordance with Rule 2002(e), the time\nfor filing a claim of a kind specified in \xc2\xa7348(d).\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n1996, eff. Dec. 1, 1996; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23,\n2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28, 2010, eff. Dec. 1, 2010.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 122 and implements \xc2\xa7348 of the Code.\nThe rule applies to proceedings in a chapter 7 case following supersession of a case commenced\nunder chapter 11 or 13, whether the latter was initiated by an original petition or was converted\nfrom a pending chapter 7 or another chapter case. The rule is not intended to invalidate any action\ntaken in the superseded case before its conversion to chapter 7.\nParagraph (1): If requirements applicable in the superseded case respecting the filing of\nschedules of debts and property, or lists of creditors and inventory, and of statements of financial\naffairs have been complied with before the order directing conversion to liquidation, these\ndocuments will ordinarily provide all the information about the debts, property, financial affairs,\nand contracts of the debtor needed for the administration of the estate. If the information submitted\nin the superseded case is inadequate for the purposes of administration, however, the court may\ndirect the preparation of further informational material and the manner and time of its submission\npursuant to paragraph (1). If no schedules, lists, inventories, or statements were filed in the\nsuperseded case, this paragraph imposes the duty on the debtor to file schedules and a statement of\naffairs pursuant to Rule 1007 as if an involuntary petition had been filed on the date when the court\ndirected the conversion of the case to a liquidation case.\nParagraphs (2) and (3). Paragraph (2) requires notice to be given to all creditors of the\norder of conversion. The notice is to be included in the notice of the meeting of creditors and\n59\n\n\x0cOfficial Form No. 16 may be adapted for use. A meeting of creditors may have been held in the\nsuperseded case as required by \xc2\xa7341(a) of the Code but that would not dispense with the need to\nhold one in the ensuing liquidation case. Section 701(a) of the Code permits the court to appoint\nthe trustee acting in the chapter 11 or 13 case as interim trustee in the chapter 7 case. Section\n702(a) of the Code allows creditors to elect a trustee but only at the meeting of creditors held under\n\xc2\xa7341. The right to elect a trustee is not lost because the chapter 7 case follows a chapter 11 or 13\ncase. Thus a meeting of creditors is necessary. The date fixed for the meeting of creditors will\ncontrol at least the time for filing claims pursuant to Rule 3002(c). That time will remain\napplicable in the ensuing chapter 7 case except as paragraph (3) provides, if that time had expired\nin an earlier chapter 7 case which was converted to the chapter 11 or 13 case, it is not revived in the\nsubsequent chapter 7 case. The same is true if the time for filing a complaint objecting to discharge\nor to determine nondischargeability of a debt had expired. Paragraph (3), however, recognizes that\nsuch time may be extended by the court under Rule 4004 or 4007 on motion made within the\noriginal prescribed time.\nParagraph (4) renders it unnecessary to file anew claims that had been filed in the chapter\n11 or 13 case before conversion to chapter 7.\nParagraph (5) contemplates that typically, after the court orders conversion of a chapter\ncase to liquidation, a trustee under chapter 7 will forthwith take charge of the property of the estate\nand proceed expeditiously to liquidate it. The court may appoint the interim trustee in the chapter 7\ncase pursuant to \xc2\xa7701(a) of the Code. If creditors do not elect a trustee under \xc2\xa7702, the interim\ntrustee becomes the trustee.\nParagraph (6) requires the trustee or debtor in possession acting in the chapter 11 or 13\ncase to file a final report and schedule of debts incurred in that case. This schedule will provide the\ninformation necessary for giving the notice required by paragraph (7) of the rule.\nParagraph (7) requires that claims that arose in the chapter 11 or 13 case be filed within 60\ndays after entry of the order converting the case to one under chapter 7. Claims not scheduled\npursuant to paragraph (6) of the rule or arising from the rejection of an executory contract entered\ninto during the chapter case may be filed within a time fixed by the court. Pursuant to \xc2\xa7348(c) of\nthe Code, the conversion order is treated as the order for relief to fix the time for the trustee to\nassume or reject executory contracts under \xc2\xa7365(d).\nParagraph (8) permits the extension of the time for filing claims when claims are not\ntimely filed but only with respect to any surplus that may remain in the estate. See also\n\xc2\xa7726(a)(2)(C) and (3) of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nParagraph (1) is amended to provide for the filing of a statement of intention in a case\nconverted to chapter 7. Paragraph (1)(B) is added to provide for the filing of the statement of\nintention when a case is converted to chapter 7. The time for filing the statement of intention and\nfor an extension of that time is governed by \xc2\xa7521(2)(A) of the Code. An extension of time for other\nrequired filings is governed by Rule 1007(c), which paragraph (1)(A) incorporates by reference.\nBecause of the amendment to Rule 1007(c), the filing of new lists, schedules, and statements is\nnow governed exclusively by Rule 1019(1).\nParagraph (3) of the rule is expanded to include the effect of conversion of a chapter 11 or\n13 case to a chapter 7 case. On conversion of a case from chapter 11 or 13 to a chapter 7 case,\nparties have a new period within which to file claims or complaints relating to the granting of the\ndischarge or the dischargeability of a debt. This amendment is consistent with the holding and\n60\n\n\x0creasoning of the court in F & M Marquette Nat\'l Bank v. Richards, 780 F.2d 24 (8th Cir. 1985).\nParagraph (4) is amended to deal directly with the status of claims which are properly\nlisted on the schedules filed in a chapter 11 case and deemed filed pursuant to \xc2\xa71111(a) of the\nCode. Section 1111(a) is only applicable to the chapter 11 case. On conversion of the chapter 11\ncase to a chapter 7 case, paragraph (4) governs the status of claims filed in the chapter 11 case. The\nThird Circuit properly construed paragraph (4) as applicable to claims deemed filed in the\nsuperseded chapter 11 case. In re Crouthamel Potato Chip Co., 786 F.2d 141 (3d Cir. 1986).\nThe amendment to paragraph (4) changes that result by providing that only claims that are\nactually filed in the chapter 11 case are treated as filed in the superseding chapter 7 case. When\nchapter 11 cases are converted to chapter 7 cases, difficulties in obtaining and verifying the\ndebtors\' records are common. It is unfair to the chapter 7 trustee and creditors to require that they\nbe bound by schedules which may not be subject to verification.\nParagraph (6) is amended to place the obligation on the chapter 13 debtor to file a schedule\nof unpaid debts incurred during the superseded chapter 13 case.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to include conversion of a case from chapter 12 to chapter 7 and to\nimplement the United States trustee system.\nThe amendments to paragraph (1)(A) are stylistic. Reference to the statement of executory\ncontracts is deleted to conform to the amendment to Rule 1007(b)(1) which changes the statement\nto a schedule of executory contracts and unexpired leases.\nParagraph (1)(B) is amended to enable the United States trustee to monitor the progress of\nthe case and to take appropriate action to enforce the debtor\'s obligation to perform the statement\nof intention in a timely manner.\nParagraph (2) is deleted because notice of conversion of the case is required by Rules\n1017(d), 2002(f)(2), and 9022. The United States trustee, who supervises trustees pursuant to 28\nU.S.C. \xc2\xa7586(a), may give notice of the conversion to the trustee in the superseded case.\nParagraph (6), renumbered as paragraph (5), is amended to reduce to 15 days the time for\nfiling a schedule of postpetition debts and requires inclusion of the name and address of each\ncreditor in connection with the postpetition debt. These changes will enable the clerk to send\npostpetition creditors a timely notice of the meeting of creditors held pursuant to \xc2\xa7341(a) of the\nCode. The amendments to this paragraph also provide the United States trustee with the final\nreport and account of the superseded case, and with a copy of every schedule filed after conversion\nof the case. Conversion to chapter 7 terminates the service of the trustee in the superseded case\npursuant to \xc2\xa7348(e) of the Code. Sections 704(a)(9), 1106(a)(1), 1107(a), 1202(b)(1), 1203 and\n1302(b)(1) of the Code require the trustee or debtor in possession to file a final report and account\nwith the court and the United States trustee. The words "with the court" are deleted as unnecessary.\nSee Rules 5005(a) and 9001(3).\nParagraph (7), renumbered as paragraph (6), is amended to conform the time for filing\npostpetition claims to the time for filing prepetition claims pursuant to paragraph (3) (renumbered\nas paragraph (2)) of this rule and Rule 3002(c). This paragraph is also amended to eliminate the\nneed for a court order to provide notice of the time for filing claims. It is anticipated that this notice\nwill be given together with the notice of the meeting of creditors. It is amended further to avoid the\nneed to fix a time for filing claims arising under \xc2\xa7365(d) if it is a no asset case upon conversion. If\nassets become available for distribution, the court may fix a time for filing such claims pursuant to\nRule 3002(c)(4).\n61\n\n\x0cThe additions of references to unexpired leases in paragraph (1)(A) and in paragraphs (6)\nand (7) (renumbered as paragraphs (5) and (6)) are technical amendments to clarify that unexpired\nleases are included as well as other executory contracts.\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nSubdivision (7) is abrogated to conform to the abrogation of Rule 3002(c)(6).\nGAP Report on Rule 1019. No changes were made to the text of the rule. The Committee\nNote was changed to conform to the proposed changes to Rule 3002 (see GAP Report on Rule\n3002 below).\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nThe amendments to subdivisions (3) and (5) are technical corrections and stylistic changes.\nThe phrase "superseded case" is deleted because it creates the erroneous impression that\nconversion of a case results in a new case that is distinct from the original case. Similarly, the\nphrase "original petition" is deleted because it erroneously implies that there is a second petition\nwith respect to a converted case. See \xc2\xa7348 of the Code.\nGAP Report on Rule 1019. No changes to the published draft.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nParagraph (1)(B) is amended to clarify that a motion for an extension of time to file a\nstatement of intention must be made by written motion filed before the time expires, or by oral\nrequest made at a hearing before the time expires.\nSubdivision (6) is amended to provide that a holder of an administrative expense claim\nincurred after the commencement of the case, but before conversion to chapter 7, is required to file\na request for payment under \xc2\xa7503(a) within a time fixed by the court, rather than a proof of claim\nunder \xc2\xa7501 and Rules 3001(a)\xe2\x80\x93(d) and 3002. The 180-day period applicable to governmental units\nis intended to conform to \xc2\xa7502(b)(9) of the Code and Rule 3002(c)(1). It is unnecessary for the\ncourt to fix a time for filing requests for payment if it appears that there are not sufficient assets to\npay preconversion administrative expenses. If a time for filing a request for payment of an\nadministrative expense is fixed by the court, it may be enlarged as provided in Rule 9006(b). If an\nadministrative expense claimant fails to timely file the request, it may be tardily filed under\n\xc2\xa7503(a) if permitted by the court for cause.\nThe final sentence of Rule 1019(6) is deleted because it is unnecessary in view of the other\namendments to this paragraph. If a party has entered into a postpetition contract or lease with the\ntrustee or debtor that constitutes an administrative expense, a timely request for payment must be\nfiled in accordance with this paragraph and \xc2\xa7503(b) of the Code. The time for filing a proof of\nclaim in connection with the rejection of any other executory contract or unexpired lease is\ngoverned by Rule 3002(c)(4).\nThe phrase "including the United States, any state, or any subdivision thereof" is deleted as\nunnecessary. Other amendments to this rule are stylistic.\nGAP Report on Rule 1019. The proposed amendments to Rule 1019(6) were changed to\ndelete the deadline for filing requests for payment of preconversion administrative expenses that\nwould be applicable in all cases, and to provide instead that the court may fix such a deadline. The\ncommittee note was revised to clarify that it is not necessary for the court to fix a deadline where\n62\n\n\x0cthere are insufficient assets to pay preconversion administrative expenses.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (2) is amended to include a new filing period for motions under \xc2\xa7707(b) and\n(c) of the Code when a case is converted to chapter 7. The establishment of a deadline for filing\nsuch motions is not intended to express a position as to whether such motions are permitted under\nthe Code.\nChanges Made After Publication. The Committee Note was amended by adding the second\nsentence to the Note stating explicitly that the rule was not intended to take a position on whether\nmotions to dismiss a case under \xc2\xa7707(b) and (c) are proper in a case that is converted from another\nchapter.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nSubdivision (2). Subdivision (2) is redesignated as subdivision (2)(A), and a new\nsubdivision (2)(B) is added to the rule. Subdivision (2)(B) provides that a new time period to\nobject to a claim of exemption arises when a case is converted to chapter 7 from chapter 11, 12, or\n13. The new time period does not arise, however, if the conversion occurs more than one year after\nthe first order confirming a plan, even if the plan was subsequently modified. A new objection\nperiod also does not arise if the case was previously pending under chapter 7 and the objection\nperiod had expired in the prior chapter 7 case.\nChanges Made After Publication. No changes since publication.\n1\nSo in original. Probably should be "Rule".\n\nRule 1020. Small Business Chapter 11 Reorganization Case\n(a) Small Business Debtor Designation. In a voluntary chapter 11 case, the debtor shall\nstate in the petition whether the debtor is a small business debtor. In an involuntary chapter 11\ncase, the debtor shall file within 14 days after entry of the order for relief a statement as to whether\nthe debtor is a small business debtor. Except as provided in subdivision (c), the status of the case as\na small business case shall be in accordance with the debtor\'s statement under this subdivision,\nunless and until the court enters an order finding that the debtor\'s statement is incorrect.\n63\n\n\x0c(b) Objecting to Designation. Except as provided in subdivision (c), the United States\ntrustee or a party in interest may file an objection to the debtor\'s statement under subdivision (a) no\nlater than 30 days after the conclusion of the meeting of creditors held under \xc2\xa7341(a) of the Code,\nor within 30 days after any amendment to the statement, whichever is later.\n(c) Appointment of Committee of Unsecured Creditors. If a committee of unsecured\ncreditors has been appointed under \xc2\xa71102(a)(1), the case shall proceed as a small business case\nonly if, and from the time when, the court enters an order determining that the committee has not\nbeen sufficiently active and representative to provide effective oversight of the debtor and that the\ndebtor satisfies all the other requirements for being a small business. A request for a determination\nunder this subdivision may be filed by the United States trustee or a party in interest only within a\nreasonable time after the failure of the committee to be sufficiently active and representative. The\ndebtor may file a request for a determination at any time as to whether the committee has been\nsufficiently active and representative.\n(d) Procedure for Objection or Determination. Any objection or request for a determination\nunder this rule shall be governed by Rule 9014 and served on: the debtor; the debtor\'s attorney; the\nUnited States trustee; the trustee; any committee appointed under \xc2\xa71102 or its authorized agent, or,\nif no committee of unsecured creditors has been appointed under \xc2\xa71102, the creditors included on\nthe list filed under Rule 1007(d); and any other entity as the court directs.\n(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 23, 2008, eff. Dec. 1, 2008; Mar.\n26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941997\nThis rule is designed to implement \xc2\xa7\xc2\xa71121(e) and 1125(f) that were added to the Code by\nthe Bankruptcy Reform Act of 1994.\nGAP Report on Rule 1020. The phrase "or by a later date as the court, for cause, may fix" at\nthe end of the published draft was deleted. The general provisions on reducing or extending time\nperiods under Rule 9006 will be applicable.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nUnder the Code, as amended in 2005, there are no longer any provisions permitting or\nrequiring a small business debtor to elect to be treated as a small business. Therefore, the election\nprovisions in the rule are eliminated.\nThe 2005 amendments to the Code include several provisions relating to small business\ncases under chapter 11. Section 101 includes definitions of "small business debtor" and "small\nbusiness case." The purpose of the new language in this rule is to provide a procedure for\ninforming the parties, the United States trustee, and the court of whether the debtor is a small\nbusiness debtor, and to provide procedures for resolving disputes regarding the proper\ncharacterization of the debtor. Because it is important to resolve such disputes early in the case, a\ntime limit for objecting to the debtor\'s self-designation is imposed. Rule 9006(b)(1), which\ngoverns enlargement of time, is applicable to the time limits set forth in this rule.\nAn important factor in determining whether the debtor is a small business debtor is whether\nthe United States trustee has appointed a committee of unsecured creditors under \xc2\xa71102, and\nwhether such a committee is sufficiently active and representative. Subdivision (c), relating to the\nappointment and activity of a committee of unsecured creditors, is designed to be consistent with\nthe Code\'s definition of "small business debtor."\n64\n\n\x0cChanges Made After Publication. No changes were made after publication.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 1021. Health Care Business Case\n(a) Health Care Business Designation. Unless the court orders otherwise, if a petition in a\ncase under chapter 7, chapter 9, or chapter 11 states that the debtor is a health care business, the\ncase shall proceed as a case in which the debtor is a health care business.\n(b) Motion. The United States trustee or a party in interest may file a motion to determine\nwhether the debtor is a health care business. The motion shall be transmitted to the United States\ntrustee and served on: the debtor; the trustee; any committee elected under \xc2\xa7705 or appointed\nunder \xc2\xa71102 of the Code or its authorized agent, or, if the case is a chapter 9 municipality case or a\nchapter 11 reorganization case and no committee of unsecured creditors has been appointed under\n\xc2\xa71102, the creditors included on the list filed under Rule 1007(d); and any other entity as the court\ndirects. The motion shall be governed by Rule 9014.\n(Added Apr. 23, 2008, eff. Dec. 1, 2008.)\nCommittee Notes on Rules\xe2\x80\x942008\nSection 101(27A) of the Code, added by the 2005 amendments, defines a health care\nbusiness. This rule provides procedures for designating the debtor as a health care business. The\ndebtor in a voluntary case, or petitioning creditors in an involuntary case, make that designation by\nchecking the appropriate box on the petition. The rule also provides procedures for resolving\ndisputes regarding the status of the debtor as a health care business.\nChanges Made After Publication. No changes were made after publication.\n\n65\n\n\x0cPART II\xe2\x80\x94OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS;\nEXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS\nRule 2001. Appointment of Interim Trustee Before Order for Relief in a\nChapter 7 Liquidation Case\n(a) Appointment. At any time following the commencement of an involuntary liquidation\ncase and before an order for relief, the court on written motion of a party in interest may order the\nappointment of an interim trustee under \xc2\xa7303(g) of the Code. The motion shall set forth the\nnecessity for the appointment and may be granted only after hearing on notice to the debtor, the\npetitioning creditors, the United States trustee, and other parties in interest as the court may\ndesignate.\n(b) Bond of Movant. An interim trustee may not be appointed under this rule unless the\nmovant furnishes a bond in an amount approved by the court, conditioned to indemnify the debtor\nfor costs, attorney\'s fee, expenses, and damages allowable under \xc2\xa7303(i) of the Code.\n(c) Order of Appointment. The order directing the appointment of an interim trustee shall\nstate the reason the appointment is necessary and shall specify the trustee\'s duties.\n(d) Turnover and Report. Following qualification of the trustee selected under \xc2\xa7702 of the\nCode, the interim trustee, unless otherwise ordered, shall (1) forthwith deliver to the trustee all the\nrecords and property of the estate in possession or subject to control of the interim trustee and, (2)\nwithin 30 days thereafter file a final report and account.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Bankruptcy Rule 201. See also former Chapter X Rule\n10\xe2\x80\x93201. In conformity with title 11 of the United States Code, this rule substitutes "interim trustee"\nfor "receiver." Subdivision (a) and (e) of Rule 201 are not included because the provisions\ncontained therein are found in detail in \xc2\xa7303(g) of the Code, or they are inconsistent with \xc2\xa7701 of\nthe Code. Similarly, the provisions in Rule 201(d) relating to a debtor\'s counterbond are not\nincluded because of their presence in \xc2\xa7303(g).\nSubdivision (a) makes it clear that the court may not on its own motion order the\nappointment of an interim trustee before an order for relief is entered. Appointment may be\nordered only on motion of a party in interest.\nSubdivision (b) requires those seeking the appointment of an interim trustee to furnish a\nbond. The bond may be the same one required of petitioning creditors under \xc2\xa7303(e) of the Code to\nindemnify the debtor for damages allowed by the court under \xc2\xa7303(i).\nSubdivision (c) requires that the order specify which duties enumerated in \xc2\xa7303(g) shall be\nperformed by the interim trustee. Reference should be made to Rule 2015 for additional duties\nrequired of an interim trustee including keeping records and filing periodic reports with the court.\nSubdivision (d) requires turnover of records and property to the trustee selected under \xc2\xa7702\nof the Code, after qualification. That trustee may be the interim trustee who becomes the trustee\nbecause of the failure of creditors to elect one under \xc2\xa7702(d) or the trustee elected by creditors\n66\n\n\x0cunder \xc2\xa7702(b), (c).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n\nThis rule is amended to conform to \xc2\xa7303(g) of the Code which provides that the United\nStates trustee appoints the interim trustee. See Rule X\xe2\x80\x931003. This rule does not apply to the\nexercise by the court of the power to act sua sponte pursuant to \xc2\xa7105(a) of the Code.\n\nRule 2002. Notices to Creditors, Equity Security Holders, Administrators in\nForeign Proceedings, Persons Against Whom Provisional Relief is Sought in\nAncillary and Other Cross-Border Cases, United States, and United States\nTrustee\n(a) Twenty-One-Day Notices to Parties in Interest. Except as provided in subdivisions (h),\n(i), (l), (p), and (q) of this rule, the clerk, or some other person as the court may direct, shall give\nthe debtor, the trustee, all creditors and indenture trustees at least 21 days\' notice by mail of:\n(1) the meeting of creditors under \xc2\xa7341 or \xc2\xa71104(b) of the Code, which notice, unless the\ncourt orders otherwise, shall include the debtor\'s employer identification number, social security\nnumber, and any other federal taxpayer identification number;\n(2) a proposed use, sale, or lease of property of the estate other than in the ordinary course\nof business, unless the court for cause shown shortens the time or directs another method of giving\nnotice;\n(3) the hearing on approval of a compromise or settlement of a controversy other than\napproval of an agreement pursuant to Rule 4001(d), unless the court for cause shown directs that\nnotice not be sent;\n(4) in a chapter 7 liquidation, a chapter 11 reorganization case, or a chapter 12 family\nfarmer debt adjustment case, the hearing on the dismissal of the case or the conversion of the case\nto another chapter, unless the hearing is under \xc2\xa7707(a)(3) or \xc2\xa7707(b) or is on dismissal of the case\nfor failure to pay the filing fee;\n(5) the time fixed to accept or reject a proposed modification of a plan;\n(6) a hearing on any entity\'s request for compensation or reimbursement of expenses if the\nrequest exceeds $1,000;\n(7) the time fixed for filing proofs of claims pursuant to Rule 3003(c); and\n(8) the time fixed for filing objections and the hearing to consider confirmation of a chapter\n12 plan.\n(b) Twenty-Eight-Day Notices to Parties in Interest. Except as provided in subdivision (l)\nof this rule, the clerk, or some other person as the court may direct, shall give the debtor, the\ntrustee, all creditors and indenture trustees not less than 28 days\' notice by mail of the time fixed\n(1) for filing objections and the hearing to consider approval of a disclosure statement or, under\n\xc2\xa71125(f), to make a final determination whether the plan provides adequate information so that a\nseparate disclosure statement is not necessary; and (2) for filing objections and the hearing to\nconsider confirmation of a chapter 9, chapter 11, or chapter 13 plan.\n(c) Content of Notice.\n(1) Proposed Use, Sale, or Lease of Property. Subject to Rule 6004, the notice of a\nproposed use, sale, or lease of property required by subdivision (a)(2) of this rule shall include the\n67\n\n\x0ctime and place of any public sale, the terms and conditions of any private sale and the time fixed\nfor filing objections. The notice of a proposed use, sale, or lease of property, including real estate,\nis sufficient if it generally describes the property. The notice of a proposed sale or lease of\npersonally identifiable information under \xc2\xa7363(b)(1) of the Code shall state whether the sale is\nconsistent with any policy prohibiting the transfer of the information.\n(2) Notice of Hearing on Compensation. The notice of a hearing on an application for\ncompensation or reimbursement of expenses required by subdivision (a)(6) of this rule shall\nidentify the applicant and the amounts requested.\n(3) Notice of Hearing on Confirmation When Plan Provides for an Injunction. If a plan\nprovides for an injunction against conduct not otherwise enjoined under the Code, the notice\nrequired under Rule 2002(b)(2) shall:\n(A) include in conspicuous language (bold, italic, or underlined text) a statement that the\nplan proposes an injunction;\n(B) describe briefly the nature of the injunction; and\n(C) identify the entities that would be subject to the injunction.\n(d) Notice to Equity Security Holders. In a chapter 11 reorganization case, unless otherwise\nordered by the court, the clerk, or some other person as the court may direct, shall in the manner\nand form directed by the court give notice to all equity security holders of (1) the order for relief;\n(2) any meeting of equity security holders held pursuant to \xc2\xa7341 of the Code; (3) the hearing on the\nproposed sale of all or substantially all of the debtor\'s assets; (4) the hearing on the dismissal or\nconversion of a case to another chapter; (5) the time fixed for filing objections to and the hearing to\nconsider approval of a disclosure statement; (6) the time fixed for filing objections to and the\nhearing to consider confirmation of a plan; and (7) the time fixed to accept or reject a proposed\nmodification of a plan.\n(e) Notice of No Dividend. In a chapter 7 liquidation case, if it appears from the schedules\nthat there are no assets from which a dividend can be paid, the notice of the meeting of creditors\nmay include a statement to that effect; that it is unnecessary to file claims; and that if sufficient\nassets become available for the payment of a dividend, further notice will be given for the filing of\nclaims.\n(f) Other Notices. Except as provided in subdivision (l) of this rule, the clerk, or some other\nperson as the court may direct, shall give the debtor, all creditors, and indenture trustees notice by\nmail of:\n(1) the order for relief;\n(2) the dismissal or the conversion of the case to another chapter, or the suspension of\nproceedings under \xc2\xa7305;\n(3) the time allowed for filing claims pursuant to Rule 3002;\n(4) the time fixed for filing a complaint objecting to the debtor\'s discharge pursuant to \xc2\xa7727\nof the Code as provided in Rule 4004;\n(5) the time fixed for filing a complaint to determine the dischargeability of a debt pursuant\nto \xc2\xa7523 of the Code as provided in Rule 4007;\n(6) the waiver, denial, or revocation of a discharge as provided in Rule 4006;\n(7) entry of an order confirming a chapter 9, 11, or 12 plan;\n(8) a summary of the trustee\'s final report in a chapter 7 case if the net proceeds realized\nexceed $1,500;\n(9) a notice under Rule 5008 regarding the presumption of abuse;\n68\n\n\x0c(10) a statement under \xc2\xa7704(b)(1) as to whether the debtor\'s case would be presumed to be\nan abuse under \xc2\xa7707(b); and\n(11) the time to request a delay in the entry of the discharge under \xc2\xa7\xc2\xa71141(d)(5)(C),\n1228(f), and 1328(h). Notice of the time fixed for accepting or rejecting a plan pursuant to Rule\n3017(c) shall be given in accordance with Rule 3017(d).\n(g) Addressing Notices.\n(1) Notices required to be mailed under Rule 2002 to a creditor, indenture trustee, or equity\nsecurity holder shall be addressed as such entity or an authorized agent has directed in its last\nrequest filed in the particular case. For the purposes of this subdivision\xe2\x80\x94\n(A) a proof of claim filed by a creditor or indenture trustee that designates a mailing\naddress constitutes a filed request to mail notices to that address, unless a notice of no dividend has\nbeen given under Rule 2002(e) and a later notice of possible dividend under Rule 3002(c)(5) has\nnot been given; and\n(B) a proof of interest filed by an equity security holder that designates a mailing address\nconstitutes a filed request to mail notices to that address.\n(2) Except as provided in \xc2\xa7342(f) of the Code, if a creditor or indenture trustee has not filed\na request designating a mailing address under Rule 2002(g)(1) or Rule 5003(e), the notices shall be\nmailed to the address shown on the list of creditors or schedule of liabilities, whichever is filed\nlater. If an equity security holder has not filed a request designating a mailing address under Rule\n2002(g)(1) or Rule 5003(e), the notices shall be mailed to the address shown on the list of equity\nsecurity holders.\n(3) If a list or schedule filed under Rule 1007 includes the name and address of a legal\nrepresentative of an infant or incompetent person, and a person other than that representative files\na request or proof of claim designating a name and mailing address that differs from the name and\naddress of the representative included in the list or schedule, unless the court orders otherwise,\nnotices under Rule 2002 shall be mailed to the representative included in the list or schedules and\nto the name and address designated in the request or proof of claim.\n(4) Notwithstanding Rule 2002(g)(1)\xe2\x80\x93(3), an entity and a notice provider may agree that\nwhen the notice provider is directed by the court to give a notice, the notice provider shall give the\nnotice to the entity in the manner agreed to and at the address or addresses the entity supplies to the\nnotice provider. That address is conclusively presumed to be a proper address for the notice. The\nnotice provider\'s failure to use the supplied address does not invalidate any notice that is otherwise\neffective under applicable law.\n(5) A creditor may treat a notice as not having been brought to the creditor\'s attention under\n\xc2\xa7342(g)(1) only if, prior to issuance of the notice, the creditor has filed a statement that designates\nthe name and address of the person or organizational subdivision of the creditor responsible for\nreceiving notices under the Code, and that describes the procedures established by the creditor to\ncause such notices to be delivered to the designated person or subdivision.\n(h) Notices to Creditors Whose Claims are Filed. In a chapter 7 case, after 90 days\nfollowing the first date set for the meeting of creditors under \xc2\xa7341 of the Code, the court may\ndirect that all notices required by subdivision (a) of this rule be mailed only to the debtor, the\ntrustee, all indenture trustees, creditors that hold claims for which proofs of claim have been filed,\nand creditors, if any, that are still permitted to file claims by reason of an extension granted\n69\n\n\x0cpursuant to Rule 3002(c)(1) or (c)(2). In a case where notice of insufficient assets to pay a dividend\nhas been given to creditors pursuant to subdivision (e) of this rule, after 90 days following the\nmailing of a notice of the time for filing claims pursuant to Rule 3002(c)(5), the court may direct\nthat notices be mailed only to the entities specified in the preceding sentence.\n(i) Notices to Committees. Copies of all notices required to be mailed pursuant to this rule\nshall be mailed to the committees elected under \xc2\xa7705 or appointed under \xc2\xa71102 of the Code or to\ntheir authorized agents. Notwithstanding the foregoing subdivisions, the court may order that\nnotices required by subdivision (a)(2), (3) and (6) of this rule be transmitted to the United States\ntrustee and be mailed only to the committees elected under \xc2\xa7705 or appointed under \xc2\xa71102 of the\nCode or to their authorized agents and to the creditors and equity security holders who serve on the\ntrustee or debtor in possession and file a request that all notices be mailed to them. A committee\nappointed under \xc2\xa71114 shall receive copies of all notices required by subdivisions (a)(1), (a)(5),\n(b), (f)(2), and (f)(7), and such other notices as the court may direct.\n(j) Notices to the United States. Copies of notices required to be mailed to all creditors\nunder this rule shall be mailed (1) in a chapter 11 reorganization case, to the Securities and\nExchange Commission at any place the Commission designates, if the Commission has filed either\na notice of appearance in the case or a written request to receive notices; (2) in a commodity broker\ncase, to the Commodity Futures Trading Commission at Washington, D.C.; (3) in a chapter 11\ncase, to the Internal Revenue Service at its address set out in the register maintained under Rule\n5003(e) for the district in which the case is pending; (4) if the papers in the case disclose a debt to\nthe United States other than for taxes, to the United States attorney for the district in which the case\nis pending and to the department, agency, or instrumentality of the United States through which the\ndebtor became indebted; or (5) if the filed papers disclose a stock interest of the United States, to\nthe Secretary of the Treasury at Washington, D.C.\n(k) Notices to United States Trustee. Unless the case is a chapter 9 municipality case or\nunless the United States trustee requests otherwise, the clerk, or some other person as the court\nmay direct, shall transmit to the United States trustee notice of the matters described in\nsubdivisions (a)(2), (a)(3), (a)(4), (a)(8), (b), (f)(1), (f)(2), (f)(4), (f)(6), (f)(7), (f)(8), and (q) of this\nrule and notice of hearings on all applications for compensation or reimbursement of expenses.\nNotices to the United States trustee shall be transmitted within the time prescribed in subdivision\n(a) or (b) of this rule. The United States trustee shall also receive notice of any other matter if such\nnotice is requested by the United States trustee or ordered by the court. Nothing in these rules\nrequires the clerk or any other person to transmit to the United States trustee any notice, schedule,\nreport, application or other document in a case under the Securities Investor Protection Act, 15\nU.S.C. \xc2\xa778aaa et. 1 seq.\n(l) Notice by Publication. The court may order notice by publication if it finds that notice\nby mail is impracticable or that it is desirable to supplement the notice.\n(m) Orders Designating Matter of Notices. The court may from time to time enter orders\ndesignating the matters in respect to which, the entity to whom, and the form and manner in which\nnotices shall be sent except as otherwise provided by these rules.\n(n) Caption. The caption of every notice given under this rule shall comply with Rule 1005.\nThe caption of every notice required to be given by the debtor to a creditor shall include the\ninformation required to be in the notice by \xc2\xa7342(c) of the Code.\n(o) Notice of Order for Relief in Consumer Case. In a voluntary case commenced by an\nindividual debtor whose debts are primarily consumer debts, the clerk or some other person as the\ncourt may direct shall give the trustee and all creditors notice by mail of the order for relief within\n70\n\n\x0c21 days from the date thereof.\n(p) Notice to a Creditor With a Foreign Address.\n(1) If, at the request of the United States trustee or a party in interest, or on its own\ninitiative, the court finds that a notice mailed within the time prescribed by these rules would not\nbe sufficient to give a creditor with a foreign address to which notices under these rules are mailed\nreasonable notice under the circumstances, the court may order that the notice be supplemented\nwith notice by other means or that the time prescribed for the notice by mail be enlarged.\n(2) Unless the court for cause orders otherwise, a creditor with a foreign address to which\nnotices under this rule are mailed shall be given at least 30 days\' notice of the time fixed for filing\na proof of claim under Rule 3002(c) or Rule 3003(c).\n(3) Unless the court for cause orders otherwise, the mailing address of a creditor with a\nforeign address shall be determined under Rule 2002(g).\n(q) Notice of Petition for Recognition of Foreign Proceeding and of Court\'s Intention to\nCommunicate With Foreign Courts and Foreign Representatives.\n(1) Notice of Petition for Recognition. The clerk, or some other person as the court may\ndirect, shall forthwith give the debtor, all persons or bodies authorized to administer foreign\nproceedings of the debtor, all entities against whom provisional relief is being sought under \xc2\xa71519\nof the Code, all parties to litigation pending in the United States in which the debtor is a party at the\ntime of the filing of the petition, and such other entities as the court may direct, at least 21 days\'\nnotice by mail of the hearing on the petition for recognition of a foreign proceeding. The notice\nshall state whether the petition seeks recognition as a foreign main proceeding or foreign nonmain\nproceeding.\n(2) Notice of Court\'s Intention to Communicate with Foreign Courts and Foreign\nRepresentatives. The clerk, or some other person as the court may direct, shall give the debtor, all\npersons or bodies authorized to administer foreign proceedings of the debtor, all entities against\nwhom provisional relief is being sought under \xc2\xa71519 of the Code, all parties to litigation pending\nin the United States in which the debtor is a party at the time of the filing of the petition, and such\nother entities as the court may direct, notice by mail of the court\'s intention to communicate with a\nforeign court or foreign representative.\n(As amended Pub. L. 98\xe2\x80\x9391, \xc2\xa72(a), Aug. 30, 1983, 97 Stat. 607; Pub. L. 98\xe2\x80\x93353, title III,\n\xc2\xa7321, July 10, 1984, 98 Stat. 357; Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1,\n1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 11, 1997, eff. Dec. 1,\n1997; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2001, eff. Dec. 1,\n2001; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 26, 2004, eff. Dec. 1, 2004; Apr. 25, 2005, eff. Dec. 1,\n2005; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSome of the notices required by this rule may be given either by the clerk or as the court\nmay otherwise direct. For example, the court may order the trustee or debtor in possession to\ntransmit one or more of the notices required by this rule, such as, notice of a proposed sale of\nproperty. See \xc2\xa7363(b) of the Code. When publication of notices is required or desirable, reference\nshould be made to Rule 9008.\nNotice of the order for relief is required to be given by \xc2\xa7342 of the Code and by subdivision\n(f)(1) of this rule. That notice may be combined with the notice of the meeting of creditors as\nindicated in Official Form No. 16, the notice and order of the meeting of creditors.\n71\n\n\x0cSubdivision (a) sets forth the requirement that 20 days notice be given of the significant\nevents in a case under the Bankruptcy Code. The former Act and Rules provided a ten day notice in\nbankruptcy and Chapter XI cases, and a 20 day notice in a Chapter X case. This rule generally\nmakes uniform the 20 day notice provision except that subdivision (b) contains a 25 day period for\ncertain events in a chapter 9, 11, or 13 case. Generally, Rule 9006 permits reduction of time\nperiods. Since notice by mail is complete on mailing, the requirement of subdivision (a) is satisfied\nif the notices are deposited in the mail at least 20 days before the event. See Rule 9006(e). The\nexceptions referred to in the introductory phrase include the modifications in the notice procedure\npermitted by subdivision (h) as to non-filing creditors, subdivision (i) as to cases where a\ncommittee is functioning, and subdivision (k) where compliance with subdivision (a) is\nimpracticable.\nThe notice of a proposed sale affords creditors an opportunity to object to the sale and raise\na dispute for the court\'s attention. Section 363(b) of the Code permits the trustee or debtor in\npossession to sell property, other than in the ordinary course of business, only after notice and\nhearing. If no objection is raised after notice, \xc2\xa7102(1) provides that there need not be an actual\nhearing. Thus, absent objection, there would be no court involvement with respect to a trustee\'s\nsale. Once an objection is raised, only the court may pass on it.\nPrior to the Code the court could shorten the notice period for a proposed sale of property\nor dispense with notice. This subdivision (a), permits the 20 day period to be shortened in\nappropriate circumstances but the rule does not contain a provision allowing the court to dispense\nwith notice. The rule is thus consistent with the Code, \xc2\xa7\xc2\xa7363(b) and 102(1)(A) of the Code. See 28\nU.S.C. \xc2\xa72075. It may be necessary, in certain circumstances, however, to use a method of notice\nother than mail. Subdivision (a)(2) vests the court with discretion, on cause shown, to order a\ndifferent method. Reference should also be made to Rule 6004 which allows a different type of\nnotice of proposed sales when the property is of little value.\nNotice of the hearing on an application for compensation or reimbursement of expenses\ntotalling $100 or less need not be given. In chapter 13 cases relatively small amounts are\nsometimes allowed for post-confirmation services and it would not serve a useful purpose to\nrequire advance notice.\nSubdivision (b) is similar to subdivision (a) but lengthens the notice time to 25 days with\nrespect to those events particularly significant in chapter 9, 11 and 13 cases. The additional time\nmay be necessary to formulate objections to a disclosure statement or confirmation of a plan and\npreparation for the hearing on approval of the disclosure statement or confirmation. The disclosure\nstatement and hearing thereon is only applicable in chapter 9 cases (\xc2\xa7901(a) of the Code), and\nchapter 11 cases (\xc2\xa71125 of the Code).\nSubdivision (c) specifies certain matters that should be included in the notice of a proposed\nsale of property and notice of the hearing on an application for allowances. Rule 6004 fixes the\ntime within which parties in interest may file objections to a proposed sale of property.\nSubdivision (d) relates exclusively to the notices given to equity security holders in chapter\n11 cases. Under chapter 11, a plan may impair the interests of the debtor\'s shareholders or a plan\nmay be a relatively simple restructuring of unsecured debt. In some cases, it is necessary that\nequity interest holders receive various notices and in other cases there is no purpose to be served.\nThis subdivision indicates that the court is not mandated to order notices but rather that the matter\nshould be treated with some flexibility. The court may decide whether notice is to be given and\nhow it is to be given. Under \xc2\xa7341(b) of the Code, a meeting of equity security holders is not\nrequired in each case, only when it is ordered by the court. Thus subdivision (d)(2) requires notice\n72\n\n\x0conly when the court orders a meeting.\nIn addition to the notices specified in this subdivision, there may be other events or matters\narising in a case as to which equity security holders should receive notice. These are situations left\nto determination by the court.\nSubdivision (e), authorizing a notice of the apparent insufficiency of assets for the payment\nof any dividend, is correlated with Rule 3002(c)(5), which provides for the issuance of an\nadditional notice to creditors if the possibility of a payment later materializes.\nSubdivision (f) provides for the transmission of other notices to which no time period\napplies. Clause (1) requires notice of the order for relief; this complements the mandate of \xc2\xa7342 of\nthe Code requiring such notice as is appropriate of the order for relief. This notice may be\ncombined with the notice of the meeting of creditors to avoid the necessity of more than one\nmailing. See Official Form No. 16, notice of meeting of creditors.\nSubdivision (g) recognizes that an agent authorized to receive notices for a creditor may,\nwithout a court order, designate where notices to the creditor he represents should be addressed.\nAgent includes an officer of a corporation, an attorney at law, or an attorney in fact if the requisite\nauthority has been given him. It should be noted that Official Forms Nos. 17 and 18 do not include\nan authorization of the holder of a power of attorney to receive notices for the creditor. Neither\nthese forms nor this rule carries any implication that such an authorization may not be given in a\npower of attorney or that a request for notices to be addressed to both the creditor or his duly\nauthorized agent may not be filed.\nSubdivision (h). After the time for filing claims has expired in a chapter 7 case, creditors\nwho have not filed their claims in accordance with Rule 3002(c) are not entitled to share in the\nestate except as they may come within the special provisions of \xc2\xa7726 of the Code or Rule\n3002(c)(6). The elimination of notice to creditors who have no recognized stake in the estate may\npermit economies in time and expense. Reduction of the list of creditors to receive notices under\nthis subdivision is discretionary. This subdivision does not apply to the notice of the meeting of\ncreditors.\nSubdivision (i) contains a list of matters of which notice may be given a creditors\'\ncommittee or to its authorized agent in lieu of notice to the creditors. Such notice may serve every\npractical purpose of a notice to all the creditors and save delay and expense. In re Schulte-United,\nInc., 59 F.2d 553, 561 (8th Cir. 1932).\nSubdivision (j). The premise for the requirement that the district director of internal\nrevenue receive copies of notices that all creditors receive in a chapter 11 case is that every debtor\nis potentially a tax debtor of the United States. Notice to the district director alerts him to the\npossibility that a tax debtor\'s estate is about to be liquidated or reorganized and that the debtor may\nbe discharged. When other indebtedness to the United States is indicated, the United States\nattorney is notified as the person in the best position to protect the interests of the government. In\naddition, the provision requires notice by mail to the head of any department, agency, or\ninstrumentality of the United States through whose action the debtor became indebted to the\nUnited States. This rule is not intended to preclude a local rule from requiring a state or local tax\nauthority to receive some or all of the notices to creditors under these rules.\nSubdivision (k) specifies two kinds of situations in which notice by publication may be\nappropriate: (1) when notice by mail is impracticable; and (2) when notice by mail alone is less\nthan adequate. Notice by mail may be impracticable when, for example, the debtor has disappeared\nor his records have been destroyed and the names and addresses of his creditors are unavailable, or\nwhen the number of creditors with nominal claims is very large and the estate to be distributed may\n73\n\n\x0cbe insufficient to defray the costs of issuing the notices. Supplementing notice by mail is also\nindicated when the debtor\'s records are incomplete or inaccurate and it is reasonable to believe that\npublication may reach some of the creditors who would otherwise be missed. Rule 9008 applies\nwhen the court directs notice by publication under this rule. Neither clause (2) of subdivision (a)\nnor subdivision (k) of this rule is concerned with the publication of advertisement to the general\npublic of a sale of property of the estate at public auction under Rule 6004(b). See 3 Collier,\nBankruptcy 522\xe2\x80\x9323 (14th ed. 1971); 4B id. 1165\xe2\x80\x9367 (1967); 2 id. 363.03 (15th ed. 1981).\nSubdivision (m). Inclusion in notices to creditors of information as to other names used by\nthe debtor as required by Rule 1005 will assist them in the preparation of their proofs of claim and\nin deciding whether to file a complaint objecting to the debtor\'s discharge. Additional names may\nbe listed by the debtor on his statement of affairs when he did not file the petition. The mailing of\nnotices should not be postponed to await a delayed filing of the statement of financial affairs.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended to provide that notice of a hearing on an application for\ncompensation must be given only when the amount requested is in excess of $500.\nSubdivision (d). A new notice requirement is added as clause (3). When a proposed sale is\nof all or substantially all of the debtor\'s assets, it is appropriate that equity security holders be given\nnotice of the proposed sale. The clauses of subdivision (d) are renumbered to accommodate this\naddition.\nSubdivision (f). Clause (7) is eliminated. Mailing of a copy of the discharge order is\ngoverned by Rule 4004(g).\nSubdivision (g) is amended to relieve the clerk of the duty to mail notices to the address\nshown in a proof of claim when a notice of no dividend has been given pursuant to Rule 2002. This\namendment avoids the necessity of the clerk searching proofs of claim which are filed in no\ndividend cases to ascertain whether a different address is shown.\nSubdivision (n) was enacted by \xc2\xa7321 of the 1984 amendments.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a)(3) is amended to exclude compromise or settlement agreements\nconcerning adequate protection or which modify or terminate the automatic stay, provide for use\nof cash collateral, or create a senior or equal lien on collateral to obtain credit. Notice requirements\nrelating to approval of such agreements are governed by Rule 4001(d).\nSubdivision (a)(5) is amended to include a hearing on dismissal or conversion of a chapter\n12 case. This subdivision does not apply when a hearing is not required. It is also amended to avoid\nthe necessity of giving notice to all creditors of a hearing on the dismissal of a consumer debtor\'s\ncase based on substantial abuse of chapter 7. Such hearings on dismissal under \xc2\xa7707(b) of the\nCode are governed by Rule 1017(e).\nSubdivision (a)(9) is added to provide for notice of the time fixed for filing objections and\nthe hearing to consider confirmation of a plan in a chapter 12 case. Section 1224 of the Code\nrequires "expedited notice" of the confirmation hearing in a chapter 12 case and requires that the\nhearing be concluded not later than 45 days after the filing of the plan unless the time is extended\nfor cause. This amendment establishes 20 days as the notice period. The court may shorten this\ntime on its own motion or on motion of a party in interest. The notice includes both the date of the\nhearing and the date for filing objections, and must be accompanied by a copy of the plan or a\n74\n\n\x0csummary of the plan in accordance with Rule 3015(d).\nSubdivision (b) is amended to delete as unnecessary the references to subdivisions (h) and\n(i).\nSubdivision (d) does not require notice to equity security holders in a chapter 12 case. The\nprocedural burden of requiring such notice is outweighed by the likelihood that all equity security\nholders of a family farmer will be informed of the progress of the case without formal notice.\nSubdivision (d) is amended to recognize that the United States trustee may convene a meeting of\nequity security holders pursuant to \xc2\xa7341(b).\nSubdivision (f)(2) is amended and subdivision (f)(4) is deleted to require notice of any\nconversion of the case, whether the conversion is by court order or is effectuated by the debtor\nfiling a notice of conversion pursuant to \xc2\xa7\xc2\xa71208(a) or 1307(a). Subdivision (f)(8), renumbered\n(f)(7), is amended to include entry of an order confirming a chapter 12 plan. Subdivision (f)(9) is\namended to increase the amount to $1,500.\nSubdivisions (g) and (j) are amended to delete the words "with the court" and subdivision\n(i) is amended to delete the words "with the clerk" because these phrases are unnecessary. See\nRules 5005(a) and 9001(3).\nSubdivision (i) is amended to require that the United States trustee receive notices required\nby subdivision (a)(2), (3) and (7) of this rule notwithstanding a court order limiting such notice to\ncommittees and to creditors and equity security holders who request such notices. Subdivision (i)\nis amended further to include committees elected pursuant to \xc2\xa7705 of the Code and to provide that\ncommittees of retired employees appointed in chapter 11 cases receive certain notices.\nSubdivision (k) is derived from Rule X\xe2\x80\x931008. The administrative functions of the United\nStates trustee pursuant to 28 U.S.C. \xc2\xa7586(a) and standing to be heard on issues under \xc2\xa7307 and\nother sections of the Code require that the United States trustee be informed of developments and\nissues in every case except chapter 9 cases. The rule omits those notices described in subdivision\n(a)(1) because a meeting of creditors is convened only by the United States trustee, and those\nnotices described in subdivision (a)(4) (date fixed for filing claims against a surplus), subdivision\n(a)(6) (time fixed to accept or reject proposed modification of a plan), subdivision (a)(8) (time\nfixed for filing proofs of claims in chapter 11 cases), subdivision (f)(3) (time fixed for filing claims\nin chapter 7, 12, and 13 cases), and subdivision (f)(5) (time fixed for filing complaint to determine\ndischargeability of debt) because these notices do not relate to matters that generally involve the\nUnited States trustee. Nonetheless, the omission of these notices does not prevent the United States\ntrustee from receiving such notices upon request. The United States trustee also receives notice of\nhearings on applications for compensation or reimbursement without regard to the $500 limitation\ncontained in subdivision (a)(7) of this rule. This rule is intended to be flexible in that it permits the\nUnited States trustee in a particular judicial district to request notices in certain categories, and to\nrequest not to receive notices in other categories, when the practice in that district makes that\ndesirable.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nSubdivision (j) is amended to avoid the necessity of sending an additional notice to the\nWashington, D.C. address of the Securities and Exchange Commission if the Commission prefers\nto have notices sent only to a local office. This change also clarifies that notices required to be\nmailed pursuant to this rule must be sent to the Securities and Exchange Commission only if it has\nfiled a notice of appearance or has filed a written request. Other amendments are stylistic and make\nno substantive change.\n75\n\n\x0cNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\n\nParagraph (a)(4) is abrogated to conform to the abrogation of Rule 3002(c)(6). The\nremaining paragraphs of subdivision (a) are renumbered, and references to these paragraphs\ncontained in other subdivisions of this rule are amended accordingly.\nParagraph (f)(8) is amended so that a summary of the trustee\'s final account, which is\nprepared after distribution of property, does not have to be mailed to the debtor, all creditors, and\nindenture trustees in a chapter 7 case. Parties are sufficiently protected by receiving a summary of\nthe trustee\'s final report that informs parties of the proposed distribution of property.\nSubdivision (h) is amended (1) to provide that an order under this subdivision may not be\nissued if a notice of no dividend is given pursuant to Rule 2002(e) and the time for filing claims has\nnot expired as provided in Rule 3002(c)(5); (2) to clarify that notices required to be mailed by\nsubdivision (a) to parties other than creditors must be mailed to those entities despite an order\nissued pursuant to subdivision (h); (3) to provide that if the court, pursuant to Rule 3002(c)(1) or\n3002(c)(2), has granted an extension of time to file a proof of claim, the creditor for whom the\nextension has been granted must continue to receive notices despite an order issued pursuant to\nsubdivision (h); and (4) to delete references to subdivision (a)(4) and Rule 3002(c)(6), which have\nbeen abrogated.\nOther amendments to this rule are stylistic.\nGAP Report on Rule 2002. No changes since publication, except for stylistic changes and\nthe correction of a typographical error in the committee note.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nParagraph (a)(1) is amended to include notice of a meeting of creditors convened under\n\xc2\xa71104(b) of the Code for the purpose of electing a trustee in a chapter 11 case. The court for cause\nshown may order the 20-day period reduced pursuant to Rule 9006(c)(1).\nSubdivision (n) is amended to conform to the 1994 amendment to \xc2\xa7342 of the Code. As\nprovided in \xc2\xa7342(c), the failure of a notice given by the debtor to a creditor to contain the\ninformation required by \xc2\xa7342(c) does not invalidate the legal effect of the notice.\nGAP Report on Rule 2002. No changes to the published draft.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nParagraph (a)(4) is amended to conform to the amendments to Rule 1017. If the United\nStates trustee files a motion to dismiss a case for the debtor\'s failure to file the list of creditors,\nschedules, or the statement of financial affairs within the time specified in \xc2\xa7707(a)(3), the\namendments to this rule and to Rule 1017 eliminate the requirement that all creditors receive\nnotice of the hearing.\nParagraph (a)(4) is amended further to conform to Rule 1017(b), which requires that notice\nof the hearing on dismissal of a case for failure to pay the filing fee be served on only the debtor\nand the trustee.\nParagraph (f)(2) is amended to provide for notice of the suspension of proceedings under\n\xc2\xa7305.\nGAP Report on Rule 2002. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942000 Amendment\n76\n\n\x0cParagraph (a)(6) is amended to increase the dollar amount from $500 to $1,000. The\namount was last amended in 1987, when it was changed from $100 to $500. The amendment also\nclarifies that the notice is required only if a particular entity is requesting more than $1,000 as\ncompensation or reimbursement of expenses. If several professionals are requesting compensation\nor reimbursement, and only one hearing will be held on all applications, notice under paragraph\n(a)(6) is required only with respect to the entities that have requested more than $1,000. If each\napplicant requests $1,000 or less, notice under paragraph (a)(6) is not required even though the\naggregate amount of all applications to be considered at the hearing is more than $1,000.\nIf a particular entity had filed prior applications or had received compensation or\nreimbursement of expenses at an earlier time in the case, the amounts previously requested or\nawarded are not considered when determining whether the present application exceeds $1,000 for\nthe purpose of applying this rule.\nGAP Report on Rule 2002(a). No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942001 Amendment\nSubdivision (c)(3) is added to assure that parties given notice of a hearing to consider\nconfirmation of a plan under subdivision (b) are given adequate notice of an injunction provided\nfor in the plan if it would enjoin conduct that is not otherwise enjoined by operation of the Code.\nThe validity and effect of any injunction provided for in a plan are substantive law matters that are\nbeyond the scope of these rules.\nThe notice requirement of subdivision (c)(3) is not applicable to an injunction contained in\na plan if it is substantially the same as an injunction provided under the Code. For example, if a\nplan contains an injunction against acts to collect a discharged debt from the debtor, Rule\n2002(c)(3) would not apply because that conduct would be enjoined under \xc2\xa7524(a)(2) upon the\ndebtor\'s discharge. But if a plan provides that creditors will be enjoined from asserting claims\nagainst persons who are not debtors in the case, the notice of the confirmation hearing must\ninclude the information required under Rule 2002(c)(3) because that conduct would not be\nenjoined by operation of the Code. See \xc2\xa7524(e).\nThe requirement that the notice identify the entities that would be subject to the injunction\nrequires only reasonable identification under the circumstances. If the entities that would be\nsubject to the injunction cannot be identified by name, the notice may describe them by class or\ncategory if reasonable under the circumstances. For example, it may be sufficient for the notice to\nidentify the entities as "all creditors of the debtor" and for the notice to be published in a manner\nthat satisfies due process requirements.\nSubdivision (g) has been revised to clarify that where a creditor or indenture trustee files\nboth a proof of claim which includes a mailing address and a separate request designating a\nmailing address, the last paper filed determines the proper address. The amendments also clarify\nthat a request designating a mailing address is effective only with respect to a particular case.\nUnder Rule 2002(g), a duly filed proof of claim is considered a request designating a\nmailing address if a notice of no dividend has been given under Rule 2002(e), but has been\nsuperseded by a subsequent notice of possible dividend under Rule 3002(c)(5). A duly filed proof\nof interest is considered a request designating a mailing address of an equity security holder.\nRule 2002(g)(3) is added to assure that notices to an infant or incompetent person under\nthis rule are mailed to the appropriate guardian or other legal representative. Under Rule 1007(m),\n77\n\n\x0cif the debtor knows that a creditor is an infant or incompetent person, the debtor is required to\ninclude in the list and schedule of creditors the name and address of the person upon whom process\nwould be served in an adversary proceeding in accordance with Rule 7004(b)(2). If the infant or\nincompetent person, or another person, files a request or proof of claim designating a different\nname and mailing address, the notices would have to be mailed to both names and addresses until\nthe court resolved the issue as to the proper mailing address.\nThe other amendments to Rule 2002(g) are stylistic.\nChanges Made After Publication and Comments. In Rule 2002(c)(3), the word\n"highlighted" was replaced with "underlined" because highlighted documents are difficult to scan\nelectronically for inclusion in the clerks\' files. The Committee Note was revised to put in a more\nprominent position the statement that the validity and effect of any injunction provided for in a\nplan are substantive matters beyond the scope of the rules.\nIn Rule 2002(g), no changes were made.\nCommittee Notes on Rules\xe2\x80\x942003 Amendment\nSubdivision (a)(1) of the rule is amended to direct the clerk or other person giving notice of\nthe \xc2\xa7341 or \xc2\xa71104(b) meeting of creditors to include the debtor\'s full social security number on the\nnotice. Official Form 9, the form of the notice of the meeting of creditors that will become a part of\nthe court\'s file in the case, will include only the last four digits of the debtor\'s social security\nnumber. This rule, however, directs the clerk to include the full social security number on the\nnotice that is served on the creditors and other identified parties, unless the court orders otherwise\nin a particular case. This will enable creditors and other parties in interest who are in possession of\nthe debtor\'s social security number to verify the debtor\'s identity and proceed accordingly. The\nfiled Official Form 9, however, will not include the debtor\'s full social security number. This will\nprevent the full social security number from becoming a part of the court\'s file in the case, and the\nnumber will not be included in the court\'s electronic records. Creditors who already have the\ndebtor\'s social security number will be able to verify the existence of a case under the debtor\'s\nsocial security number, but any person searching the electronic case files without the number will\nnot be able to acquire the debtor\'s social security number.\nChanges Made After Publication and Comments. The rule amendment was made in\nresponse to concerns of both private creditors and taxing authorities that truncating the social\nsecurity number of a debtor to the last four digits would unduly hamper their ability to identify the\ndebtor and govern their actions accordingly. Therefore, the Advisory Committee amended Rule\n2002 to require the clerk to include the debtor\'s full social security number on the notice informing\ncreditors of the \xc2\xa7341 meeting and other significant deadlines in the case. This is essentially a\ncontinuation of the practice under the current rules, and the amendment is necessary because of the\namendment to Rule 1005 that restricts publication of the social security number on the caption of\nthe petition to the final four digits of the number.\nCommittee Notes on Rules\xe2\x80\x942004 Amendment\nThe rule is amended to reflect that the structure of the Internal Revenue Service no longer\nincludes a District Director. Thus, rather than sending notice to the District Director, the rule now\nrequires that the notices be sent to the location designated by the Service and set out in the register\nof addresses maintained by the clerk under Rule 5003(e). The other change is stylistic.\nCommittee Notes on Rules\xe2\x80\x942005 Amendment\n78\n\n\x0cA new paragraph (g)(4) is inserted in the rule. The new paragraph authorizes an entity and\na notice provider to agree that the notice provider will give notices to the entity at the address or\naddresses set out in their agreement. Rule 9001(9) sets out the definition of a notice provider.\nThe business of many entities is national in scope, and technology currently exists to direct\nthe transmission of notice (both electronically and in paper form) to those entities in an accurate\nand much more efficient manner than by sending individual notices to the same creditor by\nseparate mailings. The rule authorizes an entity and a notice provider to determine the manner of\nthe service as well as to set the address or addresses to which the notices must be sent. For\nexample, they could agree that all notices sent by the notice provider to the entity must be sent to a\nsingle, nationwide electronic or postal address. They could also establish local or regional\naddresses to which notices would be sent in matters pending in specific districts. Since the entity\nand notice provider also can agree on the date of the commencement of service under the\nagreement, there is no need to set a date in the rule after which notices would have to be sent to the\naddress or addresses that the entity establishes. Furthermore, since the entity supplies the address\nto the notice provider, use of that address is conclusively presumed to be proper. Nonetheless, if\nthat address is not used, the notice still may be effective if the notice is otherwise effective under\napplicable law. This is the same treatment given under Rule 5003(e) to notices sent to\ngovernmental units at addresses other than those set out in that register of addresses.\nThe remaining subdivisions of Rule 2002(g) continue to govern the addressing of a notice\nthat is not sent pursuant to an agreement described in Rule 2002(g)(4).\nChanges Made After Publication and Comment. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (b) is amended to provide for 25 days\' notice of the time for the court to make\na final determination whether the plan in a small business case can serve as a disclosure statement.\nConditional approval of a disclosure statement in a small business case is governed by Rule 3017.1\nand does not require 25 days\' notice. The court may consider this matter in a hearing combined\nwith the confirmation hearing in a small business case.\nBecause of the requirements of Rule 6004(g), subdivision (c)(1) is amended to require that\na trustee leasing or selling personally identifiable information under \xc2\xa7363(b)(1)(A) or (B) of the\nCode, as amended in 2005, include in the notice of the lease or sale transaction a statement as to\nwhether the lease or sale is consistent with a policy prohibiting the transfer of the information.\nSubdivisions (f)(9) and (10) are new. They reflect the 2005 amendments to \xc2\xa7\xc2\xa7342(d) and\n704(b) of the Code. Section 342(d) requires the clerk to give notice to creditors shortly after the\ncommencement of the case as to whether a presumption of abuse exists. Subdivision (f)(9) adds\nthis notice to the list of notices that the clerk must give. Subdivision (f)(10) implements the\namendment to \xc2\xa7704(b), which requires the court to provide a copy to all creditors of a statement by\nthe United States trustee or bankruptcy administrator as to whether the debtor\'s case would be\npresumed to be an abuse under \xc2\xa7707(b) not later than five days after receiving it.\nSubdivision (f)(11) is also added to provide notice to creditors of the debtor\'s filing of a\nstatement in a chapter 11, 12, or 13 case that there is no reasonable cause to believe that \xc2\xa7522(q)\napplies in the case. This allows a creditor who disputes that assertion to request a delay of the entry\nof the discharge in the case.\nSubdivision (g)(2) of the rule is amended because the 2005 amendments to \xc2\xa7342(f) of the\n79\n\n\x0cCode permit creditors in chapter 7 and 13 individual debtor cases to file a notice with any\nbankruptcy court of the address to which the creditor wishes all notices to be sent. The amendment\nto Rule 2002(g)(2) therefore only limits application of the subdivision when a creditor files a\nnotice under \xc2\xa7342(f).\nNew subdivision (g)(5) implements \xc2\xa7342(g)(1) which was added to the Code in 2005.\nSection 342(g)(1) allows a creditor to treat a notice as not having been brought to the creditor\'s\nattention, and so potentially ineffective, until it is received by a person or organizational\nsubdivision that the creditor has designated to receive notices under the Bankruptcy Code. Under\nthat section, the creditor must have established reasonable procedures for such notices to be\ndelivered to the designated person or subdivision. The rule provides that, in order to challenge a\nnotice under \xc2\xa7342(g)(1), a creditor must have filed the name and address of the designated notice\nrecipient, as well as a description of the procedures for directing notices to that recipient, prior to\nthe time that the challenged notice was issued. The filing required by the rule may be made as part\nof a creditor\'s filing under \xc2\xa7342(f), which allows a creditor to file a notice of the address to be used\nby all bankruptcy courts or by particular bankruptcy courts to provide notice to the creditor in\ncases under chapters 7 and 13. Filing the name and address of the designated notice recipient and\nthe procedures for directing notices to that recipient will reduce uncertainty as to the proper party\nfor receiving notice and limit factual disputes as to whether a notice recipient has been designated\nand as to the nature of procedures adopted to direct notices to the recipient.\nSubdivision (k) is amended to add notices given under subdivision (q) to the list of notices\nwhich must be served on the United States trustee.\nSection 1514(d) of the Code, added by the 2005 amendments, requires that such additional\ntime as is reasonable under the circumstances be given to creditors with foreign addresses with\nrespect to notices and the filing of a proof of claim. Thus, subdivision (p)(1) is added to this rule to\ngive the court flexibility to direct that notice by other means shall supplement notice by mail, or to\nenlarge the notice period, for creditors with foreign addresses. If cause exists, such as likely delays\nin the delivery of mailed notices in particular locations, the court may order that notice also be\ngiven by email, facsimile, or private courier. Alternatively, the court may enlarge the notice period\nfor a creditor with a foreign address. It is expected that in most situations involving foreign\ncreditors, fairness will not require any additional notice or extension of the notice period. This rule\nrecognizes that the court has discretion to establish procedures to determine, on its own initiative,\nwhether relief under subdivision (p) is appropriate, but that the court is not required to establish\nsuch procedures and may decide to act only on request of a party in interest.\nSubdivision (p)(2) is added to the rule to grant creditors with a foreign address to which\nnotices are mailed at least 30 days\' notice of the time within which to file proofs of claims if notice\nis mailed to the foreign address, unless the court orders otherwise. If cause exists, such as likely\ndelays in the delivery of notices in particular locations, the court may extend the notice period for\ncreditors with foreign addresses. The court may also shorten the additional notice time if\ncircumstances so warrant. For example, if the court in a chapter 11 case determines that\nsupplementing the notice to a foreign creditor with notice by electronic means, such as email or\nfacsimile, would give the creditor reasonable notice, the court may order that the creditor be given\nonly 20 days\' notice in accordance with Rule 2002(a)(7).\nSubdivision (p)(3) is added to provide that the court may, for cause, override a creditor\'s\ndesignation of a foreign address under Rule 2002(g). For example, if a party in interest believes\nthat a creditor has wrongfully designated a foreign address to obtain additional time when it has a\nsignificant presence in the United States, the party can ask the court to order that notices to that\n80\n\n\x0ccreditor be sent to an address other than the one designated by the foreign creditor.\nSubdivision (q) is added to require that notice of the hearing on the petition for recognition\nof a foreign proceeding be given to the debtor, all administrators in foreign proceedings of the\ndebtor, entities against whom provisional relief is sought, and entities with whom the debtor is\nengaged in litigation at the time of the commencement of the case. There is no need at this stage of\nthe proceedings to provide notice to all creditors. If the foreign representative should take action to\ncommence a case under another chapter of the Code, the rules governing those proceedings will\noperate to provide that notice is given to all creditors.\nThe rule also requires notice of the court\'s intention to communicate with a foreign court or\nforeign representative.\nChanges Made After Publication. Subdivision (g)(2) was amended to provide that the\ndesignated address of a governmental unit under Rule 5003(e) establishes an exception to the rule\nthat a creditor\'s address is to be taken from the debtor\'s schedules. The fifth and sixth paragraphs of\nthe Committee Note were amended to explain that change.\nSubdivision (p)(3) was added to the rule to provide that the court may override a creditor\'s\ndesignation of a foreign mailing address under Rule 2002(g). This will permit a party in interest to\nseek court relief if a creditor has improperly designated a foreign address.\nSubdivision (q)(1) and (2) were amended by adopting language from \xc2\xa7101(24) to identify\nforeign representatives as "all persons or bodies authorized to administer foreign proceedings of\nthe debtor" rather than as "all administrators in foreign proceedings of the debtor." References to\nRule 5012 in subdivision (q)(2) and in the Committee Note were deleted.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nReferences in Text\nThe Securities Investor Protection Act, referred to in subd. (k), probably means the\nSecurities Investor Protection Act of 1970, Pub. L. 91\xe2\x80\x93598, Dec. 30, 1970, 84 Stat. 1636, as\namended, which is classified generally to chapter 2B\xe2\x80\x931 (\xc2\xa778aaa et seq.) of Title 15, Commerce and\nTrade. For complete classification of this Act to the Code, see section 78aaa of Title 15 and Tables.\nAmendment by Public Law\n1984\xe2\x80\x94Subd. (n). Pub. L. 98\xe2\x80\x93353 added subd. (n).\n1983\xe2\x80\x94Subd. (f). Pub. L. 98\xe2\x80\x9391 inserted ", or some other person as the Court may direct,"\nafter "clerk".\nEffective Date of 1984 Amendment\n81\n\n\x0cAmendment by Pub. L. 98\xe2\x80\x93353 effective with respect to cases filed 90 days after July 10,\n1984, see section 552(a) of Pub. L. 98\xe2\x80\x93353, set out as a note under section 101 of this title.\nEffective Date of 1983 Amendment\nSection 1 of Pub. L. 98\xe2\x80\x9391 provided: "That rule 2002(f) of the Bankruptcy Rules, as\nproposed by the United States Supreme Court in the order of April 25, 1983, of the Court, shall\ntake effect on August 1, 1983, except as otherwise provided in section 2 [amending subd. (f) of this\nrule and enacting a provision set out as a note below]."\nSection 2(b) of Pub. L. 98\xe2\x80\x9391 provided that: "The amendment made by subsection (a)\n[amending subd. (f) of this rule] shall take effect on August 1, 1983."\n1\nSo in original. Period probably should not appear.\n\nRule 2003. Meeting of Creditors or Equity Security Holders\n(a) Date and Place. Except as otherwise provided in \xc2\xa7341(e) of the Code, in a chapter 7\nliquidation or a chapter 11 reorganization case, the United States trustee shall call a meeting of\ncreditors to be held no fewer than 21 and no more than 40 days after the order for relief. In a\nchapter 12 family farmer debt adjustment case, the United States trustee shall call a meeting of\ncreditors to be held no fewer than 21 and no more than 35 days after the order for relief. In a\nchapter 13 individual\'s debt adjustment case, the United States trustee shall call a meeting of\ncreditors to be held no fewer than 21 and no more than 50 days after the order for relief. If there is\nan appeal from or a motion to vacate the order for relief, or if there is a motion to dismiss the case,\nthe United States trustee may set a later date for the meeting. The meeting may be held at a regular\nplace for holding court or at any other place designated by the United States trustee within the\ndistrict convenient for the parties in interest. If the United States trustee designates a place for the\nmeeting which is not regularly staffed by the United States trustee or an assistant who may preside\nat the meeting, the meeting may be held not more than 60 days after the order for relief.\n(b) Order of Meeting.\n(1) Meeting of Creditors. The United States trustee shall preside at the meeting of creditors.\nThe business of the meeting shall include the examination of the debtor under oath and, in a\nchapter 7 liquidation case, may include the election of a creditors\' committee and, if the case is not\nunder subchapter V of chapter 7, the election of a trustee. The presiding officer shall have the\nauthority to administer oaths.\n(2) Meeting of Equity Security Holders. If the United States trustee convenes a meeting of\nequity security holders pursuant to \xc2\xa7341(b) of the Code, the United States trustee shall fix a date\nfor the meeting and shall preside.\n(3) Right To Vote. In a chapter 7 liquidation case, a creditor is entitled to vote at a meeting\nif, at or before the meeting, the creditor has filed a proof of claim or a writing setting forth facts\nevidencing a right to vote pursuant to \xc2\xa7702(a) of the Code unless objection is made to the claim or\nthe proof of claim is insufficient on its face. A creditor of a partnership may file a proof of claim or\nwriting evidencing a right to vote for the trustee for the estate of the general partner\nnotwithstanding that a trustee for the estate of the partnership has previously qualified. In the event\n82\n\n\x0cof an objection to the amount or allowability of a claim for the purpose of voting, unless the court\norders otherwise, the United States trustee shall tabulate the votes for each alternative presented by\nthe dispute and, if resolution of such dispute is necessary to determine the result of the election, the\ntabulations for each alternative shall be reported to the court.\n(c) Record of Meeting. Any examination under oath at the meeting of creditors held\npursuant to \xc2\xa7341(a) of the Code shall be recorded verbatim by the United States trustee using\nelectronic sound recording equipment or other means of recording, and such record shall be\npreserved by the United States trustee and available for public access until two years after the\nconclusion of the meeting of creditors. Upon request of any entity, the United States trustee shall\ncertify and provide a copy or transcript of such recording at the entity\'s expense.\n(d) Report of Election and Resolution of Disputes in a Chapter 7 Case.\n(1) Report of Undisputed Election. In a chapter 7 case, if the election of a trustee or a\nmember of a creditors\' committee is not disputed, the United States trustee shall promptly file a\nreport of the election, including the name and address of the person or entity elected and a\nstatement that the election is undisputed.\n(2) Disputed Election. If the election is disputed, the United States trustee shall promptly\nfile a report stating that the election is disputed, informing the court of the nature of the dispute,\nand listing the name and address of any candidate elected under any alternative presented by the\ndispute. No later than the date on which the report is filed, the United States trustee shall mail a\ncopy of the report to any party in interest that has made a request to receive a copy of the report.\nPending disposition by the court of a disputed election for trustee, the interim trustee shall continue\nin office. Unless a motion for the resolution of the dispute is filed no later than 14 days after the\nUnited States trustee files a report of a disputed election for trustee, the interim trustee shall serve\nas trustee in the case.\n(e) Adjournment. The meeting may be adjourned from time to time by announcement at the\nmeeting of the adjourned date and time. The presiding official shall promptly file a statement\nspecifying the date and time to which the meeting is adjourned.\n(f) Special Meetings. The United States trustee may call a special meeting of creditors on\nrequest of a party in interest or on the United States trustee\'s own initiative.\n(g) Final Meeting. If the United States trustee calls a final meeting of creditors in a case in\nwhich the net proceeds realized exceed $1,500, the clerk shall mail a summary of the trustee\'s final\naccount to the creditors with a notice of the meeting, together with a statement of the amount of the\nclaims allowed. The trustee shall attend the final meeting and shall, if requested, report on the\nadministration of the estate.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 23,\n2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 26, 2011, eff. Dec. 1, 2011.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSection 341(a) of the Code requires a meeting of creditors in a chapter 7, 11 or 13 case, and\n\xc2\xa7341(b) permits the court to order a meeting of equity security holders. A major change from prior\nlaw, however, prohibits the judge from attending or presiding over the meeting. Section 341(c).\nThis rule does not apply either in a case for the reorganization of a railroad or for the\nadjustment of debts of a municipality. Sections 1161 and 901 render \xc2\xa7\xc2\xa7341 and 343 inapplicable in\n83\n\n\x0cthese types of cases. Section 341 sets the requirement for a meeting of creditors and \xc2\xa7343 provides\nfor the examination of the debtor.\nSubdivision (a). The meeting is to be held between 20 and 40 days after the date of the\norder for relief. In a voluntary case, the date of the order for relief is the date of the filing of the\npetition (\xc2\xa7301 of the Code); in an involuntary case, it is the date of an actual order (\xc2\xa7303(i) of the\nCode).\nSubdivision (b) provides flexibility as to who will preside at the meeting of creditors. The\ncourt may designate a person to serve as presiding officer, such as the interim trustee appointed\nunder \xc2\xa7701 of the Code. If the court does not designate anyone, the clerk will preside. In either\ncase, creditors may elect a person of their own choosing. In any event, the clerk may remain to\nrecord the proceedings and take appearances. Use of the clerk is not contrary to the legislative\npolicy of \xc2\xa7341(c). The judge remains insulated from any information coming forth at the meeting\nand any information obtained by the clerk must not be relayed to the judge.\nAlthough the clerk may preside at the meeting, the clerk is not performing any kind of\njudicial role, nor should the clerk give any semblance of performing such a role. It would be\npretentious for the clerk to ascend the bench, don a robe or be addressed as "your honor". The clerk\nshould not appear to parties or others as any type of judicial officer.\nIn a chapter 11 case, if a committee of unsecured creditors has been appointed pursuant to\n\xc2\xa71102(a)(1) of the Code and a chairman has been selected, the chairman will preside or a person,\nsuch as the attorney for the committee, may be designated to preside by the chairman.\nSince the judge must fix the bond of the trustee but cannot be present at the meeting, the\nrule allows the creditors to recommend the amount of the bond. They should be able to obtain\nrelevant information concerning the extent of assets of the debtor at the meeting.\nParagraph (1) authorizes the presiding officer to administer oaths. This is important\nbecause the debtor\'s examination must be under oath.\nParagraph (3) of subdivision (b) has application only in a chapter 7 case. That is the only\ntype of case under the Code that permits election of a trustee or committee. In all other cases, no\nvote is taken at the meeting of creditors. If it is necessary for the court to make a determination\nwith respect to a claim, the meeting may be adjourned until the objection or dispute is resolved.\nThe second sentence recognizes that partnership creditors may vote for a trustee of a\npartner\'s estate along with the separate creditors of the partner. Although \xc2\xa7723(c) gives the trustee\nof a partnership a claim against a partner\'s estate for the full amount of partnership creditors\' claims\nallowed, the purpose and function of this provision are to simplify distribution and prevent double\nproof, not to disfranchise partnership creditors in electing a trustee of an estate against which they\nhold allowable claims.\nSubdivision (c) requires minutes and a record of the meeting to be maintained by the\npresiding officer. A verbatim record must be made of the debtor\'s examination but the rule is\nflexible as to the means used to record the examination.\nSubdivision (d) recognizes that the court must be informed immediately about the election\nor nonelection of a trustee in a chapter 7 case. Pursuant to Rule 2008, the clerk officially informs\nthe trustee of his election or appointment and how he is to qualify. The presiding person has no\nauthority to resolve a disputed election.\nFor purposes of expediency, the results of the election should be obtained for each\nalternative presented by the dispute and immediately reported to the court. Thus, when an\ninterested party presents the dispute to the court, its prompt resolution by the court will determine\nthe dispute and a new or adjourned meeting to conduct the election may be avoided. The clerk is\n84\n\n\x0cnot an interested party.\nA creditors\' committee may be elected only in a chapter 7 case. In chapter 11 cases, a\ncreditors\' committee is appointed pursuant to \xc2\xa71102.\nWhile a final meeting is not required, Rule 2002(f)(10) provides for the trustee\'s final\naccount to be sent to creditors.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a). Many courts schedule meetings of creditors at various locations in the\ndistrict. Because the clerk must schedule meetings at those locations, an additional 20 days for\nscheduling the meetings is provided under the amended rule.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe amendment to subdivision (a) relating to the calling of the meeting of creditors in a\nchapter 12 case is consistent with the expedited procedures of chapter 12. Subdivision (a) is also\namended to clarify that the United States trustee does not call a meeting of creditors in a chapter 9\ncase. Pursuant to \xc2\xa7901(a) of the Code, \xc2\xa7341 is inapplicable in chapter 9 cases. The other\namendments to subdivisions (a), (b)(1), and (b)(2) and the additions of subdivisions (f) and (g) are\nderived from Rule X\xe2\x80\x931006 and conform to the 1986 amendments to \xc2\xa7341 of the Code. The second\nsentence of subdivision (b)(3) is amended because Rule 2009(e) is abrogated. Although the United\nStates trustee fixes the date for the meeting, the clerk of the bankruptcy court transmits the notice\nof the meeting unless the court orders otherwise, as prescribed in Rule 2002(a)(1).\nPursuant to \xc2\xa7702 and \xc2\xa7705 of the Code, creditors may elect a trustee and a committee in a\nchapter 7 case. Subdivision (b) of this rule provides that the United States trustee shall preside over\nany election that is held under those sections. The deletion of the last sentence of subdivision\n(b)(1) does not preclude creditors from recommending to the United States trustee the amount of\nthe trustee\'s bond when a trustee is elected. Trustees and committees are not elected in chapter 11,\n12, and 13 cases.\nIf an election is disputed, the United States trustee shall not resolve the dispute. For\npurposes of expediency, the United States trustee shall tabulate the results of the election for each\nalternative presented by the dispute. However, if the court finds that such tabulation is not feasible\nunder the circumstances, the United States trustee need not tabulate the votes. If such tabulation is\nfeasible and if the disputed vote or votes would affect the result of the election, the tabulations of\nvotes for each alternative presented by the dispute shall be reported to the court. If a motion is\nmade for resolution of the dispute in accordance with subdivision (d) of this rule, the court will\ndetermine the issue and another meeting to conduct the election may not be necessary.\nSubdivisions (f) and (g) are derived from Rule X\xe2\x80\x931006(d) and (e), except that the amount is\nincreased to $1,500 to conform to the amendment to Rule 2002(f).\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nSubdivision (a) is amended to extend by ten days the time for holding the meeting of\ncreditors in a chapter 13 case. This extension will provide more flexibility for scheduling the\nmeeting of creditors. Other amendments are stylistic and make no substantive change.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\n85\n\n\x0cSubdivision (d) is amended to require the United States trustee to mail a copy of a report of\na disputed election to any party in interest that has requested a copy of it. Also, if the election is for\na trustee, the rule as amended will give a party in interest ten days from the filing of the report,\nrather than from the date of the meeting of creditors, to file a motion to resolve the dispute.\nThe substitution of "United States trustee" for "presiding officer" is stylistic. Section\n341(a) of the Code provides that the United States trustee shall preside at the meeting of creditors.\nOther amendments are designed to conform to the style of Rule 2007.1(b)(3) regarding the election\nof a trustee in a chapter 11 case.\nGAP Report on Rule 2003. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942003 Amendment\nThe rule is amended to reflect the enactment of subchapter V of chapter 7 of the Code\ngoverning multilateral clearing organization liquidations. Section 782 of the Code provides that\nthe designation of a trustee or alternative trustee for the case is made by the Federal Reserve Board.\nTherefore, the meeting of creditors in those cases cannot include the election of a trustee.\nChanges Made After Publication and Comments. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nIf the debtor has solicited acceptances to a plan before commencement of the case, \xc2\xa7341(e),\nwhich was added to the Code by the 2005 amendments, authorizes the court, on request of a party\nin interest and after notice and a hearing, to order that a meeting of creditors not be convened. The\nrule is amended to recognize that a meeting of creditors might not be held in those cases.\nChanges Made After Publication. No changes were made after publication.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nCommittee Notes on Rules\xe2\x80\x942011 Amendment\nSubdivision (e). Subdivision (e) is amended to require the presiding official to file a\nstatement after the adjournment of a meeting of creditors or equity security holders designating the\nperiod of the adjournment. The presiding official is the United States trustee or the United States\ntrustee\'s designee. This requirement will provide notice to parties in interest not present at the\ninitial meeting of the date and time to which the meeting has been continued. An adjourned\nmeeting is "held open" as permitted by \xc2\xa71308(b)(1) of the Code. The filing of this statement will\n86\n\n\x0calso discourage premature motions to dismiss or convert the case under \xc2\xa71307(e).\nChanges Made After Publication. No changes were made to the language of the rule\nfollowing publication. The Committee Note was revised to state more explicitly that adjournment\nof a meeting of creditors to a specific date constitutes holding it open for purposes of \xc2\xa71308(b) of\nthe Bankruptcy Code.\n\nRule 2004. Examination\n(a) Examination on Motion. On motion of any party in interest, the court may order the\nexamination of any entity.\n(b) Scope of Examination. The examination of an entity under this rule or of the debtor\nunder \xc2\xa7343 of the Code may relate only to the acts, conduct, or property or to the liabilities and\nfinancial condition of the debtor, or to any matter which may affect the administration of the\ndebtor\'s estate, or to the debtor\'s right to a discharge. In a family farmer\'s debt adjustment case\nunder chapter 12, an individual\'s debt adjustment case under chapter 13, or a reorganization case\nunder chapter 11 of the Code, other than for the reorganization of a railroad, the examination may\nalso relate to the operation of any business and the desirability of its continuance, the source of any\nmoney or property acquired or to be acquired by the debtor for purposes of consummating a plan\nand the consideration given or offered therefor, and any other matter relevant to the case or to the\nformulation of a plan.\n(c) Compelling Attendance and Production of Documents. The attendance of an entity for\nexamination and for the production of documents, whether the examination is to be conducted\nwithin or without the district in which the case is pending, may be compelled as provided in Rule\n9016 for the attendance of a witness at a hearing or trial. As an officer of the court, an attorney may\nissue and sign a subpoena on behalf of the court for the district in which the examination is to be\nheld if the attorney is admitted to practice in that court or in the court in which the case is pending.\n(d) Time and Place of Examination of Debtor. The court may for cause shown and on terms\nas it may impose order the debtor to be examined under this rule at any time or place it designates,\nwhether within or without the district wherein the case is pending.\n(e) Mileage. An entity other than a debtor shall not be required to attend as a witness unless\nlawful mileage and witness fee for one day\'s attendance shall be first tendered. If the debtor resides\nmore than 100 miles from the place of examination when required to appear for an examination\nunder this rule, the mileage allowed by law to a witness shall be tendered for any distance more\nthan 100 miles from the debtor\'s residence at the date of the filing of the first petition commencing\na case under the Code or the residence at the time the debtor is required to appear for the\nexamination, whichever is the lesser.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 29,\n2002, eff. Dec. 1, 2002.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) of this rule is derived from former Bankruptcy Rule 205(a). See generally 2\nCollier, Bankruptcy 343.02, 343.08, 343.13 (15th ed. 1981). It specifies the manner of moving for\nan examination. The motion may be heard ex parte or it may be heard on notice.\nSubdivision (b) is derived from former Bankruptcy Rules 205(d) and 11\xe2\x80\x9326.\nSubdivision (c) specifies the mode of compelling attendance of a witness or party for an\n87\n\n\x0cexamination and for the production of evidence under this rule. The subdivision is substantially\ndeclaratory of the practice that had developed under \xc2\xa721a of the Act. See 2 Collier, supra 343.11.\nThis subdivision will be applicable for the most part to the examination of a person other\nthan the debtor. The debtor is required to appear at the meeting of creditors for examination. The\nword "person" includes the debtor and this subdivision may be used if necessary to obtain the\ndebtor\'s attendance for examination.\nSubdivision (d) is derived from former Bankruptcy Rule 205(f) and is not a limitation on\nsubdivision (c). Any person, including the debtor, served with a subpoena within the range of a\nsubpoena must attend for examination pursuant to subdivision (c). Subdivision (d) applies only to\nthe debtor and a subpoena need not be issued. There are no territorial limits on the service of an\norder on the debtor. See, e.g., In re Totem Lodge & Country Club, Inc., 134 F. Supp. 158 (S.D.N.Y.\n1955).\nSubdivision (e) is derived from former Bankruptcy Rule 205(g). The lawful mileage and\nfee for attendance at a United States court as a witness are prescribed by 28 U.S.C. \xc2\xa71821.\nDefinition of debtor. The word "debtor" as used in this rule includes the persons specified\nin the definition in Rule 9001(5).\nSpousal privilege. The limitation on the spousal privilege formerly contained in \xc2\xa721a of the\nAct is not carried over in the Code. For privileges generally, see Rule 501 of the Federal Rules of\nEvidence made applicable in cases under the Code by Rule 1101 thereof.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to allow the examination in a chapter 12 case to cover the same\nmatters that may be covered in an examination in a chapter 11 or 13 case.\nCommittee Notes on Rules\xe2\x80\x942002 Amendment\nSubdivision (c) is amended to clarify that an examination ordered under Rule 2004(a) may\nbe held outside the district in which the case is pending if the subpoena is issued by the court for\nthe district in which the examination is to be held and is served in the manner provided in Rule 45\nF. R. Civ. P., made applicable by Rule 9016.\nThe subdivision is amended further to clarify that, in addition to the procedures for the\nissuance of a subpoena set forth in Rule 45 F. R. Civ. P., an attorney may issue and sign a subpoena\non behalf of the court for the district in which a Rule 2004 examination is to be held if the attorney\nis authorized to practice, even if admitted pro hac vice, either in the court in which the case is\npending or in the court for the district in which the examination is to be held. This provision\nsupplements the procedures for the issuance of a subpoena set forth in Rule 45(a)(3)(A) and (B) F.\nR. Civ. P. and is consistent with one of the purposes of the 1991 amendments to Rule 45, to ease\nthe burdens of interdistrict law practice.\nChanges Made After Publication and Comments. The typographical error was corrected,\nbut no other changes were made.\n\nRule 2005. Apprehension and Removal of Debtor to Compel Attendance for\nExamination\n(a) Order To Compel Attendance for Examination. On motion of any party in interest\n88\n\n\x0csupported by an affidavit alleging (1) that the examination of the debtor is necessary for the proper\nadministration of the estate and that there is reasonable cause to believe that the debtor is about to\nleave or has left the debtor\'s residence or principal place of business to avoid examination, or (2)\nthat the debtor has evaded service of a subpoena or of an order to attend for examination, or (3) that\nthe debtor has willfully disobeyed a subpoena or order to attend for examination, duly served, the\ncourt may issue to the marshal, or some other officer authorized by law, an order directing the\nofficer to bring the debtor before the court without unnecessary delay. If, after hearing, the court\nfinds the allegations to be true, the court shall thereupon cause the debtor to be examined\nforthwith. If necessary, the court shall fix conditions for further examination and for the debtor\'s\nobedience to all orders made in reference thereto.\n(b) Removal. Whenever any order to bring the debtor before the court is issued under this\nrule and the debtor is found in a district other than that of the court issuing the order, the debtor\nmay be taken into custody under the order and removed in accordance with the following rules:\n(1) If the debtor is taken into custody under the order at a place less than 100 miles from the\nplace of issue of the order, the debtor shall be brought forthwith before the court that issued the\norder.\n(2) If the debtor is taken into custody under the order at a place 100 miles or more from the\nplace of issue of the order, the debtor shall be brought without unnecessary delay before the nearest\navailable United States magistrate judge, bankruptcy judge, or district judge. If, after hearing, the\nmagistrate judge, bankruptcy judge, or district judge finds that an order has issued under this rule\nand that the person in custody is the debtor, or if the person in custody waives a hearing, the\nmagistrate judge, bankruptcy judge, or district judge shall order removal, and the person in custody\nshall be released on conditions ensuring prompt appearance before the court that issued the order\nto compel the attendance.\n(c) Conditions of Release. In determining what conditions will reasonably assure\nattendance or obedience under subdivision (a) of this rule or appearance under subdivision (b) of\nthis rule, the court shall be governed by the provisions and policies of title 18, U.S.C., \xc2\xa73146(a)\nand (b).\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 1, 1993.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 206. The rule requires the debtor to be\nexamined as soon as possible if allegations of the movant for compulsory examination under this\nrule are found to be true after a hearing. Subdivision (b) includes in paragraphs (1) and (2)\nprovisions adapted from subdivisions (a) and (b) of Rule 40 of the Federal Rules of Criminal\nProcedure, which governs the handling of a person arrested in one district on a warrant issued in\nanother. Subdivision (c) incorporates by reference the features of subdivisions (a) and (b) of 18\nU.S.C. \xc2\xa73146, which prescribe standards, procedures and factors to be considered in determining\nconditions of release of accused persons in noncapital cases prior to trial. The word "debtor" as\nused in this rule includes the persons named in Rule 9001(5).\nThe affidavit required to be submitted in support of the motion may be subscribed by the\nunsworn declaration provided for in 28 U.S.C. \xc2\xa71746.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\n\n89\n\n\x0cSubdivision (b)(2) is amended to conform to \xc2\xa7321 of the Judicial Improvements Act of\n1990, Pub. L. No. 101\xe2\x80\x93650, which changed the title of "United States magistrate" to "United States\nmagistrate judge." Other amendments are stylistic and make no substantive change.\n\nRule 2006. Solicitation and Voting of Proxies in Chapter 7 Liquidation Cases\n(a) Applicability. This rule applies only in a liquidation case pending under chapter 7 of the\nCode.\n(b) Definitions.\n(1) Proxy. A proxy is a written power of attorney authorizing any entity to vote the claim or\notherwise act as the owner\'s attorney in fact in connection with the administration of the estate.\n(2) Solicitation of Proxy. The solicitation of a proxy is any communication, other than one\nfrom an attorney to a regular client who owns a claim or from an attorney to the owner of a claim\nwho has requested the attorney to represent the owner, by which a creditor is asked, directly or\nindirectly, to give a proxy after or in contemplation of the filing of a petition by or against the\ndebtor.\n(c) Authorized Solicitation.\n(1) A proxy may be solicited only by (A) a creditor owning an allowable unsecured claim\nagainst the estate on the date of the filing of the petition; (B) a committee elected pursuant to \xc2\xa7705\nof the Code; (C) a committee of creditors selected by a majority in number and amount of claims of\ncreditors (i) whose claims are not contingent or unliquidated, (ii) who are not disqualified from\nvoting under \xc2\xa7702(a) of the Code and (iii) who were present or represented at a meeting of which\nall creditors having claims of over $500 or the 100 creditors having the largest claims had at least\nseven days\' notice in writing and of which meeting written minutes were kept and are available\nreporting the names of the creditors present or represented and voting and the amounts of their\nclaims; or (D) a bona fide trade or credit association, but such association may solicit only\ncreditors who were its members or subscribers in good standing and had allowable unsecured\nclaims on the date of the filing of the petition.\n(2) A proxy may be solicited only in writing.\n(d) Solicitation Not Authorized. This rule does not permit solicitation (1) in any interest\nother than that of general creditors; (2) by or on behalf of any custodian; (3) by the interim trustee\nor by or on behalf of any entity not qualified to vote under \xc2\xa7702(a) of the Code; (4) by or on behalf\nof an attorney at law; or (5) by or on behalf of a transferee of a claim for collection only.\n(e) Data Required From Holders of Multiple Proxies. At any time before the voting\ncommences at any meeting of creditors pursuant to \xc2\xa7341(a) of the Code, or at any other time as the\ncourt may direct, a holder of two or more proxies shall file and transmit to the United States trustee\na verified list of the proxies to be voted and a verified statement of the pertinent facts and\ncircumstances in connection with the execution and delivery of each proxy, including:\n(1) a copy of the solicitation;\n(2) identification of the solicitor, the forwarder, if the forwarder is neither the solicitor nor\nthe owner of the claim, and the proxyholder, including their connections with the debtor and with\neach other. If the solicitor, forwarder, or proxyholder is an association, there shall also be included\na statement that the creditors whose claims have been solicited and the creditors whose claims are\nto be voted were members or subscribers in good standing and had allowable unsecured claims on\n90\n\n\x0cthe date of the filing of the petition. If the solicitor, forwarder, or proxyholder is a committee of\ncreditors, the statement shall also set forth the date and place the committee was organized, that the\ncommittee was organized in accordance with clause (B) or (C) of paragraph (c)(1) of this rule, the\nmembers of the committee, the amounts of their claims, when the claims were acquired, the\namounts paid therefor, and the extent to which the claims of the committee members are secured or\nentitled to priority;\n(3) a statement that no consideration has been paid or promised by the proxyholder for the\nproxy;\n(4) a statement as to whether there is any agreement and, if so, the particulars thereof,\nbetween the proxyholder and any other entity for the payment of any consideration in connection\nwith voting the proxy, or for the sharing of compensation with any entity, other than a member or\nregular associate of the proxyholder\'s law firm, which may be allowed the trustee or any entity for\nservices rendered in the case, or for the employment of any person as attorney, accountant,\nappraiser, auctioneer, or other employee for the estate;\n(5) if the proxy was solicited by an entity other than the proxyholder, or forwarded to the\nholder by an entity who is neither a solicitor of the proxy nor the owner of the claim, a statement\nsigned and verified by the solicitor or forwarder that no consideration has been paid or promised\nfor the proxy, and whether there is any agreement, and, if so, the particulars thereof, between the\nsolicitor or forwarder and any other entity for the payment of any consideration in connection with\nvoting the proxy, or for sharing compensation with any entity other than a member or regular\nassociate of the solicitor\'s or forwarder\'s law firm which may be allowed the trustee or any entity\nfor services rendered in the case, or for the employment of any person as attorney, accountant,\nappraiser, auctioneer, or other employee for the estate;\n(6) if the solicitor, forwarder, or proxyholder is a committee, a statement signed and\nverified by each member as to the amount and source of any consideration paid or to be paid to\nsuch member in connection with the case other than by way of dividend on the member\'s claim.\n(f) Enforcement of Restrictions on Solicitation. On motion of any party in interest or on its\nown initiative, the court may determine whether there has been a failure to comply with the\nprovisions of this rule or any other impropriety in connection with the solicitation or voting of a\nproxy. After notice and a hearing the court may reject any proxy for cause, vacate any order\nentered in consequence of the voting of any proxy which should have been rejected, or take any\nother appropriate action.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is a comprehensive regulation of solicitation and voting of proxies in liquidation\ncases. It is derived from former Bankruptcy Rule 208. The rule applies only in chapter 7 cases\nbecause no voting occurs, other than on a plan, in a chapter 11 case. Former Bankruptcy Rule 208\ndid not apply to solicitations of acceptances of plans.\nCreditor control was a basic feature of the Act and is continued, in part, by the Code.\nCreditor democracy is perverted and the congressional objective frustrated, however, if control of\nadministration falls into the hands of persons whose principal interest is not in what the estate can\nbe made to yield to the unsecured creditors but in what it can yield to those involved in its\nadministration or in other ulterior objectives.\n91\n\n\x0cSubdivision (b). The definition of proxy in the first paragraph of subdivision (b) is derived\nfrom former Bankruptcy Rule 208.\nSubdivision (c). The purpose of the rule is to protect creditors against loss of control of\nadministration of their debtors\' estates to holders of proxies having interests that differ from those\nof the creditors. The rule does not prohibit solicitation but restricts it to those who were creditors at\nthe commencement of the case or their freely and fairly selected representatives. The special role\noccupied by credit and trade associations is recognized in the last clause of subdivision (c)(1). On\nthe assumption that members or subscribers may have affiliated with an association in part for the\npurpose of obtaining its services as a representative in liquidation proceedings, an established\nassociation is authorized to solicit its own members, or its regular customers or clients, who were\ncreditors on the date of the filing of the petition. Although the association may not solicit\nnonmembers or nonsubscribers for proxies, it may sponsor a meeting of creditors at which a\ncommittee entitled to solicit proxies may be selected in accordance with clause (C) of subdivision\n(c)(1).\nUnder certain circumstances, the relationship of a creditor, creditors\' committee, or\nassociation to the estate or the case may be such as to warrant rejection of any proxy solicited by\nsuch a person or group. Thus a person who is forbidden by the Code to vote his own claim should\nbe equally disabled to solicit proxies from creditors. Solicitation by or on behalf of the debtor has\nbeen uniformly condemned, e.g., In re White, 15 F.2d 371 (9th Cir. 1926), as has solicitation on\nbehalf of a preferred creditor, Matter of Law, 13 Am.B.R. 650 (S.D. Ill. 1905). The prohibition on\nsolicitation by a receiver or his attorney made explicit by General Order 39 has been collaterally\nsupported by rulings rejecting proxies solicited by a receiver in equity, In re Western States\nBldg.-Loan Ass\'n, 54 F.2d 415 (S.D. Cal. 1931), and by an assignee for the benefit of creditors,\nLines v. Falstaff Brewing Co., 233 F.2d 927 (9th Cir. 1956).\nSubdivision (d) prohibits solicitation by any person or group having a relationship\ndescribed in the preceding paragraph. It also makes no exception for attorneys or transferees of\nclaims for collection. The rule does not undertake to regulate communications between an attorney\nand his regular client or between an attorney and a creditor who has asked the attorney to represent\nhim in a proceeding under the Code, but any other communication by an attorney or any other\nperson or group requesting a proxy from the owner of a claim constitutes a regulated solicitation.\nSolicitation by an attorney of a proxy from a creditor who was not a client prior to the solicitation\nis objectionable not only as unethical conduct as recognized by such cases as In the Matter of\nDarland Company, 184 F. Supp. 760 (S.D. Iowa 1960) but also and more importantly because the\npractice carries a substantial risk that administration will fall into the hands of those whose interest\nis in obtaining fees from the estate rather than securing dividends for creditors. The same risk\nattaches to solicitation by the holder of a claim for collection only.\nSubdivision (e). The regulation of solicitation and voting of proxies is achieved by the rule\nprincipally through the imposition of requirements of disclosure on the holders of two or more\nproxies. The disclosures must be made to the clerk before the meeting at which the proxies are to\nbe voted to afford the clerk or a party in interest an opportunity to examine the circumstances\naccompanying the acquisition of the proxies in advance of any exercise of the proxies. In the light\nof the examination the clerk or a party in interest should bring to the attention of the judge any\nquestion that arises and the judge may permit the proxies that comply with the rule to be voted and\nreject those that do not unless the holders can effect or establish compliance in such manner as the\ncourt shall prescribe. The holders of single proxies are excused from the disclosure requirements\nbecause of the insubstantiality of the risk that such proxies have been solicited, or will be voted, in\n92\n\n\x0can interest other than that of general creditors.\nEvery holder of two or more proxies must include in the submission a verified statement\nthat no consideration has been paid or promised for the proxy, either by the proxyholder or the\nsolicitor or any forwarder of the proxy. Any payment or promise of consideration for a proxy\nwould be conclusive evidence of a purpose to acquire control of the administration of an estate for\nan ulterior purpose. The holder of multiple proxies must also include in the submission a verified\nstatement as to whether there is any agreement by the holder, the solicitor, or any forwarder of the\nproxy for the employment of any person in the administration of an estate or for the sharing of any\ncompensation allowed in connection with the administration of the estate. The provisions\nrequiring these statements implement the policy of the Code expressed in \xc2\xa7504 as well as the\npolicy of this rule to deter the acquisition of proxies for the purpose of obtaining a share in the\noutlays for administration. Finally the facts as to any consideration moving or promised to any\nmember of a committee which functions as a solicitor, forwarder, or proxyholder must be\ndisclosed by the proxyholder. Such information would be of significance to the court in evaluating\nthe purpose of the committee in obtaining, transmitting, or voting proxies.\nSubdivision (f) has counterparts in the local rules referred to in the Advisory Committee\'s\nNote to former Bankruptcy Rule 208. Courts have been accorded a wide range of discretion in the\nhandling of disputes involving proxies. Thus the referee was allowed to reject proxies and to\nproceed forthwith to hold a scheduled election at the same meeting. E.g., In re Portage Wholesale\nCo., 183 F.2d 959 (7th Cir. 1950); In re McGill, 106 Fed. 57 (6th Cir. 1901); In re Deena Woolen\nMills, Inc., 114 F. Supp. 260, 273 (D. Me. 1953); In re Finlay, 3 Am.B.R. 738 (S.D.N.Y. 1900).\nThe bankruptcy judge may postpone an election to permit a determination of issues presented by a\ndispute as to proxies and to afford those creditors whose proxies are rejected an opportunity to give\nnew proxies or to attend an adjourned meeting to vote their own claims. Cf. In the Matter of\nLenrick Sales, Inc., 369 F.2d 439, 442\xe2\x80\x9343 (3d Cir.), cert. denied, 389 U.S. 822 (1967); In the\nMatter of Construction Supply Corp. 221 F. Supp. 124, 128 (E.D. Va. 1963). This rule is not\nintended to restrict the scope of the court\'s discretion in the handling of disputes as to proxies.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to give the United States trustee information in connection with\nproxies so that the United States trustee may perform responsibilities as presiding officer at the\n\xc2\xa7341 meeting of creditors. See Rule 2003.\nThe words "with the clerk" are deleted as unnecessary. See Rules 5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 2007. Review of Appointment of Creditors\' Committee Organized\n93\n\n\x0cBefore Commencement of the Case\n(a) Motion To Review Appointment. If a committee appointed by the United States trustee\npursuant to \xc2\xa71102(a) of the Code consists of the members of a committee organized by creditors\nbefore the commencement of a chapter 9 or chapter 11 case, on motion of a party in interest and\nafter a hearing on notice to the United States trustee and other entities as the court may direct, the\ncourt may determine whether the appointment of the committee satisfies the requirements of\n\xc2\xa71102(b)(1) of the Code.\n(b) Selection of Members of Committee. The court may find that a committee organized by\nunsecured creditors before the commencement of a chapter 9 or chapter 11 case was fairly chosen\nif:\n(1) it was selected by a majority in number and amount of claims of unsecured creditors\nwho may vote under \xc2\xa7702(a) of the Code and were present in person or represented at a meeting of\nwhich all creditors having unsecured claims of over $1,000 or the 100 unsecured creditors having\nthe largest claims had at least seven days\' notice in writing, and of which meeting written minutes\nreporting the names of the creditors present or represented and voting and the amounts of their\nclaims were kept and are available for inspection;\n(2) all proxies voted at the meeting for the elected committee were solicited pursuant to\nRule 2006 and the lists and statements required by subdivision (e) thereof have been transmitted to\nthe United States trustee; and\n(3) the organization of the committee was in all other respects fair and proper.\n(c) Failure To Comply With Requirements for Appointment. After a hearing on notice\npursuant to subdivision (a) of this rule, the court shall direct the United States trustee to vacate the\nappointment of the committee and may order other appropriate action if the court finds that such\nappointment failed to satisfy the requirements of \xc2\xa71102(b)(1) of the Code.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSection 1102(b)(1) of the Code permits the court to appoint as the unsecured creditors\'\ncommittee, the committee that was selected by creditors before the order for relief. This provision\nrecognizes the propriety of continuing a "prepetition" committee in an official capacity. Such a\ncommittee, however, must be found to have been fairly chosen and representative of the different\nkinds of claims to be represented.\nSubdivision (a) does not necessarily require a hearing but does require a party in interest to\nbring to the court\'s attention the fact that a prepetition committee had been organized and should be\nappointed. An application would suffice for this purpose. Party in interest would include the\ncommittee, any member of the committee, or any of its agents acting for the committee. Whether\nor not notice of the application should be given to any other party is left to the discretion of the\ncourt.\nSubdivision (b) implements \xc2\xa71102(b)(1). The Code provision allows the court to appoint,\nas the official \xc2\xa71102(a) committee, a "prepetition" committee if its members were fairly chosen\nand the committee is representative of the different kinds of claims. This subdivision of the rule\n94\n\n\x0cindicates some of the factors the court may consider in determining whether the requirements of\n\xc2\xa71102(b)(1) have been satisfied. In effect, the subdivision provides various factors which are\nsimilar to those set forth in Rule 2006 with respect to the solicitation and voting of proxies in a\nchapter 7 liquidation case.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe rule is amended to conform to the 1984 amendments to \xc2\xa71102(b)(1) of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to conform to the 1986 amendments to \xc2\xa71102(a). The United States\ntrustee appoints committees pursuant to \xc2\xa71102 in chapter 11 cases. Section 1102 is applicable in\nchapter 9 cases pursuant to \xc2\xa7901(a).\nAlthough \xc2\xa71102(b)(1) of the Code permits the United States trustee to appoint a prepetition\ncommittee as the statutory committee if its members were fairly chosen and it is representative of\nthe different kinds of claims to be represented, the amendment to this rule provides a procedure for\njudicial review of the appointment. The factors that may be considered by the court in determining\nwhether the committee was fairly chosen are not new. A finding that a prepetition committee has\nnot been fairly chosen does not prohibit the appointment of some or all of its members to the\ncreditors\' committee. Although this rule deals only with judicial review of the appointment of\nprepetition committees, it does not preclude judicial review under Rule 2020 regarding the\nappointment of other committees.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 2007.1. Appointment of Trustee or Examiner in a Chapter 11\nReorganization Case\n(a) Order To Appoint Trustee or Examiner. In a chapter 11 reorganization case, a motion\nfor an order to appoint a trustee or an examiner under \xc2\xa71104(a) or \xc2\xa71104(c) of the Code shall be\nmade in accordance with Rule 9014.\n(b) Election of Trustee.\n(1) Request for an Election. A request to convene a meeting of creditors for the purpose of\nelecting a trustee in a chapter 11 reorganization case shall be filed and transmitted to the United\nStates trustee in accordance with Rule 5005 within the time prescribed by \xc2\xa71104(b) of the Code.\n95\n\n\x0cPending court approval of the person elected, any person appointed by the United States trustee\nunder \xc2\xa71104(d) and approved in accordance with subdivision (c) of this rule shall serve as trustee.\n(2) Manner of Election and Notice. An election of a trustee under \xc2\xa71104(b) of the Code\nshall be conducted in the manner provided in Rules 2003(b)(3) and 2006. Notice of the meeting of\ncreditors convened under \xc2\xa71104(b) shall be given as provided in Rule 2002. The United States\ntrustee shall preside at the meeting. A proxy for the purpose of voting in the election may be\nsolicited only by a committee of creditors appointed under \xc2\xa71102 of the Code or by any other party\nentitled to solicit a proxy pursuant to Rule 2006.\n(3) Report of Election and Resolution of Disputes.\n(A) Report of Undisputed Election. If no dispute arises out of the election, the United States\ntrustee shall promptly file a report certifying the election, including the name and address of the\nperson elected and a statement that the election is undisputed. The report shall be accompanied by\na verified statement of the person elected setting forth that person\'s connections with the debtor,\ncreditors, any other party in interest, their respective attorneys and accountants, the United States\ntrustee, or any person employed in the office of the United States trustee.\n(B) Dispute Arising Out of an Election. If a dispute arises out of an election, the United\nStates trustee shall promptly file a report stating that the election is disputed, informing the court of\nthe nature of the dispute, and listing the name and address of any candidate elected under any\nalternative presented by the dispute. The report shall be accompanied by a verified statement by\neach candidate elected under each alternative presented by the dispute, setting forth the person\'s\nconnections with the debtor, creditors, any other party in interest, their respective attorneys and\naccountants, the United States trustee, or any person employed in the office of the United States\ntrustee. Not later than the date on which the report of the disputed election is filed, the United\nStates trustee shall mail a copy of the report and each verified statement to any party in interest that\nhas made a request to convene a meeting under \xc2\xa71104(b) or to receive a copy of the report, and to\nany committee appointed under \xc2\xa71102 of the Code.\n(c) Approval of Appointment. An order approving the appointment of a trustee or an\nexaminer under \xc2\xa71104(d) of the Code shall be made on application of the United States trustee.\nThe application shall state the name of the person appointed and, to the best of the applicant\'s\nknowledge, all the person\'s connections with the debtor, creditors, any other parties in interest,\ntheir respective attorneys and accountants, the United States trustee, or persons employed in the\noffice of the United States trustee. The application shall state the names of the parties in interest\nwith whom the United States trustee consulted regarding the appointment. The application shall be\naccompanied by a verified statement of the person appointed setting forth the person\'s connections\nwith the debtor, creditors, any other party in interest, their respective attorneys and accountants,\nthe United States trustee, or any person employed in the office of the United States trustee.\n(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff. Dec. 1, 1997; Apr.\n23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941991\nThis rule is added to implement the 1986 amendments to \xc2\xa71104 of the Code regarding the\nappointment of a trustee or examiner in a chapter 11 case. A motion for an order to appoint a\ntrustee or examiner is a contested matter. Although the court decides whether the appointment is\nwarranted under the particular facts of the case, it is the United States trustee who makes the\nappointment pursuant to \xc2\xa71104(c) of the Code. The appointment is subject to approval of the court,\n96\n\n\x0chowever, which may be obtained by application of the United States trustee. Section 1104(c) of the\nCode requires that the appointment be made after consultation with parties in interest and that the\nperson appointed be disinterested.\nThe requirement that connections with the United States trustee or persons employed in the\nUnited States trustee\'s office be revealed is not intended to enlarge the definition of "disinterested\nperson" in \xc2\xa7101(13) of the Code, to supersede executive regulations or other laws relating to\nappointments by United States trustees, or to otherwise restrict the United States trustee\'s\ndiscretion in making appointments. This information is required, however, in the interest of full\ndisclosure and confidence in the appointment process and to give the court all information that\nmay be relevant to the exercise of judicial discretion in approving the appointment of a trustee or\nexaminer in a chapter 11 case.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nThis rule is amended to implement the 1994 amendments to \xc2\xa71104 of the Code regarding\nthe election of a trustee in a chapter 11 case.\nEligibility for voting in an election for a chapter 11 trustee is determined in accordance\nwith Rule 2003(b)(3). Creditors whose claims are deemed filed under \xc2\xa71111(a) are treated for\nvoting purposes as creditors who have filed proofs of claim.\nProxies for the purpose of voting in the election may be solicited only by a creditors\'\ncommittee appointed under \xc2\xa71102 or by any other party entitled to solicit proxies pursuant to Rule\n2006. Therefore, a trustee or examiner who has served in the case, or a committee of equity\nsecurity holders appointed under \xc2\xa71102, may not solicit proxies.\nThe procedures for reporting disputes to the court derive from similar provisions in Rule\n2003(d) applicable to chapter 7 cases. An election may be disputed by a party in interest or by the\nUnited States trustee. For example, if the United States trustee believes that the person elected is\nineligible to serve as trustee because the person is not "disinterested," the United States trustee\nshould file a report disputing the election.\nThe word "only" is deleted from subdivision (b), redesignated as subdivision (c), to avoid\nany negative inference with respect to the availability of procedures for obtaining review of the\nUnited States trustee\'s acts or failure to act pursuant to Rule 2020.\nGAP Report on Rule 2017.1. The published draft of proposed new subdivision (b)(3) of\nRule 2017.1 [2007.1], and the Committee Note, was substantially revised to implement Mr.\nPatchan\'s recommendations (described above), to clarify how a disputed election will be reported,\nand to make stylistic improvements.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nUnder \xc2\xa71104(b)(2) of the Code, as amended in 2005, if an eligible, disinterested person is\nelected to serve as trustee in a chapter 11 case, the United States trustee is directed to file a report\ncertifying the election. The person elected does not have to be appointed to the position. Rather,\nthe filing of the report certifying the election itself constitutes the appointment. The section further\nprovides that in the event of a dispute in the election of a trustee, the court must resolve the matter.\nThe rule is amended to be consistent with \xc2\xa71104(b)(2).\nWhen the United States trustee files a report certifying the election of a trustee, the person\nelected must provide a verified statement, similar to the statement required of professional persons\nunder Rule 2014, disclosing connections with parties in interest and certain other persons\n97\n\n\x0cconnected with the case. Although court approval of the person elected is not required, the\ndisclosure of the person\'s connections will enable parties in interest to determine whether the\nperson is disinterested.\nChanges Made After Publication. No changes were made after publication.\n\nRule 2007.2. Appointment of Patient Care Ombudsman in a Health Care\nBusiness Case\n(a) Order to Appoint Patient Care Ombudsman. In a chapter 7, chapter 9, or chapter 11 case\nin which the debtor is a health care business, the court shall order the appointment of a patient care\nombudsman under \xc2\xa7333 of the Code, unless the court, on motion of the United States trustee or a\nparty in interest filed no later than 21 days after the commencement of the case or within another\ntime fixed by the court, finds that the appointment of a patient care ombudsman is not necessary\nunder the specific circumstances of the case for the protection of patients.\n(b) Motion for Order To Appoint Ombudsman. If the court has found that the appointment\nof an ombudsman is not necessary, or has terminated the appointment, the court, on motion of the\nUnited States trustee or a party in interest, may order the appointment at a later time if it finds that\nthe appointment has become necessary to protect patients.\n(c) Notice of Appointment. If a patient care ombudsman is appointed under \xc2\xa7333, the\nUnited States trustee shall promptly file a notice of the appointment, including the name and\naddress of the person appointed. Unless the person appointed is a State Long-Term Care\nOmbudsman, the notice shall be accompanied by a verified statement of the person appointed\nsetting forth the person\'s connections with the debtor, creditors, patients, any other party in\ninterest, their respective attorneys and accountants, the United States trustee, and any person\nemployed in the office of the United States trustee.\n(d) Termination of Appointment. On motion of the United States trustee or a party in\ninterest, the court may terminate the appointment of a patient care ombudsman if the court finds\nthat the appointment is not necessary to protect patients.\n(e) Motion. A motion under this rule shall be governed by Rule 9014. The motion shall be\ntransmitted to the United States trustee and served on: the debtor; the trustee; any committee\nelected under \xc2\xa7705 or appointed under \xc2\xa71102 of the Code or its authorized agent, or, if the case is\na chapter 9 municipality case or a chapter 11 reorganization case and no committee of unsecured\ncreditors has been appointed under \xc2\xa71102, on the creditors included on the list filed under Rule\n1007(d); and such other entities as the court may direct.\n(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nCommittee Notes on Rules\xe2\x80\x942008\nSection 333 of the Code, added by the 2005 amendments, requires the court to order the\nappointment of a health care ombudsman within the first 30 days of a health care business case,\nunless the court finds that the appointment is not necessary for the protection of patients. The rule\nrecognizes this requirement and provides a procedure by which a party may obtain a court order\nfinding that the appointment of a patient care ombudsman is unnecessary. In the absence of a\ntimely motion under subdivision (a) of this rule, the court will enter an order directing the United\nStates trustee to appoint the ombudsman.\nSubdivision (b) recognizes that, despite a previous order finding that a patient care\n98\n\n\x0combudsman is not necessary, circumstances of the case may change or newly discovered evidence\nmay demonstrate the necessity of an ombudsman to protect the interests of patients. In that event, a\nparty may move the court for an order directing the appointment of an ombudsman.\nWhen the appointment of a patient care ombudsman is ordered, the United States trustee is\nrequired to appoint a disinterested person to serve in that capacity. Court approval of the\nappointment is not required, but subdivision (c) requires the person appointed, if not a State\nLong-Term Care Ombudsman, to file a verified statement similar to the statement filed by\nprofessional persons under Rule 2014 so that parties in interest will have information relevant to\ndisinterestedness. If a party believes that the person appointed is not disinterested, it may file a\nmotion asking the court to find that the person is not eligible to serve.\nSubdivision (d) permits parties in interest to move for the termination of the appointment\nof a patient care ombudsman. If the movant can show that there no longer is any need for the\nombudsman, the court may order the termination of the appointment.\nChanges Made After Publication. No changes were made after publication.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 2008. Notice to Trustee of Selection\nThe United States trustee shall immediately notify the person selected as trustee how to\nqualify and, if applicable, the amount of the trustee\'s bond. A trustee that has filed a blanket bond\npursuant to Rule 2010 and has been selected as trustee in a chapter 7, chapter 12, or chapter 13 case\nthat does not notify the court and the United States trustee in writing of rejection of the office\nwithin seven days after receipt of notice of selection shall be deemed to have accepted the office.\nAny other person selected as trustee shall notify the court and the United States trustee in writing\nof acceptance of the office within seven days after receipt of notice of selection or shall be deemed\nto have rejected the office.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Bankruptcy Rule 209(c). The remainder of that rule is\ninapplicable because its provisions are covered by \xc2\xa7\xc2\xa7701\xe2\x80\x93703, 321 of the Code.\nIf the person selected as trustee accepts the office, he must qualify within five days after his\nselection, as required by \xc2\xa7322(a) of the Code.\n99\n\n\x0cIn districts having a standing trustee for chapter 13 cases, a blanket acceptance of the\nappointment would be sufficient for compliance by the standing trustee with this rule.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe rule is amended to eliminate the need for a standing chapter 13 trustee or member of\nthe panel of chapter 7 trustees to accept or reject an appointment.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe amendments to this rule relating to the United States trustee are derived from Rule X\xe2\x80\x93\n1004(a) and conform to the 1986 amendments to the Code and 28 U.S.C. \xc2\xa7586 which provide that\nthe United States trustee appoints and supervises trustees, and in a chapter 7 case presides over any\nelection of a trustee. This rule applies when a trustee is either appointed or elected. This rule is also\namended to provide for chapter 12 cases.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 2009. Trustees for Estates When Joint Administration Ordered\n(a) Election of Single Trustee for Estates Being Jointly Administered. If the court orders a\njoint administration of two or more estates under Rule 1015(b), creditors may elect a single trustee\nfor the estates being jointly administered, unless the case is under subchapter V of chapter 7 of the\nCode.\n(b) Right of Creditors To Elect Separate Trustee. Notwithstanding entry of an order for\njoint administration under Rule 1015(b), the creditors of any debtor may elect a separate trustee for\nthe estate of the debtor as provided in \xc2\xa7702 of the Code, unless the case is under subchapter V of\nchapter 7.\n(c) Appointment of Trustees for Estates Being Jointly Administered.\n(1) Chapter 7 Liquidation Cases. Except in a case governed by subchapter V of chapter 7,\nthe United States trustee may appoint one or more interim trustees for estates being jointly\nadministered in chapter 7 cases.\n(2) Chapter 11 Reorganization Cases. If the appointment of a trustee is ordered, the United\nStates trustee may appoint one or more trustees for estates being jointly administered in chapter 11\ncases.\n(3) Chapter 12 Family Farmer\'s Debt Adjustment Cases. The United States trustee may\n100\n\n\x0cappoint one or more trustees for estates being jointly administered in chapter 12 cases.\n(4) Chapter 13 Individual\'s Debt Adjustment Cases. The United States trustee may appoint\none or more trustees for estates being jointly administered in chapter 13 cases.\n(d) Potential Conflicts of Interest. On a showing that creditors or equity security holders of\nthe different estates will be prejudiced by conflicts of interest of a common trustee who has been\nelected or appointed, the court shall order the selection of separate trustees for estates being jointly\nadministered.\n(e) Separate Accounts. The trustee or trustees of estates being jointly administered shall\nkeep separate accounts of the property and distribution of each estate.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Mar. 27,\n2003, eff. Dec. 1, 2003.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is applicable in chapter 7 cases and, in part, in chapter 11 and 13 cases. The\nprovisions in subdivisions (a) and (b) concerning creditor election of a trustee apply only in a\nchapter 7 case because it is only pursuant to \xc2\xa7702 of the Code that creditors may elect a trustee.\nSubdivision (c) of the rule applies in chapter 11 and 13 as well as chapter 7 cases; pursuant to\n\xc2\xa71104 of the Code, the court may order the appointment of a trustee on application of a party in\ninterest and, pursuant to \xc2\xa71163 of the Code, the court must appoint a trustee in a railroad\nreorganization case. Subdivision (c) should not be taken as an indication that more than one trustee\nmay be appointed for a single debtor. Section 1104(c) permits only one trustee for each estate. In a\nchapter 13 case, if there is no standing trustee, the court is to appoint a person to serve as trustee\npursuant to \xc2\xa71302 of the Code. There is no provision for a trustee in a chapter 9 case, except for a\nvery limited purpose; see \xc2\xa7926 of the Code.\nThis rule recognizes that economical and expeditious administration of two or more estates\nmay be facilitated not only by the selection of a single trustee for a partnership and its partners, but\nby such selection whenever estates are being jointly administered pursuant to Rule 1015. See In\nthe Matter of International Oil Co., 427 F.2d 186, 187 (2d Cir. 1970). The rule is derived from\nformer \xc2\xa75c of the Act and former Bankruptcy Rule 210. The premise of \xc2\xa75c of the Act was that\nnotwithstanding the potentiality of conflict between the interests of the creditors of the partners\nand those of the creditors of the partnership, the conflict is not sufficiently serious or frequent in\nmost cases to warrant the selection of separate trustees for the firm and the several partners. Even\nbefore the proviso was added to \xc2\xa75c of the Act in 1938 to permit the creditors of a general partner\nto elect their separate trustee for his estate, it was held that the court had discretion to permit such\nan election or to make a separate appointment when a conflict of interest was recognized. In re\nWood, 248 Fed. 246, 249\xe2\x80\x9350 (6th Cir.), cert. denied, 247 U.S. 512 (1918); 4 Collier, Bankruptcy\n723.04 (15th ed. 1980). The rule retains in subdivision (e) the features of the practice respecting\nthe selection of a trustee that was developed under \xc2\xa75 of the Act. Subdivisions (a) and (c) permit\nthe court to authorize election of a single trustee or to make a single appointment when joint\nadministration of estates of other kinds of debtors is ordered, but subdivision (d) requires the court\nto make a preliminary evaluation of the risks of conflict of interest. If after the election or\nappointment of a common trustee a conflict of interest materializes, the court must take\nappropriate action to deal with it.\nSubdivision (f) is derived from \xc2\xa75e of the Act and former Bankruptcy Rule 210(f) and\nrequires that the common trustee keep a separate account for each estate in all cases that are jointly\n101\n\n\x0cadministered.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n\nOne or more trustees may be appointed for estates being jointly administered in chapter 12\ncases.\nThe amendments to this rule are derived from Rule X\xe2\x80\x931005 and are necessary because the\nUnited States trustee, rather than the court, has responsibility for appointing trustees pursuant to\n\xc2\xa7\xc2\xa7701, 1104, 1202, and 1302 of the Code.\nIf separate trustees are ordered for chapter 7 estates pursuant to subdivision (d), separate\nand successor trustees should be chosen as prescribed in \xc2\xa7703 of the Code. If the occasion for\nanother election arises, the United States trustee should call a meeting of creditors for this purpose.\nAn order to select separate trustees does not disqualify an appointed or elected trustee from serving\nfor one of the estates.\nSubdivision (e) is abrogated because the exercise of discretion by the United States trustee,\nwho is in the Executive Branch, is not subject to advance restriction by rule of court. United States\nv. Cox, 342 F.2d 167 (5th Cir. 1965), cert. denied, 365 U.S. 863 (1965); United States v.\nFrumento, 409 F.Supp. 136, 141 (E.D.Pa.), aff\'d, 563 F.2d 1083 (3d Cir. 1977), cert. denied, 434\nU.S. 1072 (1977); see, Smith v. United States, 375 F.2d 243 (5th Cir. 1967); House Report No. 95\xe2\x80\x93\n595, 95th Cong., 1st Sess. 110 (1977). However, a trustee appointed by the United States trustee\nmay be removed by the court for cause. See \xc2\xa7324 of the Code. Subdivision (d) of this rule, as\namended, is consistent with \xc2\xa7324. Subdivision (f) is redesignated as subdivision (e).\nCommittee Notes on Rules\xe2\x80\x942003 Amendment\nThe rule is amended to reflect the enactment of subchapter V of chapter 7 of the Code\ngoverning multilateral clearing organization liquidations. Section 782 of the Code provides that\nthe designation of a trustee or alternative trustee for the case is made by the Federal Reserve Board.\nTherefore, neither the United States trustee nor the creditors can appoint or elect a trustee in these\ncases.\nOther amendments are stylistic.\nChanges Made After Publication and Comments. No changes since publication.\n\nRule 2010. Qualification by Trustee; Proceeding on Bond\n(a) Blanket Bond. The United States trustee may authorize a blanket bond in favor of the\nUnited States conditioned on the faithful performance of official duties by the trustee or trustees to\ncover (1) a person who qualifies as trustee in a number of cases, and (2) a number of trustees each\nof whom qualifies in a different case.\n(b) Proceeding on Bond. A proceeding on the trustee\'s bond may be brought by any party in\ninterest in the name of the United States for the use of the entity injured by the breach of the\ncondition.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n\n102\n\n\x0cSubdivisions (a) and (b). Subdivision (a) gives authority for approval by the court of a\nsingle bond to cover (1) a person who qualifies as trustee in a number of cases, and (2) a number of\ntrustees each of whom qualifies in a different case. The cases need not be related in any way.\nSubstantial economies can be effected if a single bond covering a number of different cases can be\nissued and approved at one time. When a blanket bond is filed, the trustee qualifies under\nsubdivision (b) of the rule by filing an acceptance of the office.\nSubdivision (c) prescribes the evidentiary effect of a certified copy of an order approving\nthe trustee\'s bond given by a trustee under this rule or, when a blanket bond has been authorized, of\na certified copy of acceptance. This rule supplements the Federal Rules of Evidence, which apply\nin bankruptcy cases. See Rule 1101 of the Federal Rules of Evidence. The order of approval should\nconform to Official Form No. 25. See, however, \xc2\xa7549(c) of the Code which provides only for the\nfiling of the petition in the real estate records to serve as constructive notice of the pendency of the\ncase. See also Rule 2011 which prescribes the evidentiary effect of a certificate that the debtor is a\ndebtor in possession.\nSubdivision (d) is derived from former Bankruptcy Rule 212(f). Reference should be made\nto \xc2\xa7322(a) and (d) of the Code which requires the bond to be filed with the bankruptcy court and\nplaces a two year limitation for the commencement of a proceeding on the bond. A bond filed\nunder this rule should conform to Official Form No. 25. A proceeding on the bond of a trustee is\ngoverned by the rules in Part VII. See the Note accompanying Rule 7001. See also Rule 9025.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (b) is deleted because of the amendment to Rule 2008.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to conform to the 1986 amendment of \xc2\xa7322 of the Code. The United\nStates trustee determines the amount and sufficiency of the trustee\'s bond. The amendment to\nsubdivision (a) is derived from Rule X\xe2\x80\x931004(b).\nSubdivision (b) is abrogated because an order approving a bond is no longer necessary in\nview of the 1986 amendments to \xc2\xa7322 of the Code. Subdivision (c) is redesignated as subdivision\n(b).\n\nRule 2011. Evidence of Debtor in Possession or Qualification of Trustee\n(a) Whenever evidence is required that a debtor is a debtor in possession or that a trustee\nhas qualified, the clerk may so certify and the certificate shall constitute conclusive evidence of\nthat fact.\n(b) If a person elected or appointed as trustee does not qualify within the time prescribed by\n\xc2\xa7322(a) of the Code, the clerk shall so notify the court and the United States trustee.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule prescribes the evidentiary effect of a certificate issued by the clerk that the debtor\nis a debtor in possession. See Official Form No. 26. Only chapter 11 of the Code provides for a\n103\n\n\x0cdebtor in possession. See \xc2\xa71107(a) of the Code. If, however, a trustee is appointed in the chapter\n11 case, there will not be a debtor in possession. See \xc2\xa7\xc2\xa71101(1), 1105 of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to provide a procedure for proving that a trustee has qualified in\naccordance with \xc2\xa7322 of the Code. Subdivision (b) is added so that the court and the United States\ntrustee will be informed if the person selected as trustee pursuant to \xc2\xa7\xc2\xa7701, 702, 1104, 1202, 1302,\nor 1163 fails to qualify within the time prescribed in \xc2\xa7322(a).\n\nRule 2012. Substitution of Trustee or Successor Trustee; Accounting\n(a) Trustee. If a trustee is appointed in a chapter 11 case or the debtor is removed as debtor\nin possession in a chapter 12 case, the trustee is substituted automatically for the debtor in\npossession as a party in any pending action, proceeding, or matter.\n(b) Successor Trustee. When a trustee dies, resigns, is removed, or otherwise ceases to hold\noffice during the pendency of a case under the Code (1) the successor is automatically substituted\nas a party in any pending action, proceeding, or matter; and (2) the successor trustee shall prepare,\nfile, and transmit to the United States trustee an accounting of the prior administration of the estate.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nParagraph (1) of this rule implements \xc2\xa7325 of the Code. It provides that a pending action or\nproceeding continues without abatement and that the trustee\'s successor is automatically\nsubstituted as a party whether it be another trustee or the debtor returned to possession, as such\nparty.\nParagraph (2) places it within the responsibility of a successor trustee to file an accounting\nof the prior administration of the estate. If an accounting is impossible to obtain from the prior\ntrustee because of death or lack of cooperation, prior reports submitted in the earlier administration\nmay be updated.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is new. The subdivision provides for the substitution of a trustee appointed\nin a chapter 11 case for the debtor in possession in any pending litigation.\nThe original provisions of the rule are now in subdivision (b).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to include any chapter 12 case in which the debtor is removed\nas debtor in possession pursuant to \xc2\xa71204(a) of the Code.\nSubdivision (b) is amended to require that the accounting of the prior administration which\nmust be filed with the court is also transmitted to the United States trustee who is responsible for\nsupervising the administration of cases and trustees. See 28 U.S.C. \xc2\xa7586(a)(3). Because a court\norder is not required for the appointment of a successor trustee, requiring the court to fix a time for\n104\n\n\x0cfiling the accounting is inefficient and unnecessary. The United States trustee has supervisory\npowers over trustees and may require the successor trustee to file the accounting within a certain\ntime period. If the successor trustee fails to file the accounting within a reasonable time, the United\nStates trustee or a party in interest may take appropriate steps including a request for an\nappropriate court order. See 28 U.S.C. \xc2\xa7586(a)(3)(G). The words "with the court" are deleted in\nsubdivision (b)(2) as unnecessary. See Rules 5005(a) and 9001(3).\n\nRule 2013. Public Record of Compensation Awarded to Trustees, Examiners,\nand Professionals\n(a) Record To Be Kept. The clerk shall maintain a public record listing fees awarded by the\ncourt (1) to trustees and attorneys, accountants, appraisers, auctioneers and other professionals\nemployed by trustees, and (2) to examiners. The record shall include the name and docket number\nof the case, the name of the individual or firm receiving the fee and the amount of the fee awarded.\nThe record shall be maintained chronologically and shall be kept current and open to examination\nby the public without charge. "Trustees," as used in this rule, does not include debtors in\npossession.\n(b) Summary of Record. At the close of each annual period, the clerk shall prepare a\nsummary of the public record by individual or firm name, to reflect total fees awarded during the\npreceding year. The summary shall be open to examination by the public without charge. The clerk\nshall transmit a copy of the summary to the United States trustee.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Rule 213. The first sentence of that rule is omitted\nbecause of the provisions in 28 U.S.C. \xc2\xa7\xc2\xa7586 and 604(f) creating panels of private trustees.\nThe rule is not applicable to standing trustees serving in chapter 13 cases. See \xc2\xa71302 of the\nCode.\nA basic purpose of the rule is to prevent what Congress has defined as "cronyism."\nAppointment or employment, whether in a chapter 7 or 11 case, should not center among a small\nselect group of individuals unless the circumstances are such that it would be warranted. The\npublic record of appointments to be kept by the clerk will provide a means for monitoring the\nappointment process.\nSubdivision (b) provides a convenient source for public review of fees paid from debtors\'\nestates in the bankruptcy courts. Thus, public recognition of appointments, fairly distributed and\nbased on professional qualifications and expertise, will be promoted and notions of improper favor\ndispelled. This rule is in keeping with the findings of the Congressional subcommittees as set forth\nin the House Report of the Committee on the Judiciary, No. 95\xe2\x80\x93595, 95th Cong., 1st Sess. 89\xe2\x80\x9399\n(1977). These findings included the observations that there were frequent appointments of the\nsame person, contacts developed between the bankruptcy bar and the courts, and an unusually\nclose relationship between the bar and the judges developed over the years. A major purpose of the\nnew statute is to dilute these practices and instill greater public confidence in the system. Rule\n2013 implements that laudatory purpose.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\n105\n\n\x0cIn subdivisions (b) and (c) the word awarded is substituted for the word paid. While clerks\ndo not know if fees are paid, they can determine what fees are awarded by the court.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is deleted. The matter contained in this subdivision is more properly left for\nregulation by the United States trustee. When appointing trustees and examiners and when\nmonitoring applications for employment of auctioneers, appraisers and other professionals, the\nUnited States trustee should be sensitive to disproportionate or excessive fees received by any\nperson.\nSubdivision (b), redesignated as subdivision (a), is amended to reflect the fact that the\nUnited States trustee appoints examiners subject to court approval.\nSubdivision (c), redesignated as subdivision (b), is amended to furnish the United States\ntrustee with a copy of the annual summary which may assist that office in the performance of its\nresponsibilities under 28 U.S.C. \xc2\xa7586 and the Code.\nThe rule is not applicable to standing trustees serving in chapter 12 cases. See \xc2\xa71202 of the\nCode.\n\nRule 2014. Employment of Professional Persons\n(a) Application for and Order of Employment. An order approving the employment of\nattorneys, accountants, appraisers, auctioneers, agents, or other professionals pursuant to \xc2\xa7327,\n\xc2\xa71103, or \xc2\xa71114 of the Code shall be made only on application of the trustee or committee. The\napplication shall be filed and, unless the case is a chapter 9 municipality case, a copy of the\napplication shall be transmitted by the applicant to the United States trustee. The application shall\nstate the specific facts showing the necessity for the employment, the name of the person to be\nemployed, the reasons for the selection, the professional services to be rendered, any proposed\narrangement for compensation, and, to the best of the applicant\'s knowledge, all of the person\'s\nconnections with the debtor, creditors, any other party in interest, their respective attorneys and\naccountants, the United States trustee, or any person employed in the office of the United States\ntrustee. The application shall be accompanied by a verified statement of the person to be employed\nsetting forth the person\'s connections with the debtor, creditors, any other party in interest, their\nrespective attorneys and accountants, the United States trustee, or any person employed in the\noffice of the United States trustee.\n(b) Services Rendered by Member or Associate of Firm of Attorneys or Accountants. If,\nunder the Code and this rule, a law partnership or corporation is employed as an attorney, or an\naccounting partnership or corporation is employed as an accountant, or if a named attorney or\naccountant is employed, any partner, member, or regular associate of the partnership, corporation,\nor individual may act as attorney or accountant so employed, without further order of the court.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) is adapted from the second sentence of former Bankruptcy Rule 215(a).\nThe remainder of that rule is covered by \xc2\xa7327 of the Code.\n106\n\n\x0cSubdivision (b) is derived from former Bankruptcy Rule 215(f). The compensation\nprovisions are set forth in \xc2\xa7504 of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to include retention of professionals by committees of retired\nemployees pursuant to \xc2\xa71114 of the Code.\nThe United States trustee monitors applications filed under \xc2\xa7327 of the Code and may file\nwith the court comments with respect to the approval of such applications. See 28 U.S.C.\n\xc2\xa7586(a)(3)(H). The United States trustee also monitors creditors\' committees in accordance with\n28 U.S.C. \xc2\xa7586(a)(3)(E). The addition of the second sentence of subdivision (a) is designed to\nenable the United States trustee to perform these duties.\nSubdivision (a) is also amended to require disclosure of the professional\'s connections with\nthe United States trustee or persons employed in the United States trustee\'s office. This\nrequirement is not intended to prohibit the employment of such persons in all cases or to enlarge\nthe definition of "disinterested person" in \xc2\xa7101(13) of the Code. However, the court may consider\na connection with the United States trustee\'s office as a factor when exercising its discretion. Also,\nthis information should be revealed in the interest of full disclosure and confidence in the\nbankruptcy system, especially since the United States trustee monitors and may be heard on\napplications for compensation and reimbursement of professionals employed under this rule.\nThe United States trustee appoints committees pursuant to \xc2\xa71102 of the Code which is\napplicable in chapter 9 cases under \xc2\xa7901. In the interest of full disclosure and confidence in the\nbankruptcy system, a connection between the United States trustee and a professional employed\nby the committee should be revealed in every case, including a chapter 9 case. However, since the\nUnited States trustee does not have any role in the employment of professionals in chapter 9 cases,\nit is not necessary in such cases to transmit to the United States trustee a copy of the application\nunder subdivision (a) of this rule. See 28 U.S.C. \xc2\xa7586(a)(3)(H).\n\nRule 2015. Duty to Keep Records, Make Reports, and Give Notice of Case or\nChange of Status\n(a) Trustee or Debtor in Possession. A trustee or debtor in possession shall:\n(1) in a chapter 7 liquidation case and, if the court directs, in a chapter 11 reorganization\ncase file and transmit to the United States trustee a complete inventory of the property of the debtor\nwithin 30 days after qualifying as a trustee or debtor in possession, unless such an inventory has\nalready been filed;\n(2) keep a record of receipts and the disposition of money and property received;\n(3) file the reports and summaries required by \xc2\xa7704(a)(8) of the Code, which shall include\na statement, if payments are made to employees, of the amounts of deductions for all taxes\nrequired to be withheld or paid for and in behalf of employees and the place where these amounts\nare deposited;\n(4) as soon as possible after the commencement of the case, give notice of the case to every\nentity known to be holding money or property subject to withdrawal or order of the debtor,\nincluding every bank, savings or building and loan association, public utility company, and\nlandlord with whom the debtor has a deposit, and to every insurance company which has issued a\npolicy having a cash surrender value payable to the debtor, except that notice need not be given to\n107\n\n\x0cany entity who has knowledge or has previously been notified of the case;\n(5) in a chapter 11 reorganization case, on or before the last day of the month after each\ncalendar quarter during which there is a duty to pay fees under 28 U.S.C. \xc2\xa71930(a)(6), file and\ntransmit to the United States trustee a statement of any disbursements made during that quarter and\nof any fees payable under 28 U.S.C. \xc2\xa71930(a)(6) for that quarter; and\n(6) in a chapter 11 small business case, unless the court, for cause, sets another reporting\ninterval, file and transmit to the United States trustee for each calendar month after the order for\nrelief, on the appropriate Official Form, the report required by \xc2\xa7308. If the order for relief is within\nthe first 15 days of a calendar month, a report shall be filed for the portion of the month that\nfollows the order for relief. If the order for relief is after the 15th day of a calendar month, the\nperiod for the remainder of the month shall be included in the report for the next calendar month.\nEach report shall be filed no later than 21 days after the last day of the calendar month following\nthe month covered by the report. The obligation to file reports under this subparagraph terminates\non the effective date of the plan, or conversion or dismissal of the case.\n(b) Chapter 12 Trustee and Debtor in Possession. In a chapter 12 family farmer\'s debt\nadjustment case, the debtor in possession shall perform the duties prescribed in clauses (2)\xe2\x80\x93(4) of\nsubdivision (a) of this rule and, if the court directs, shall file and transmit to the United States\ntrustee a complete inventory of the property of the debtor within the time fixed by the court. If the\ndebtor is removed as debtor in possession, the trustee shall perform the duties of the debtor in\npossession prescribed in this paragraph.\n(c) Chapter 13 Trustee and Debtor.\n(1) Business Cases. In a chapter 13 individual\'s debt adjustment case, when the debtor is\nengaged in business, the debtor shall perform the duties prescribed by clauses (2)\xe2\x80\x93(4) of\nsubdivision (a) of this rule and, if the court directs, shall file and transmit to the United States\ntrustee a complete inventory of the property of the debtor within the time fixed by the court.\n(2) Nonbusiness Cases. In a chapter 13 individual\'s debt adjustment case, when the debtor\nis not engaged in business, the trustee shall perform the duties prescribed by clause (2) of\nsubdivision (a) of this rule.\n(d) Foreign Representative. In a case in which the court has granted recognition of a\nforeign proceeding under chapter 15, the foreign representative shall file any notice required under\n\xc2\xa71518 of the Code within 14 days after the date when the representative becomes aware of the\nsubsequent information.\n(e) Transmission of Reports. In a chapter 11 case the court may direct that copies or\nsummaries of annual reports and copies or summaries of other reports shall be mailed to the\ncreditors, equity security holders, and indenture trustees. The court may also direct the publication\nof summaries of any such reports. A copy of every report or summary mailed or published\npursuant to this subdivision shall be transmitted to the United States trustee.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n1996, eff. Dec. 1, 1996; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26,\n2009, eff. Dec. 1, 2009; Apr. 23, 2012, eff. Dec. 1, 2012.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule combines the provisions found in former Rules 218, 10\xe2\x80\x93208, 11\xe2\x80\x9330 and 13\xe2\x80\x93208\nof the Rules of Bankruptcy Procedure. It specifies various duties which are in addition to those\n108\n\n\x0crequired by \xc2\xa7\xc2\xa7704, 1106, 1302 and 1304 of the Code.\nIn subdivision (a) the times permitted to be fixed by the court in clause (3) for the filing of\nreports and summaries may be fixed by local rule or order.\nSubdivision (b). This subdivision prescribes duties on either the debtor or trustee in chapter\n13 cases, depending on whether or not the debtor is engaged in business (\xc2\xa71304 of the Code). The\nduty of giving notice prescribed by subdivision (a)(4) is not included in a nonbusiness case\nbecause of its impracticability.\nSubdivision (c) is derived from former Chapter X Rule 10\xe2\x80\x93208(c) which, in turn, was\nderived from \xc2\xa7190 of the Act. The equity security holders to whom the reports should be sent are\nthose of record at the time of transmittal of such reports.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended to add as a duty of the trustee or debtor in possession the filing\nof a notice of or a copy of the petition. The filing of such notice or a copy of the petition is essential\nto the protection of the estate from unauthorized post-petition conveyances of real property.\nSection 549(c) of the Code protects the title of a good faith purchaser for fair equivalent value\nunless the notice or copy of the petition is filed.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to provide the United States trustee with information needed to\nperform supervisory responsibilities in accordance with 28 U.S.C. \xc2\xa7586(a)(3) and to exercise the\nright to raise, appear and be heard on issues pursuant to \xc2\xa7307 of the Code.\nSubdivision (a)(3) is amended to conform to the 1986 amendments to \xc2\xa7704(8) of the Code\nand the United States trustee system. It may not be necessary for the court to fix a time to file\nreports if the United States trustee requests that they be filed within a specified time and there is no\ndispute regarding such time.\nSubdivision (a)(5) is deleted because the filing of a notice of or copy of the petition to\nprotect real property against unauthorized postpetition transfers in a particular case is within the\ndiscretion of the trustee.\nThe new subdivision (a)(5) was added to enable the United States trustee, parties in\ninterest, and the court to determine the appropriate quarterly fee required by 28 U.S.C.\n\xc2\xa71930(a)(6). The requirements of subdivision (a)(5) should be satisfied whenever possible by\nincluding this information in other reports filed by the trustee or debtor in possession. Nonpayment\nof the fee may result in dismissal or conversion of the case pursuant to \xc2\xa71112(b) of the Code.\nRule X\xe2\x80\x931007(b), which provides that the trustee or debtor in possession shall cooperate\nwith the United States trustee by furnishing information that the United States trustee reasonably\nrequires, is deleted as unnecessary. The deletion of Rule X\xe2\x80\x931007(b) should not be construed as a\nlimitation of the powers of the United States trustee or of the duty of the trustee or debtor in\npossession to cooperate with the United States trustee in the performance of the statutory\nresponsibilities of that office.\nSubdivision (a)(6) is abrogated as unnecessary. See \xc2\xa71106(a)(7) of the Code.\nSubdivision (a)(7) is abrogated. The closing of a chapter 11 case is governed by Rule 3022.\nNew subdivision (b), which prescribes the duties of the debtor in possession and trustee in\na chapter 12 case, does not prohibit additional reporting requirements pursuant to local rule or\ncourt order.\n109\n\n\x0cNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\n\nSubdivision (a)(1) provides that the trustee in a chapter 7 case and, if the court directs, the\ntrustee or debtor in possession in a chapter 11 case, is required to file and transmit to the United\nStates trustee a complete inventory of the debtor\'s property within 30 days after qualifying as\ntrustee or debtor in possession, unless such an inventory has already been filed. Subdivisions (b)\nand (c) are amended to clarify that a debtor in possession and trustee in a chapter 12 case, and a\ndebtor in a chapter 13 case where the debtor is engaged in business, are not required to file and\ntransmit to the United States trustee a complete inventory of the property of the debtor unless the\ncourt so directs. If the court so directs, the court also fixes the time limit for filing and transmitting\nthe inventory.\nGAP Report on Rule 2015. No changes since publication, except for a stylistic change in\nthe first sentence of the committee note.\nCommittee Notes on Rules\xe2\x80\x942002 Amendment\nSubdivision (a)(5) is amended to provide that the duty to file quarterly disbursement\nreports continues only so long as there is an obligation to make quarterly payments to the United\nStates trustee under 28 U.S.C. \xc2\xa71930(a)(6).\nOther amendments are stylistic.\nChanges Made After Publication and Comments. No changes were made.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubparagraph (a)(6) implements \xc2\xa7308 of the Code, added by the 2005 amendments. That\nsection requires small business chapter 11 debtors to file periodic financial and operating reports,\nand the rule sets the time for filing those reports and requires the use of an Official Form for the\nreport. The obligation to file reports under this rule does not relieve the trustee or debtor of any\nother obligations to provide information or documents to the United States trustee.\nThe rule also is amended to fix the time for the filing of notices under \xc2\xa71518, added to the\nCode in 2005. Former subdivision (d) is renumbered as subdivision (e).\nOther changes are stylistic.\nChanges Made After Publication. No changes were made after publication.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nCommittee Notes on Rules\xe2\x80\x942012 Amendment\n110\n\n\x0cSubdivision (a)(3). Subdivision (a)(3) is amended to correct the reference to \xc2\xa7704. The\n2005 amendments to the Code expanded \xc2\xa7704 and created subsections within it. The provision that\nwas previously \xc2\xa7704(8) became \xc2\xa7704(a)(8). The other change to (a)(3) is stylistic.\n\nRule 2015.1. Patient Care Ombudsman\n(a) Reports. A patient care ombudsman, at least 14 days before making a report under\n\xc2\xa7333(b)(2) of the Code, shall give notice that the report will be made to the court, unless the court\norders otherwise. The notice shall be transmitted to the United States trustee, posted conspicuously\nat the health care facility that is the subject of the report, and served on: the debtor; the trustee; all\npatients; and any committee elected under \xc2\xa7705 or appointed under \xc2\xa71102 of the Code or its\nauthorized agent, or, if the case is a chapter 9 municipality case or a chapter 11 reorganization case\nand no committee of unsecured creditors has been appointed under \xc2\xa71102, on the creditors\nincluded on the list filed under Rule 1007(d); and such other entities as the court may direct. The\nnotice shall state the date and time when the report will be made, the manner in which the report\nwill be made, and, if the report is in writing, the name, address, telephone number, email address,\nand website, if any, of the person from whom a copy of the report may be obtained at the debtor\'s\nexpense.\n(b) Authorization to Review Confidential Patient Records. A motion by a patient care\nombudsman under \xc2\xa7333(c) to review confidential patient records shall be governed by Rule 9014,\nserved on the patient and any family member or other contact person whose name and address\nhave been given to the trustee or the debtor for the purpose of providing information regarding the\npatient\'s health care, and transmitted to the United States trustee subject to applicable\nnonbankruptcy law relating to patient privacy. Unless the court orders otherwise, a hearing on the\nmotion may not be commenced earlier than 14 days after service of the motion.\n(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nCommittee Notes on Rules\xe2\x80\x942008\nThis rule is new and implements \xc2\xa7333 of the Code, added by the 2005 amendments.\nSubdivision (a) is designed to give parties in interest, including patients or their representatives,\nsufficient notice so that they will be able to review written reports or attend hearings at which\nreports are made. The rule permits a notice to relate to a single report or to periodic reports to be\ngiven during the case. For example, the ombudsman may give notice that reports will be made at\nspecified intervals or dates during the case.\nSubdivision (a) of the rule also requires that the notice be posted conspicuously at the\nhealth care facility in a place where it will be seen by patients and their families or others visiting\nthe patients. This may require posting in common areas and patient rooms within the facility.\nBecause health care facilities and the patients they serve can vary greatly, the locations of the\nposted notice should be tailored to the specific facility that is the subject of the report.\nSubdivision (b) requires the ombudsman to notify the patient and the United States trustee\nthat the ombudsman is seeking access to confidential patient records so that they will be able to\nappear and be heard on the matter. This procedure should assist the court in reaching its decision\nboth as to access to the records and appropriate restrictions on that access to ensure continued\n111\n\n\x0cconfidentiality. Notices given under this rule are subject to the provisions of applicable federal and\nstate law that relate to the protection of patients\' privacy, such as the Health Insurance Portability\nand Accountability Act of 1996, Pub. L. No. 104\xe2\x80\x93191 (HIPAA).\nChanges Made After Publication. Two stylistic changes were made to the rule. The\nreference to the court\'s authority to order otherwise was moved from the beginning to the end of\nthe first sentence of subdivision (a). On line 19, the word "patient" was substituted for "health" to\nbe consistent with the Code.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 2015.2. Transfer of Patient in Health Care Business Case\nUnless the court orders otherwise, if the debtor is a health care business, the trustee may not\ntransfer a patient to another health care business under \xc2\xa7704(a)(12) of the Code unless the trustee\ngives at least 14 days\' notice of the transfer to the patient care ombudsman, if any, the patient, and\nany family member or other contact person whose name and address has been given to the trustee\nor the debtor for the purpose of providing information regarding the patient\'s health care. The\nnotice is subject to applicable nonbankruptcy law relating to patient privacy.\n(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nCommittee Notes on Rules\xe2\x80\x942008\nThis rule is new. Section 704(a)(12), added to the Code by the 2005 amendments,\nauthorizes the trustee to relocate patients when a health care business debtor\'s facility is in the\nprocess of being closed. The Code permits the trustee to take this action without the need for any\ncourt order, but the notice required by this rule will enable a patient care ombudsman appointed\nunder \xc2\xa7333, or a patient who contends that the trustee\'s actions violate \xc2\xa7704(a)(12), to have those\nissues resolved before the patient is transferred.\nThis rule also permits the court to enter an order dispensing with or altering the notice\nrequirement in proper circumstances. For example, a facility could be closed immediately, or very\nquickly, such that 10 days\' notice would not be possible in some instances. In that event, the court\nmay shorten the time required for notice.\nNotices given under this rule are subject to the provisions of applicable federal and state\nlaw that relate to the protection of patients\' privacy, such as the Health Insurance Portability and\nAccountability Act of 1996, Pub. L. No. 104\xe2\x80\x93191 (HIPAA).\nChanges Made After Publication. No changes were made after publication.\n112\n\n\x0cCommittee Notes on Rules\xe2\x80\x942009 Amendment\n\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 2015.3. Reports of Financial Information on Entities in Which a Chapter\n11 Estate Holds a Controlling or Substantial Interest\n(a) Reporting Requirement. In a chapter 11 case, the trustee or debtor in possession shall\nfile periodic financial reports of the value, operations, and profitability of each entity that is not a\npublicly traded corporation or a debtor in a case under title 11, and in which the estate holds a\nsubstantial or controlling interest. The reports shall be prepared as prescribed by the appropriate\nOfficial Form, and shall be based upon the most recent information reasonably available to the\ntrustee or debtor in possession.\n(b) Time for Filing; Service. The first report required by this rule shall be filed no later than\nseven days before the first date set for the meeting of creditors under \xc2\xa7341 of the Code. Subsequent\nreports shall be filed no less frequently than every six months thereafter, until the effective date of\na plan or the case is dismissed or converted. Copies of the report shall be served on the United\nStates trustee, any committee appointed under \xc2\xa71102 of the Code, and any other party in interest\nthat has filed a request therefor.\n(c) Presumption of Substantial or Controlling Interest; Judicial Determination. For\npurposes of this rule, an entity of which the estate controls or owns at least a 20 percent interest,\nshall be presumed to be an entity in which the estate has a substantial or controlling interest. An\nentity in which the estate controls or owns less than a 20 percent interest shall be presumed not to\nbe an entity in which the estate has a substantial or controlling interest. Upon motion, the entity,\nany holder of an interest therein, the United States trustee, or any other party in interest may seek to\nrebut either presumption, and the court shall, after notice and a hearing, determine whether the\nestate\'s interest in the entity is substantial or controlling.\n(d) Modification of Reporting Requirement. The court may, after notice and a hearing,\nvary the reporting requirement established by subdivision (a) of this rule for cause, including that\nthe trustee or debtor in possession is not able, after a good faith effort, to comply with those\nreporting requirements, or that the information required by subdivision (a) is publicly available.\n(e) Notice and Protective Orders. No later than 14 days before filing the first report\nrequired by this rule, the trustee or debtor in possession shall send notice to the entity in which the\nestate has a substantial or controlling interest, and to all holders\xe2\x80\x94known to the trustee or debtor in\npossession\xe2\x80\x94of an interest in that entity, that the trustee or debtor in possession expects to file and\nserve financial information relating to the entity in accordance with this rule. The entity in which\nthe estate has a substantial or controlling interest, or a person holding an interest in that entity, may\n113\n\n\x0crequest protection of the information under \xc2\xa7107 of the Code.\n(f) Effect of Request. Unless the court orders otherwise, the pendency of a request under\nsubdivisions (c), (d), or (e) of this rule shall not alter or stay the requirements of subdivision (a).\n(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nCommittee Notes on Rules\xe2\x80\x942008\nThis rule implements \xc2\xa7419 of the Bankruptcy Abuse Prevention and Consumer Protection\nAct of 2005 ("BAPCPA"). Reports are to be made on the appropriate Official Form. While \xc2\xa7419 of\nBAPCPA places the obligation to report upon the "debtor," this rule extends the obligation to\ninclude cases in which a trustee has been appointed. The court can order that the reports not be\nfiled in appropriate circumstances, such as when the information that would be included in these\nreports is already available to interested parties.\nChanges After Publication. In subdivision (e), the 20 day period was changed to 14 days.\nThis better reconciles the timing of the notice and the scheduling of the \xc2\xa7341 meeting of creditors,\nand it is also consistent with the upcoming time computation amendments.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 2016. Compensation for Services Rendered and Reimbursement of\nExpenses\n(a) Application for Compensation or Reimbursement. An entity seeking interim or final\ncompensation for services, or reimbursement of necessary expenses, from the estate shall file an\napplication setting forth a detailed statement of (1) the services rendered, time expended and\nexpenses incurred, and (2) the amounts requested. An application for compensation shall include a\nstatement as to what payments have theretofore been made or promised to the applicant for\nservices rendered or to be rendered in any capacity whatsoever in connection with the case, the\nsource of the compensation so paid or promised, whether any compensation previously received\nhas been shared and whether an agreement or understanding exists between the applicant and any\nother entity for the sharing of compensation received or to be received for services rendered in or\nin connection with the case, and the particulars of any sharing of compensation or agreement or\nunderstanding therefor, except that details of any agreement by the applicant for the sharing of\ncompensation as a member or regular associate of a firm of lawyers or accountants shall not be\nrequired. The requirements of this subdivision shall apply to an application for compensation for\nservices rendered by an attorney or accountant even though the application is filed by a creditor or\n114\n\n\x0cother entity. Unless the case is a chapter 9 municipality case, the applicant shall transmit to the\nUnited States trustee a copy of the application.\n(b) Disclosure of Compensation Paid or Promised to Attorney for Debtor. Every attorney\nfor a debtor, whether or not the attorney applies for compensation, shall file and transmit to the\nUnited States trustee within 14 days after the order for relief, or at another time as the court may\ndirect, the statement required by \xc2\xa7329 of the Code including whether the attorney has shared or\nagreed to share the compensation with any other entity. The statement shall include the particulars\nof any such sharing or agreement to share by the attorney, but the details of any agreement for the\nsharing of the compensation with a member or regular associate of the attorney\'s law firm shall not\nbe required. A supplemental statement shall be filed and transmitted to the United States trustee\nwithin 14 days after any payment or agreement not previously disclosed.\n(c) Disclosure of Compensation Paid or Promised to Bankruptcy Petition Preparer. Before\na petition is filed, every bankruptcy petition preparer for a debtor shall deliver to the debtor, the\ndeclaration under penalty of perjury required by \xc2\xa7110(h)(2). The declaration shall disclose any fee,\nand the source of any fee, received from or on behalf of the debtor within 12 months of the filing of\nthe case and all unpaid fees charged to the debtor. The declaration shall also describe the services\nperformed and documents prepared or caused to be prepared by the bankruptcy petition preparer.\nThe declaration shall be filed with the petition. The petition preparer shall file a supplemental\nstatement within 14 days after any payment or agreement not previously disclosed.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Mar. 27,\n2003, eff. Dec. 1, 2003; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Rule 219. Many of the former rule\'s requirements are,\nhowever, set forth in the Code. Section 329 requires disclosure by an attorney of transactions with\nthe debtor, \xc2\xa7330 sets forth the bases for allowing compensation, and \xc2\xa7504 prohibits sharing of\ncompensation. This rule implements those various provisions.\nSubdivision (a) includes within its provisions a committee, member thereof, agent,\nattorney or accountant for the committee when compensation or reimbursement of expenses is\nsought from the estate.\nRegular associate of a law firm is defined in Rule 9001(9) to include any attorney regularly\nemployed by, associated with, or counsel to that law firm. Firm is defined in Rule 9001(6) to\ninclude a partnership or professional corporation.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended to change "person" to "entity". There are occasions in which a\ngovernmental unit may be entitled to file an application under this rule. The requirement that the\napplication contain a "detailed statement of services rendered, time expended and expenses\nincurred" gives to the court authority to ensure that the application is both comprehensive and\ndetailed. No amendments are made to delineate further the requirements of the application because\nthe amount of detail to be furnished is a function of the nature of the services rendered and the\ncomplexity of the case.\nSubdivision (b) is amended to require that the attorney for the debtor file the \xc2\xa7329\nstatement before the meeting of creditors. This will assist the parties in conducting the examination\nof the debtor. In addition, the amended rule requires the attorney to supplement the \xc2\xa7329 statement\n115\n\n\x0cif an undisclosed payment is made to the attorney or a new or amended agreement is entered into\nby the debtor and the attorney.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to enable the United States trustee to perform the duty to\nmonitor applications for compensation and reimbursement filed under \xc2\xa7330 of the Code. See 28\nU.S.C. \xc2\xa7586(a)(3)(A).\nSubdivision (b) is amended to give the United States trustee the information needed to\ndetermine whether to request appropriate relief based on excessive fees under \xc2\xa7329(b) of the Code.\nSee Rule 2017.\nThe words "with the court" are deleted in subdivisions (a) and (b) as unnecessary. See\nRules 5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x942003 Amendment\nThis rule is amended by adding subdivision (c) to implement \xc2\xa7110(h)(1) of the Code.\nChanges Made After Publication and Comments. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nSubdivision (c) is amended to reflect the 2005 amendment to \xc2\xa7110(h)(1) of the Bankruptcy\nCode which now requires that the declaration be filed with the petition. The statute previously\nrequired that the petition preparer file the declaration within 10 days after the filing of the petition.\nThe amendment to the rule also corrects the cross reference to \xc2\xa7110(h)(1), which was redesignated\nas subparagraph (h)(2) of \xc2\xa7110 by the 2005 amendment to the Code.\nOther changes are stylistic.\n\nRule 2017. Examination of Debtor\'s Transactions with Debtor\'s Attorney\n(a) Payment or Transfer to Attorney Before Order for Relief. On motion by any party in\ninterest or on the court\'s own initiative, the court after notice and a hearing may determine whether\nany payment of money or any transfer of property by the debtor, made directly or indirectly and in\ncontemplation of the filing of a petition under the Code by or against the debtor or before entry of\nthe order for relief in an involuntary case, to an attorney for services rendered or to be rendered is\nexcessive.\n(b) Payment or Transfer to Attorney After Order for Relief. On motion by the debtor, the\n116\n\n\x0cUnited States trustee, or on the court\'s own initiative, the court after notice and a hearing may\ndetermine whether any payment of money or any transfer of property, or any agreement therefor,\nby the debtor to an attorney after entry of an order for relief in a case under the Code is excessive,\nwhether the payment or transfer is made or is to be made directly or indirectly, if the payment,\ntransfer, or agreement therefor is for services in any way related to the case.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from \xc2\xa760d of the Act and former Bankruptcy Rule 220 and implements\n\xc2\xa7329 of the Code. Information required to be disclosed by the attorney for a debtor by \xc2\xa7329 of the\nCode and by the debtor in his Statement of Financial Affairs (Item #15 of Form No. 7, Item #20 of\nForm No. 8) will assist the court in determining whether to proceed under this rule. Section 60d\nwas enacted in recognition of "the temptation of a failing debtor to deal too liberally with his\nproperty in employing counsel to protect him in view of financial reverses and probable failure." In\nre Wood & Henderson, 210 U.S. 246, 253 (1908). This rule, like \xc2\xa760d of the Act and \xc2\xa7329 of the\nCode, is premised on the need for and appropriateness of judicial scrutiny of arrangements\nbetween a debtor and his attorney to protect the creditors of the estate and the debtor against\noverreaching by an officer of the court who is in a peculiarly advantageous position to impose on\nboth the creditors and his client. 2 Collier, Bankruptcy 329.02 (15th ed. 1980); MacLachlan,\nBankruptcy 318 (1956). Rule 9014 applies to any contested matter arising under this rule.\nThis rule is not to be construed to permit post-petition payments or transfers which may be\navoided under other provisions of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to include within subdivision (a) a payment or transfer of property by\nthe debtor to an attorney after the filing of an involuntary petition but before the order for relief.\nAny party in interest should be able to make a motion for a determination of whether such payment\nor transfer is excessive because the funds or property transferred may be property of the estate.\nThe United States trustee supervises and monitors the administration of bankruptcy cases\nother than chapter 9 cases and pursuant to \xc2\xa7307 of the Code may raise, appear and be heard on\nissues relating to fees paid to the debtor\'s attorney. It is consistent with that role to expect the\nUnited States trustee to review statements filed under Rule 2016(b) and to file motions relating to\nexcessive fees pursuant to \xc2\xa7329 of the Code.\n\nRule 2018. Intervention; Right to Be Heard\n(a) Permissive Intervention. In a case under the Code, after hearing on such notice as the\ncourt directs and for cause shown, the court may permit any interested entity to intervene generally\nor with respect to any specified matter.\n(b) Intervention by Attorney General of a State. In a chapter 7, 11, 12, or 13 case, the\nAttorney General of a State may appear and be heard on behalf of consumer creditors if the court\ndetermines the appearance is in the public interest, but the Attorney General may not appeal from\nany judgment, order, or decree in the case.\n(c) Chapter 9 Municipality Case. The Secretary of the Treasury of the United States may,\n117\n\n\x0cor if requested by the court shall, intervene in a chapter 9 case. Representatives of the state in\nwhich the debtor is located may intervene in a chapter 9 case with respect to matters specified by\nthe court.\n(d) Labor Unions. In a chapter 9, 11, or 12 case, a labor union or employees\' association,\nrepresentative of employees of the debtor, shall have the right to be heard on the economic\nsoundness of a plan affecting the interests of the employees. A labor union or employees\'\nassociation which exercises its right to be heard under this subdivision shall not be entitled to\nappeal any judgment, order, or decree relating to the plan, unless otherwise permitted by law.\n(e) Service on Entities Covered by This Rule. The court may enter orders governing the\nservice of notice and papers on entities permitted to intervene or be heard pursuant to this rule.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Rules 8\xe2\x80\x93210, 9\xe2\x80\x9315 and 10\xe2\x80\x93210 and it implements \xc2\xa7\xc2\xa71109\nand 1164 of the Code.\nPursuant to \xc2\xa71109 of the Code, parties in interest have a right to be heard and the Securities\nand Exchange Commission may raise and be heard on any issue but it may not take an appeal. That\nsection is applicable in chapter 9 cases (\xc2\xa7901 of the Code) and in chapter 11 cases, including cases\nunder subchapter IV thereof for the reorganization of a railroad.\nIn a railroad reorganization case under subchapter IV of chapter 11, \xc2\xa71164 also gives the\nright to be heard to the Interstate Commerce Commission, the Department of Transportation and\nany state or local regulatory commission with jurisdiction over the debtor, but these entities may\nnot appeal.\nThis rule does not apply in adversary proceedings. For intervention in adversary\nproceedings, see Rule 7024. The rules do not provide any right of compensation to or\nreimbursement of expenses for intervenors or others covered by this rule. Section 503(b)(3)(D)\nand (4) is not applicable to the entities covered by this rule.\nSubdivision (a) is derived from former Chapter VIII Rule 8\xe2\x80\x93210 and former Chapter X\nRule 10\xe2\x80\x93210. It permits intervention of an entity (see \xc2\xa7101(14), (21) of the Code) not otherwise\nentitled to do so under the Code or this rule. Such a party seeking to intervene must show cause\ntherefor.\nSubdivision (b) specifically grants the appropriate state\'s Attorney General the right to\nappear and be heard on behalf of consumer creditors when it is in the public interest. See House\nRep. No. 95\xe2\x80\x93595, 95th Cong., 1st Sess. (1977) 189. While "consumer creditor" is not defined in\nthe Code or elsewhere, it would include the type of individual entitled to priority under \xc2\xa7507(a)(5)\nof the Code, that is, an individual who has deposited money for the purchase, lease or rental of\nproperty or the purchase of services for the personal, family, or household use of the individual. It\nwould also include individuals who purchased or leased property for such purposes in connection\nwith which there may exist claims for breach of warranty.\nThis subdivision does not grant the Attorney General the status of party in interest. In other\ncontexts, the Attorney General will, of course, be a party in interest as for example, in representing\na state in connection with a tax claim.\nSubdivision (c) recognizes the possible interests of the Secretary of the Treasury or of the\nstate of the debtor\'s locale when a municipality is the debtor. It is derived from former Chapter IX\nRule 9\xe2\x80\x9315 and \xc2\xa785(d) of the Act.\nSubdivision (d) is derived from former Chapter X Rule 10\xe2\x80\x93210 which, in turn, was derived\n118\n\n\x0cfrom \xc2\xa7206 of the Act. Section 206 has no counterpart in the Code.\nSubdivision (e) is derived from former Chapter VIII Rule 8\xe2\x80\x93210(d). It gives the court\nflexibility in directing the type of future notices to be given intervenors.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (d) is amended to make it clear that the prohibition against appeals by labor\nunions is limited only to their participation in connection with the hearings on the plan as provided\nin subdivision (d). If a labor union would otherwise have the right to file an appeal or to be a party\nto an appeal, this rule does not preclude the labor union from exercising that right.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivisions (b) and (d) are amended to include chapter 12.\n\nRule 2019. Disclosure Regarding Creditors and Equity Security Holders in\nChapter 9 and Chapter 11 Cases\n(a) Definitions. In this rule the following terms have the meanings indicated:\n(1) "Disclosable economic interest" means any claim, interest, pledge, lien, option,\nparticipation, derivative instrument, or any other right or derivative right granting the holder an\neconomic interest that is affected by the value, acquisition, or disposition of a claim or interest.\n(2) "Represent" or "represents" means to take a position before the court or to solicit votes\nregarding the confirmation of a plan on behalf of another.\n(b) Disclosure by Groups, Committees, and Entities.\n(1) In a chapter 9 or 11 case, a verified statement setting forth the information specified in\nsubdivision (c) of this rule shall be filed by every group or committee that consists of or represents,\nand every entity that represents, multiple creditors or equity security holders that are (A) acting in\nconcert to advance their common interests, and (B) not composed entirely of affiliates or insiders\nof one another.\n(2) Unless the court orders otherwise, an entity is not required to file the verified statement\ndescribed in paragraph (1) of this subdivision solely because of its status as:\n(A) an indenture trustee;\n(B) an agent for one or more other entities under an agreement for the extension of credit;\n(C) a class action representative; or\n(D) a governmental unit that is not a person.\n(c) Information Required. The verified statement shall include:\n(1) the pertinent facts and circumstances concerning:\n(A) with respect to a group or committee, other than a committee appointed under \xc2\xa71102 or\n\xc2\xa71114 of the Code, the formation of the group or committee, including the name of each entity at\nwhose instance the group or committee was formed or for whom the group or committee has\nagreed to act; or\n(B) with respect to an entity, the employment of the entity, including the name of each\ncreditor or equity security holder at whose instance the employment was arranged;\n119\n\n\x0c(2) if not disclosed under subdivision (c)(1), with respect to an entity, and with respect to\neach member of a group or committee:\n(A) name and address;\n(B) the nature and amount of each disclosable economic interest held in relation to the\ndebtor as of the date the entity was employed or the group or committee was formed; and\n(C) with respect to each member of a group or committee that claims to represent any entity\nin addition to the members of the group or committee, other than a committee appointed under\n\xc2\xa71102 or \xc2\xa71114 of the Code, the date of acquisition by quarter and year of each disclosable\neconomic interest, unless acquired more than one year before the petition was filed;\n(3) if not disclosed under subdivision (c)(1) or (c)(2), with respect to each creditor or equity\nsecurity holder represented by an entity, group, or committee, other than a committee appointed\nunder \xc2\xa71102 or \xc2\xa71114 of the Code:\n(A) name and address; and\n(B) the nature and amount of each disclosable economic interest held in relation to the\ndebtor as of the date of the statement; and\n(4) a copy of the instrument, if any, authorizing the entity, group, or committee to act on\nbehalf of creditors or equity security holders.\n(d) Supplemental Statements. If any fact disclosed in its most recently filed statement has\nchanged materially, an entity, group, or committee shall file a verified supplemental statement\nwhenever it takes a position before the court or solicits votes on the confirmation of a plan. The\nsupplemental statement shall set forth the material changes in the facts required by subdivision (c)\nto be disclosed.\n(e) Determination of Failure to Comply; Sanctions.\n(1) On motion of any party in interest, or on its own motion, the court may determine\nwhether there has been a failure to comply with any provision of this rule.\n(2) If the court finds such a failure to comply, it may:\n(A) refuse to permit the entity, group, or committee to be heard or to intervene in the case;\n(B) hold invalid any authority, acceptance, rejection, or objection given, procured, or\nreceived by the entity, group, or committee; or\n(C) grant other appropriate relief.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26,\n2011, eff. Dec. 1, 2011.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is a comprehensive regulation of representation in chapter 9 municipality and in\nchapter 11 reorganization cases. It is derived from \xc2\xa7\xc2\xa7209\xe2\x80\x93213 of the Act and former Chapter X\nRule 10\xe2\x80\x93211.\nSubdivision (b) is derived from \xc2\xa7\xc2\xa7212, 213 of the Act. As used in clause (2), "other\nauthorization" would include a power or warrant of attorney which are specifically mentioned in\n\xc2\xa7212 of the Act. This rule deals with representation provisions in mortgages, trust deeds, etc. to\nprotect the beneficiaries from unfair practices and the like. It does not deal with the validation or\ninvalidation of security interests generally. If immediate compliance is not possible, the court may\n120\n\n\x0cpermit a representative to be heard on a specific matter, but there is no implicit waiver of\ncompliance on a permanent basis.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to exclude from the requirements of this rule committees of\nretired employees appointed pursuant to \xc2\xa71114 of the Code. The words "with the clerk" are deleted\nas unnecessary. See Rules 5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x942011 Amendment\nThe rule is substantially amended to expand the scope of its coverage and the content of its\ndisclosure requirements. Stylistic and organizational changes are also made in order to provide\ngreater clarity. Because the rule no longer applies only to representatives of creditors and equity\nsecurity holders, the title of the rule has been changed to reflect its broadened focus on disclosure\nof financial information in chapter 9 and chapter 11 cases.\nSubdivision (a). The content of subdivision (a) is new. It sets forth two definitions. The first\nis the definition of the term "disclosable economic interest," which is used in subdivisions (c)(2)\nand (c)(3). The definition of the term is intended to be sufficiently broad to cover any economic\ninterest that could affect the legal and strategic positions a stakeholder takes in a chapter 9 or\nchapter 11 case. A disclosable economic interest extends beyond claims and interests owned by a\nstakeholder and includes, among other types of holdings, short positions, credit default swaps, and\ntotal return swaps.\nThe second definition is of "represent" or "represents." The definition provides that\nrepresentation requires active participation in the case or in a proceeding on behalf of another\nentity\xe2\x80\x94either by taking a position on a matter before the court or by soliciting votes on the\nconfirmation of a plan. Thus, for example, an attorney who is retained and consulted by a creditor\nor equity security holder to monitor the case, but who does not advocate any position before the\ncourt or engage in solicitation activities on behalf of that client, does not represent the creditor or\nequity security holder for purposes of this rule.\nSubdivision (b). Subdivision (b)(1) specifies who is covered by the rule\'s disclosure\nrequirements. In addition to an entity, group, or committee that represents more than one creditor\nor equity security holder, the amendment extends the rule\'s coverage to groups or committees that\nconsist of more than one creditor or equity security holder. The rule no longer excludes official\ncommittees, except as specifically indicated. The rule applies to a group of creditors or equity\nsecurity holders that act in concert to advance common interests (except when the group consists\nexclusively of affiliates or insiders of one another), even if the group does not call itself a\ncommittee.\nSubdivision (b)(2) excludes certain entities from the rule\'s coverage. Even though these\nentities may represent multiple creditors or equity security holders, they do so under formal legal\narrangements of trust or contract law that preclude them from acting on the basis of conflicting\neconomic interests. For example, an indenture trustee\'s responsibilities are defined by the\nindenture, and individual interests of bondholders would not affect the trustee\'s representation.\nSubdivision (c). Subdivision (c) sets forth the information that must be included in a\nverified statement required to be filed under this rule. Subdivision (c)(1) continues to require\ndisclosure concerning the formation of a committee or group, other than an official committee, and\nthe employment of an entity.\n121\n\n\x0cSubdivision (c)(2) specifies information that must be disclosed with respect to the entity\nand each member of the committee and group filing the statement. In the case of a committee or\ngroup, the information about the nature and amount of a disclosable economic interest must be\nspecifically provided on a member-by-member basis, and not in the aggregate. The quarter and\nyear in which each disclosable economic interest was acquired by each member of a committee or\ngroup (other than an official committee) that claims to represent others must also be specifically\nprovided, except for a disclosable economic interest acquired more than a year before the filing of\nthe petition. Although the rule no longer requires the disclosure of the precise date of acquisition or\nthe amount paid for disclosable economic interests, nothing in this rule precludes either the\ndiscovery of that information or its disclosure when ordered by the court pursuant to authority\noutside this rule.\nSubdivision (c)(3) specifies information that must be disclosed with respect to creditors or\nequity security holders that are represented by an entity, group, or committee. This provision does\nnot apply with respect to those represented by official committees. The information required to be\ndisclosed under subdivision (c)(3) parallels that required to be disclosed under subdivision\n(c)(2)(A) and (B). The amendment also clarifies that under (c)(3) the nature and amount of each\ndisclosable economic interest of represented creditors and shareholders must be stated as of the\ndate of the verified statement.\nSubdivision (c)(4) requires the attachment of any instrument authorizing the filer of the\nverified statement to act on behalf of creditors or equity security holders.\nSubdivision (d). Subdivision (d) requires the filing of a supplemental statement at the time\nan entity, group, or committee takes a position before the court or solicits votes on a plan if there\nhas been a material change in any of the information contained in its last filed statement. The\nsupplemental verified statement must set forth the material changes that have occurred regarding\nthe information required to be disclosed by subdivision (c) of this rule.\nSubdivision (e). Subdivision (e) addresses the court\'s authority to determine whether there\nhas been a violation of this rule and to impose a sanction for any violation. It no longer addresses\nthe court\'s authority to determine violations of other applicable laws regulating the activities and\npersonnel of an entity, group, or committee.\nChanges Made After Publication.\nSubdivision (a). A definition of "represent" or "represents" was added, and the subdivision\nwas divided into paragraphs (1) and (2).\nSubdivision (b). The provision authorizing the court to require disclosure by an entity that\nseeks or opposes the granting of relief was deleted.\nIn the paragraph now designated as (1), language was added providing that groups,\ncommittees, and entities are covered by the rule only if they consist of or represent multiple\ncreditors or equity security holders "that are (A) acting in concert to advance their common\ninterests, and (B) not composed entirely of affiliates or insiders of one another." The phrase "and,\nunless the court directs otherwise, every indenture trustee," was deleted.\nSubdivision (b)(2) was added to specify entities that are not required to file a verified\nstatement merely because they act in one of the designated capacities.\nSubdivision (c). The authorization in subdivision (c)(2)(B) and (c)(3)(B) for the court to\nrequire the disclosure of the amount paid for a disclosable economic interest was deleted.\nThe requirement in subdivision (c)(2)(C) and (c)(3)(C) for disclosure of the acquisition\ndate of each disclosable economic interest was modified. The requirement was made applicable\nonly to members of an unofficial group or committee that claims to represent any entity in addition\n122\n\n\x0cto the members of the group or committee, and the date that must be disclosed was limited to the\nquarter and year of acquisition.\nSubdivision (d). The requirement of monthly supplementation of a verified statement was\nmodified to require supplementation whenever a covered group, committee, or entity takes a\nposition before the court or solicits votes on the confirmation of a plan and there has been a\nmaterial change in any fact disclosed in its most recently filed statement.\nSubdivision (e). The provisions published as subdivision (e)(1)(B) and (C), which\nauthorized the court to determine failures to comply with legal requirements other than those\nimposed by Rule 2019, were deleted.\nSubdivision (e)(2), which enumerated the materials the court could examine in making a\ndetermination of noncompliance, was deleted.\nCommittee Note. In the discussion of the definition of "disclosable economic interest," the\nspecific examples of "short positions, credit default swaps, and total return swaps" were added to\nillustrate the breadth of the definition. A sentence was added to the discussion of subdivision (c)(2)\nthat states that the rule does not affect the right of a party to obtain information by means of\ndiscovery or as ordered by the court under any authority outside the rule.\nOther changes. Stylistic and organizational changes were made throughout the rule and\nCommittee Note to reduce the length and clarify the meaning of the published proposal.\n\nRule 2020. Review of Acts by United States Trustee\nA proceeding to contest any act or failure to act by the United States trustee is governed by\nRule 9014.\n(Added Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941991\nThe United States trustee performs administrative functions, such as the convening of the\nmeeting of creditors and the appointment of trustees and committees. Most of the acts of the\nUnited States trustee are not controversial and will go unchallenged. However, the United States\ntrustee is not a judicial officer and does not resolve disputes regarding the propriety of its own\nactions. This rule, which is new, provides a procedure for judicial review of the United States\ntrustee\'s acts or failure to act in connection with the administration of the case. For example, if the\nUnited States trustee schedules a \xc2\xa7341 meeting to be held 90 days after the petition is filed, and a\nparty in interest wishes to challenge the propriety of that act in view of \xc2\xa7341(a) of the Code and\nRule 2003 which requires that the meeting be held not more than 40 days after the order for relief,\nthis rule permits the party to do so by motion.\nThis rule provides for review of acts already committed by the United States trustee, but\ndoes not provide for advisory opinions in advance of the act. This rule is not intended to limit the\ndiscretion of the United States trustee, provided that the United States trustee\'s act is authorized by,\nand in compliance with, the Code, title 28, these rules, and other applicable law.\n\n123\n\n\x0cPART III\xe2\x80\x94CLAIMS AND DISTRIBUTION TO CREDITORS AND\nEQUITY INTEREST HOLDERS; PLANS\nRule 3001. Proof of Claim\n(a) Form and Content. A proof of claim is a written statement setting forth a creditor\'s\nclaim. A proof of claim shall conform substantially to the appropriate Official Form.\n(b) Who May Execute. A proof of claim shall be executed by the creditor or the creditor\'s\nauthorized agent except as provided in Rules 3004 and 3005.\n(c) Supporting Information.\n(1) Claim Based on a Writing. Except for a claim governed by paragraph (3) of this\nsubdivision, when a claim, or an interest in property of the debtor securing the claim, is based on a\nwriting, a copy of the writing shall be filed with the proof of claim. If the writing has been lost or\ndestroyed, a statement of the circumstances of the loss or destruction shall be filed with the claim.\n(2) Additional Requirements in an Individual Debtor Case; Sanctions for Failure to\nComply. In a case in which the debtor is an individual:\n(A) If, in addition to its principal amount, a claim includes interest, fees, expenses, or other\ncharges incurred before the petition was filed, an itemized statement of the interest, fees, expenses,\nor charges shall be filed with the proof of claim.\n(B) If a security interest is claimed in the debtor\'s property, a statement of the amount\nnecessary to cure any default as of the date of the petition shall be filed with the proof of claim.\n(C) If a security interest is claimed in property that is the debtor\'s principal residence, the\nattachment prescribed by the appropriate Official Form shall be filed with the proof of claim. If an\nescrow account has been established in connection with the claim, an escrow account statement\nprepared as of the date the petition was filed and in a form consistent with applicable\nnonbankruptcy law shall be filed with the attachment to the proof of claim.\n(D) If the holder of a claim fails to provide any information required by this subdivision\n(c), the court may, after notice and hearing, take either or both of the following actions:\n(i) preclude the holder from presenting the omitted information, in any form, as evidence in\nany contested matter or adversary proceeding in the case, unless the court determines that the\nfailure was substantially justified or is harmless; or\n(ii) award other appropriate relief, including reasonable expenses and attorney\'s fees\ncaused by the failure.\n(3) Claim Based on an Open-End or Revolving Consumer Credit Agreement.\n(A) When a claim is based on an open-end or revolving consumer credit\nagreement\xe2\x80\x94except one for which a security interest is claimed in the debtor\'s real property\xe2\x80\x94a\nstatement shall be filed with the proof of claim, including all of the following information that\napplies to the account:\n(i) the name of the entity from whom the creditor purchased the account;\n(ii) the name of the entity to whom the debt was owed at the time of an account holder\'s last\ntransaction on the account;\n(iii) the date of an account holder\'s last transaction;\n124\n\n\x0c(iv) the date of the last payment on the account; and\n(v) the date on which the account was charged to profit and loss.\n(B) On written request by a party in interest, the holder of a claim based on an open-end or\nrevolving consumer credit agreement shall, within 30 days after the request is sent, provide the\nrequesting party a copy of the writing specified in paragraph (1) of this subdivision.\n(d) Evidence of Perfection of Security Interest. If a security interest in property of the\ndebtor is claimed, the proof of claim shall be accompanied by evidence that the security interest\nhas been perfected.\n(e) Transferred Claim.\n(1) Transfer of Claim Other Than for Security Before Proof Filed. If a claim has been\ntransferred other than for security before proof of the claim has been filed, the proof of claim may\nbe filed only by the transferee or an indenture trustee.\n(2) Transfer of Claim Other than for Security after Proof Filed. If a claim other than one\nbased on a publicly traded note, bond, or debenture has been transferred other than for security\nafter the proof of claim has been filed, evidence of the transfer shall be filed by the transferee. The\nclerk shall immediately notify the alleged transferor by mail of the filing of the evidence of transfer\nand that objection thereto, if any, must be filed within 21 days of the mailing of the notice or within\nany additional time allowed by the court. If the alleged transferor files a timely objection and the\ncourt finds, after notice and a hearing, that the claim has been transferred other than for security, it\nshall enter an order substituting the transferee for the transferor. If a timely objection is not filed by\nthe alleged transferor, the transferee shall be substituted for the transferor.\n(3) Transfer of Claim for Security Before Proof Filed. If a claim other than one based on a\npublicly traded note, bond, or debenture has been transferred for security before proof of the claim\nhas been filed, the transferor or transferee or both may file a proof of claim for the full amount. The\nproof shall be supported by a statement setting forth the terms of the transfer. If either the\ntransferor or the transferee files a proof of claim, the clerk shall immediately notify the other by\nmail of the right to join in the filed claim. If both transferor and transferee file proofs of the same\nclaim, the proofs shall be consolidated. If the transferor or transferee does not file an agreement\nregarding its relative rights respecting voting of the claim, payment of dividends thereon, or\nparticipation in the administration of the estate, on motion by a party in interest and after notice\nand a hearing, the court shall enter such orders respecting these matters as may be appropriate.\n(4) Transfer of Claim for Security after Proof Filed. If a claim other than one based on a\npublicly traded note, bond, or debenture has been transferred for security after the proof of claim\nhas been filed, evidence of the terms of the transfer shall be filed by the transferee. The clerk shall\nimmediately notify the alleged transferor by mail of the filing of the evidence of transfer and that\nobjection thereto, if any, must be filed within 21 days of the mailing of the notice or within any\nadditional time allowed by the court. If a timely objection is filed by the alleged transferor, the\ncourt, after notice and a hearing, shall determine whether the claim has been transferred for\nsecurity. If the transferor or transferee does not file an agreement regarding its relative rights\nrespecting voting of the claim, payment of dividends thereon, or participation in the administration\nof the estate, on motion by a party in interest and after notice and a hearing, the court shall enter\nsuch orders respecting these matters as may be appropriate.\n(5) Service of Objection or Motion; Notice of Hearing. A copy of an objection filed\npursuant to paragraph (2) or (4) or a motion filed pursuant to paragraph (3) or (4) of this\n125\n\n\x0csubdivision together with a notice of a hearing shall be mailed or otherwise delivered to the\ntransferor or transferee, whichever is appropriate, at least 30 days prior to the hearing.\n(f) Evidentiary Effect. A proof of claim executed and filed in accordance with these rules\nshall constitute prima facie evidence of the validity and amount of the claim.\n(g) 1 To the extent not inconsistent with the United States Warehouse Act or applicable\nState law, a warehouse receipt, scale ticket, or similar document of the type routinely issued as\nevidence of title by a grain storage facility, as defined in section 557 of title 11, shall constitute\nprima facie evidence of the validity and amount of a claim of ownership of a quantity of grain.\n(As amended Pub. L. 98\xe2\x80\x93353, title III, \xc2\xa7354, July 10, 1984, 98 Stat. 361; Apr. 30, 1991, eff.\nAug. 1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 23, 2012, eff.\nDec. 1, 2012.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Bankruptcy Rules 301 and 302. The Federal Rules of\nEvidence, made applicable to cases under the Code by Rule 1101, do not prescribe the evidentiary\neffect to be accorded particular documents. Subdivision (f) of this rule supplements the Federal\nRules of Evidence as they apply to cases under the Code.\nSubdivision (c). This subdivision is similar to former Bankruptcy Rule 302(c) and\ncontinues the requirement for the filing of any written security agreement and provides that the\nfiling of a duplicate of a writing underlying a claim authenticates the claim with the same effect as\nthe filing of the original writing. Cf. Rules 1001(4) and 1003 of F.R. of Evid. Subdivision (d)\ntogether with the requirement in the first sentence of subdivision (c) for the filing of any written\nsecurity agreement, is designed to facilitate the determination whether the claim is secured and\nproperly perfected so as to be valid against the trustee.\nSubdivision (d). "Satisfactory evidence" of perfection, which is to accompany the proof of\nclaim, would include a duplicate of an instrument filed or recorded, a duplicate of a certificate of\ntitle when a security interest is perfected by notation on such a certificate, a statement that pledged\nproperty has been in possession of the secured party since a specified date, or a statement of the\nreasons why no action was necessary for perfection. The secured creditor may not be required to\nfile a proof of claim under this rule if he is not seeking allowance of a claim for a deficiency. But\nsee \xc2\xa7506(d) of the Code.\nSubdivision (e). The rule recognizes the differences between an unconditional transfer of a\nclaim and a transfer for the purpose of security and prescribes a procedure for dealing with the\nrights of the transferor and transferee when the transfer is for security. The rule clarifies the\nprocedure to be followed when a transfer precedes or follows the filing of the petition. The\ninterests of sound administration are served by requiring the post-petition transferee to file with the\nproof of claim a statement of the transferor acknowledging the transfer and the consideration for\nthe transfer. Such a disclosure will assist the court in dealing with evils that may arise out of\npost-bankruptcy traffic in claims against an estate. Monroe v. Scofield, 135 F.2d 725 (10th Cir.\n1943); In re Philadelphia & Western Ry., 64 F. Supp. 738 (E.D. Pa. 1946); cf. In re Latham\nLithographic Corp., 107 F.2d 749 (2d Cir. 1939). Both paragraphs (1) and (3) of this subdivision,\nwhich deal with a transfer before the filing of a proof of claim, recognize that the transferee may be\nunable to obtain the required statement from the transferor, but in that event a sound reason for\nsuch inability must accompany the proof of claim filed by the transferee.\nParagraphs (3) and (4) clarify the status of a claim transferred for the purpose of security.\n126\n\n\x0cAn assignee for security has been recognized as a rightful claimant in bankruptcy. Feder v. John\nEngelhorn & Sons, 202 F.2d 411 (2d Cir. 1953). An assignor\'s right to file a claim notwithstanding\nthe assignment was sustained in In re R & L Engineering Co., 182 F. Supp. 317 (S.D. Cal. 1960).\nFacilitation of the filing of proofs by both claimants as holders of interests in a single claim is\nconsonant with equitable treatment of the parties and sound administration. See In re Latham\nLithographic Corp., 107 F.2d 749 (2d Cir. 1939).\nParagraphs (2) and (4) of subdivision (e) deal with the transfer of a claim after proof has\nbeen filed. Evidence of the terms of the transfer required to be disclosed to the court will facilitate\nthe court\'s determination of the appropriate order to be entered because of the transfer.\nParagraph (5) describes the procedure to be followed when an objection is made by the\ntransferor to the transferee\'s filed evidence of transfer.\nNotes of Advisory Committee on Rules\xe2\x80\x941987\nSubdivision (g) was added by \xc2\xa7354 of the 1984 amendments.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended in anticipation of future revision and renumbering of the\nOfficial Forms.\nSubdivision (e) is amended to limit the court\'s role to the adjudication of disputes regarding\ntransfers of claims. If a claim has been transferred prior to the filing of a proof of claim, there is no\nneed to state the consideration for the transfer or to submit other evidence of the transfer. If a claim\nhas been transferred other than for security after a proof of claim has been filed, the transferee is\nsubstituted for the transferor in the absence of a timely objection by the alleged transferor. In that\nevent, the clerk should note the transfer without the need for court approval. If a timely objection is\nfiled, the court\'s role is to determine whether a transfer has been made that is enforceable under\nnonbankruptcy law. This rule is not intended either to encourage or discourage postpetition\ntransfers of claims or to affect any remedies otherwise available under nonbankruptcy law to a\ntransferor or transferee such as for misrepresentation in connection with the transfer of a claim.\n"After notice and a hearing" as used in subdivision (e) shall be construed in accordance with\nparagraph (5).\nThe words "with the clerk" in subdivision (e)(2) and (e)(4) are deleted as unnecessary. See\nRules 5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nCommittee Notes on Rules\xe2\x80\x942011 Amendment\n127\n\n\x0cSubdivision (c). Subdivision (c) is amended to prescribe with greater specificity the\nsupporting information required to accompany certain proofs of claim and, in cases in which the\ndebtor is an individual, the consequences of failing to provide the required information.\nExisting subdivision (c) is redesignated as (c)(1).\nSubdivision (c)(2) is added to require additional information to accompany proofs of claim\nfiled in cases in which the debtor is an individual. When the holder of a claim seeks to recover\xe2\x80\x94in\naddition to the principal amount of a debt\xe2\x80\x94interest, fees, expenses, or other charges, the proof of\nclaim must be accompanied by a statement itemizing these additional amounts with sufficient\nspecificity to make clear the basis for the claimed amount.\nIf a claim is secured by a security interest in the property of the debtor and the debtor\ndefaulted on the claim prior to the filing of the petition, the proof of claim must be accompanied by\na statement of the amount required to cure the prepetition default.\nIf the claim is secured by a security interest in the debtor\'s principal residence, the proof of\nclaim must be accompanied by the attachment prescribed by the appropriate Official Form. In that\nattachment, the holder of the claim must provide the information required by subparagraphs (A)\nand (B) of this paragraph (2). In addition, if an escrow account has been established in connection\nwith the claim, an escrow account statement showing the account balance, and any amount owed,\nas of the date the petition was filed must be submitted in accordance with subparagraph (C). The\nstatement must be prepared in a form consistent with the requirements of nonbankruptcy law. See,\ne.g., 12 U.S.C. \xc2\xa72601 et seq. (Real Estate Settlement Procedure Act). Thus the holder of the claim\nmay provide the escrow account statement using the same form it uses outside of bankruptcy for\nthis purpose.\nSubparagraph (D) of subdivision (c)(2) sets forth sanctions that the court may impose on a\ncreditor in an individual debtor case that fails to provide information required by subdivision (c).\nFailure to provide the required information does not itself constitute a ground for disallowance of a\nclaim. See \xc2\xa7502(b) of the Code. But when an objection to the allowance of a claim is made or other\nlitigation arises concerning the status or treatment of a claim, if the holder of that claim has not\ncomplied with the requirements of this subdivision, the court may preclude it from presenting as\nevidence any of the omitted information, unless the failure to comply with this subdivision was\nsubstantially justified or harmless. The court retains discretion to allow an amendment to a proof\nof claim under appropriate circumstances or to impose a sanction different from or in addition to\nthe preclusion of the introduction of evidence.\nChanges Made After Publication.\nSubdivision (c)(1). The requirement that the last account statement sent to the debtor be\nfiled with the proof of claim was deleted.\nSubdivision (c)(2). In subparagraph (C), a provision was added requiring the use of the\nappropriate Official Form for the attachment filed by a holder of a claim secured by a security\ninterest in a debtor\'s principal residence.\nIn subdivision (c)(2)(D), the clause "the holder shall be precluded" was deleted, and the\nprovision was revised to state that "the court may, after notice and hearing, take either or both" of\nthe specified actions.\nCommittee Note. In the discussion of subdivision (c)(2), the term "security interest" was\nadded to the sentence that discusses the required filing of a statement of the amount necessary to\ncure a prepetition default.\nThe discussion of subdivision (c)(2)(D) was expanded to clarify that failure to provide\n128\n\n\x0crequired documentation, by itself, is not a ground for disallowance of a claim and that the court has\nseveral options in responding to a creditor\'s failure to provide information required by subdivision\n(c).\nOther changes. Stylistic changes were made to the rule and the Committee Note.\nCommittee Notes on Rules\xe2\x80\x942012 Amendment\nSubdivision (c). Subdivision (c) is amended in several respects. The former requirement in\nparagraph (1) to file an original or duplicate of a supporting document is amended to reflect the\ncurrent practice of filing only copies. The proof of claim form instructs claimants not to file the\noriginal of a document because it may be destroyed by the clerk\'s office after scanning.\nSubdivision (c) is further amended to add paragraph (3). Except with respect to claims\nsecured by a security interest in the debtor\'s real property (such as a home equity line of credit),\nparagraph (3) specifies information that must be provided in support of a claim based on an\nopen-end or revolving consumer credit agreement (such as an agreement underlying the issuance\nof a credit card). Because a claim of this type may have been sold one or more times prior to the\ndebtor\'s bankruptcy, the debtor may not recognize the name of the person filing the proof of claim.\nDisclosure of the information required by paragraph (3) will assist the debtor in associating the\nclaim with a known account. It will also provide a basis for assessing the timeliness of the claim.\nThe date, if any, on which the account was charged to profit and loss ("charge-off" date) under\nsubparagraph (A)(v) should be determined in accordance with applicable standards for the\nclassification and account management of consumer credit. A proof of claim executed and filed in\naccordance with subparagraph (A), as well as the applicable provisions of subdivisions (a), (b),\n(c)(2), and (e), constitutes prima facie evidence of the validity and amount of the claim under\nsubdivision (f).\nTo the extent that paragraph (3) applies to a claim, paragraph (1) of subdivision (c) is not\napplicable. A party in interest, however, may obtain the writing on which an open-end or revolving\nconsumer credit claim is based by requesting in writing that documentation from the holder of the\nclaim. The holder of the claim must provide the documentation within 30 days after the request is\nsent. The court, for cause, may extend or reduce that time period under Rule 9006.\nChanges Made After Publication.\nSubdivision (c)(1). The requirement for the attachment of a writing on which a claim is\nbased was changed to require that a copy, rather than the original or a duplicate, of the writing be\nprovided.\nSubdivision (c)(3). An exception to subparagraph (A) was added for open-end or revolving\nconsumer credit agreements that are secured by the debtor\'s real property.\nA time limit of 30 days for responding to a written request under subparagraph (B) was\nadded.\nCommittee Note. A statement was added to clarify that if a proof of claim complies with\nsubdivision (c)(3)(A), as well as with subdivisions (a), (b), (c)(2), and (e), it constitutes prima facie\nevidence of the validity and amount of the claim under subdivision (f).\nOther changes. Stylistic changes were also made to the rule.\nReferences in Text\nThe United States Warehouse Act, referred to in subd. (g), is Part C of act Aug. 11, 1916,\nch. 313, 39 Stat. 486, as amended, which is classified generally to chapter 10 (\xc2\xa7241 et seq.) of Title\n129\n\n\x0c7, Agriculture. For complete classification of this Act to the Code, see Short Title note set out\nunder section 241 of Title 7 and Tables.\nAmendment by Public Law\n1984\xe2\x80\x94Subd. (g). Pub. L. 98\xe2\x80\x93353 added subd. (g).\nEffective Date of 1984 Amendment\nAmendment by Pub. L. 98\xe2\x80\x93353 effective with respect to cases filed 90 days after July 10,\n1984, see section 552(a) of Pub. L. 98\xe2\x80\x93353, set out as a note under section 101 of this title.\n1\nSo in original. Subsec. (g) enacted without a catchline.\n\nRule 3002. Filing Proof of Claim or Interest\n(a) Necessity for Filing. An unsecured creditor or an equity security holder must file a\nproof of claim or interest for the claim or interest to be allowed, except as provided in Rules\n1019(3), 3003, 3004, and 3005.\n(b) Place of Filing. A proof of claim or interest shall be filed in accordance with Rule 5005.\n(c) Time for Filing. In a chapter 7 liquidation, chapter 12 family farmer\'s debt adjustment,\nor chapter 13 individual\'s debt adjustment case, a proof of claim is timely filed if it is filed not later\nthan 90 days after the first date set for the meeting of creditors called under \xc2\xa7341(a) of the Code,\nexcept as follows:\n(1) A proof of claim filed by a governmental unit, other than for a claim resulting from a\ntax return filed under \xc2\xa71308, is timely filed if it is filed not later than 180 days after the date of the\norder for relief. A proof of claim filed by a governmental unit for a claim resulting from a tax\nreturn filed under \xc2\xa71308 is timely filed if it is filed no later than 180 days after the date of the order\nfor relief or 60 days after the date of the filing of the tax return. The court may, for cause, enlarge\nthe time for a governmental unit to file a proof of claim only upon motion of the governmental unit\nmade before expiration of the period for filing a timely proof of claim.\n(2) In the interest of justice and if it will not unduly delay the administration of the case, the\ncourt may extend the time for filing a proof of claim by an infant or incompetent person or the\nrepresentative of either.\n(3) An unsecured claim which arises in favor of an entity or becomes allowable as a result\nof a judgment may be filed within 30 days after the judgment becomes final if the judgment is for\nthe recovery of money or property from that entity or denies or avoids the entity\'s interest in\nproperty. If the judgment imposes a liability which is not satisfied, or a duty which is not\nperformed within such period or such further time as the court may permit, the claim shall not be\nallowed.\n(4) A claim arising from the rejection of an executory contract or unexpired lease of the\ndebtor may be filed within such time as the court may direct.\n(5) If notice of insufficient assets to pay a dividend was given to creditors under Rule\n2002(e), and subsequently the trustee notifies the court that payment of a dividend appears\npossible, the clerk shall give at least 90 days\' notice by mail to creditors of that fact and of the date\nby which proofs of claim must be filed.\n130\n\n\x0c(6) If notice of the time to file a proof of claim has been mailed to a creditor at a foreign\naddress, on motion filed by the creditor before or after the expiration of the time, the court may\nextend the time by not more than 60 days if the court finds that the notice was insufficient under\nthe circumstances to give the creditor a reasonable time to file a proof of claim.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n1996, eff. Dec. 1, 1996; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) of this rule is substantially a restatement of the general requirement that\nclaims be proved and filed. The exceptions refer to Rule 3003 providing for the filing of claims in\nchapter 9 and 11 cases, and to Rules 3004 and 3005 authorizing claims to be filed by the debtor or\ntrustee and the filing of a claim by a contingent creditor of the debtor.\nA secured claim need not be filed or allowed under \xc2\xa7502 or \xc2\xa7506(d) unless a party in\ninterest has requested a determination and allowance or disallowance under \xc2\xa7502.\nSubdivision (c) is adapted from former Bankruptcy Rule 302(e) but changes the time limits\non the filing of claims in chapter 7 and 13 cases from six months to 90 days after the first date set\nfor the meeting of creditors. The special rule for early filing by a secured creditor in a chapter 13\ncase, in former Rule 13\xe2\x80\x93302(e)(1) is not continued.\nAlthough the claim of a secured creditor may have arisen before the petition, a judgment\navoiding the security interest may not have been entered until after the time for filing claims has\nexpired. Under Rule 3002(c)(3) the creditor who did not file a secured claim may nevertheless file\nan unsecured claim within the time prescribed. A judgment does not become final for the purpose\nof starting the 30 day period provided for by paragraph (3) until the time for appeal has expired or,\nif an appeal is taken, until the appeal has been disposed of. In re Tapp, 61 F. Supp. 594 (W.D. Ky.\n1945).\nParagraph (1) is derived from former Bankruptcy Rule 302(e). The governmental unit may\nmove for an extension of the 90 day period. Pursuant to \xc2\xa7501(c) of the Code, if the government\ndoes not file its claim within the proper time period, the debtor or trustee may file on its behalf. An\nextension is not needed by the debtor or trustee because the right to file does not arise until the\ngovernment\'s time has expired.\nParagraph (4) is derived from former chapter rules. (See, e.g., Rule 11\xe2\x80\x9333(a)(2)(B). In light\nof the reduced time it is necessary that a party with a claim arising from the rejection of an\nexecutory contract have sufficient time to file that claim. This clause allows the court to fix an\nappropriate time.\nParagraph (5) of subdivision (c) is correlated with the provision in Rule 2002(e)\nauthorizing notification to creditors of estates from which no dividends are anticipated. The clause\npermits creditors who have refrained from filing claims after receiving notification to be given an\nopportunity to file when subsequent developments indicate the possibility of a dividend. The\nnotice required by this clause must be given in the manner provided in Rule 2002. The information\nrelating to the discovery of assets will usually be obtained by the clerk from the trustee\'s interim\nreports or special notification by the trustee.\nProvision is made in Rule 2002(a) and (h) for notifying all creditors of the fixing of a time\nfor filing claims against a surplus under paragraph (6). This paragraph does not deal with the\ndistribution of the surplus. Reference must also be made to \xc2\xa7726(a)(2)(C) and (3) which permits\ndistribution on late filed claims.\nParagraph (6) is only operative in a chapter 7 case. In chapter 13 cases, the plan itself\n131\n\n\x0cprovides the distribution to creditors which is not necessarily dependent on the size of the estate.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended by adding a reference to Rule 1019(4). Rule 1019(4) provides\nthat claims actually filed by a creditor in a chapter 11 or 13 case shall be treated as filed in a\nsuperseding chapter 7 case. Claims deemed filed in a chapter 11 case pursuant to \xc2\xa71111(a) of the\nCode are not considered as filed in a superseding chapter 7 case. The creditor must file a claim in\nthe superseding chapter 7 case.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to conform to the renumbering of subdivisions of Rule 1019.\nSubdivision (c) is amended to include chapter 12 cases. Subdivision (c)(4) is amended to clarify\nthat it includes a claim arising from the rejection of an unexpired lease.\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nThe amendments are designed to conform to \xc2\xa7\xc2\xa7502(b)(9) and 726(a) of the Code as\namended by the Bankruptcy Reform Act of 1994.\nThe Reform Act amended \xc2\xa7726(a)(1) and added \xc2\xa7502(b)(9) to the Code to govern the\neffects of a tardily filed claim. Under \xc2\xa7502(b)(9), a tardily filed claim must be disallowed if an\nobjection to the proof of claim is filed, except to the extent that a holder of a tardily filed claim is\nentitled to distribution under \xc2\xa7726(a)(1), (2), or (3).\nThe phrase "in accordance with this rule" is deleted from Rule 3002(a) to clarify that the\neffect of filing a proof of claim after the expiration of the time prescribed in Rule 3002(c) is\ngoverned by \xc2\xa7502(b)(9) of the Code, rather than by this rule.\nSection 502(b)(9) of the Code provides that a claim of a governmental unit shall be timely\nfiled if it is filed "before 180 days after the date of the order for relief" or such later time as the\nBankruptcy Rules provide. To avoid any confusion as to whether a governmental unit\'s proof of\nclaim is timely filed under \xc2\xa7502(b)(9) if it is filed on the 180th day after the order for relief,\nparagraph (1) of subdivision (c) provides that a governmental unit\'s claim is timely if it is filed not\nlater than 180 days after the order for relief.\nReferences to "the United States, a state, or subdivision thereof" in paragraph (1) of\nsubdivision (c) are changed to "governmental unit" to avoid different treatment among foreign and\ndomestic governments.\nGAP Report on Rule 3002. After publication of the proposed amendments, the Bankruptcy\nReform Act of 1994 amended sections 726 and 502(b) of the Code to clarify the rights of creditors\nwho tardily file a proof of claim. In view of the Reform Act, proposed new subdivision (d) of Rule\n3002 has been deleted from the proposed amendments because it is no longer necessary. In\naddition, subdivisions (a) and (c) have been changed after publication to clarify that the effect of\ntardily filing a proof of claim is governed by \xc2\xa7502(b)(9) of the Code, rather than by this rule.\nThe amendments to \xc2\xa7502(b) also provide that a governmental unit\'s proof of claim is\ntimely filed if it is filed before 180 days after the order for relief. Proposed amendments to Rule\n3002(c)(1) were added to the published amendments to conform to this statutory change and to\navoid any confusion as to whether a claim by a governmental unit is timely if it is filed on the 180th\nday.\n132\n\n\x0cThe committee note has been re-written to explain the rule changes designed to conform to\nthe Reform Act.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (c)(1) is amended to reflect the addition of \xc2\xa71308 to the Bankruptcy Code in\n2005. This provision requires that chapter 13 debtors file tax returns during the pendency of the\ncase, and imposes bankruptcy-related consequences if debtors fail to do so. Subdivision (c)(1)\nprovides additional time for governmental units to file a proof of claim for tax obligations with\nrespect to tax returns filed during the pendency of a chapter 13 case. The amendment also allows\nthe governmental unit to move for additional time to file a proof of claim prior to expiration of the\napplicable filing period.\nSubdivision (c)(5) of the rule is amended to set a new period for providing notice to\ncreditors that they may file a proof of claim in a case in which they were previously informed that\nthere was no need to file a claim. Under Rule 2002(e), if it appears that there will be no distribution\nto creditors, the creditors are notified of this fact and are informed that if assets are later discovered\nand a distribution is likely that a new notice will be given to the creditors. This second notice is\nprescribed by Rule 3002(c)(5). The rule is amended to direct the clerk to give at least 90 days\'\nnotice of the time within which creditors may file a proof of claim. Setting the deadline in this\nmanner allows the notices being sent to creditors to be more accurate regarding the deadline than\nwas possible under the prior rule. The rule previously began the 90 day notice period from the time\nof the mailing of the notice, a date that could vary and generally would not even be known to the\ncreditor. Under the amended rule, the notice will identify a specific bar date for filing proofs of\nclaim thereby being more helpful to the creditors.\nSubdivision (c)(6) is added to give the court discretion to extend the time for filing a proof\nof claim for a creditor who received notice of the time to file the claim at a foreign address, if the\ncourt finds that the notice was not sufficient, under the particular circumstances, to give the foreign\ncreditor a reasonable time to file a proof of claim. This amendment is designed to comply with\n\xc2\xa71514(d), added to the Code by the 2005 amendments, and requires that the rules and orders of the\ncourt provide such additional time as is reasonable under the circumstances for foreign creditors to\nfile claims in cases under all chapters of the Code.\nOther changes are stylistic.\nChanges Made After Publication. Subdivision (c)(1) was amended to allow governmental\nunits to move for an enlargement of the time to file a proof of claim. The Committee Note was\namended to describe this addition to the rule.\n\nRule 3002.1. Notice Relating to Claims Secured by Security Interest in the\nDebtor\'s Principal Residence\n(a) In General. This rule applies in a chapter 13 case to claims that are (1) secured by a\nsecurity interest in the debtor\'s principal residence, and (2) provided for under \xc2\xa71322(b)(5) of the\nCode in the debtor\'s plan.\n(b) Notice of Payment Changes. The holder of the claim shall file and serve on the debtor,\ndebtor\'s counsel, and the trustee a notice of any change in the payment amount, including any\nchange that results from an interest rate or escrow account adjustment, no later than 21 days before\na payment in the new amount is due.\n133\n\n\x0c(c) Notice of Fees, Expenses, and Charges. The holder of the claim shall file and serve on\nthe debtor, debtor\'s counsel, and the trustee a notice itemizing all fees, expenses, or charges (1) that\nwere incurred in connection with the claim after the bankruptcy case was filed, and (2) that the\nholder asserts are recoverable against the debtor or against the debtor\'s principal residence. The\nnotice shall be served within 180 days after the date on which the fees, expenses, or charges are\nincurred.\n(d) Form and Content. A notice filed and served under subdivision (b) or (c) of this rule\nshall be prepared as prescribed by the appropriate Official Form, and filed as a supplement to the\nholder\'s proof of claim. The notice is not subject to Rule 3001(f).\n(e) Determination of Fees, Expenses, or Charges. On motion of the debtor or trustee filed\nwithin one year after service of a notice under subdivision (c) of this rule, the court shall, after\nnotice and hearing, determine whether payment of any claimed fee, expense, or charge is required\nby the underlying agreement and applicable nonbankruptcy law to cure a default or maintain\npayments in accordance with \xc2\xa71322(b)(5) of the Code.\n(f) Notice of Final Cure Payment. Within 30 days after the debtor completes all payments\nunder the plan, the trustee shall file and serve on the holder of the claim, the debtor, and debtor\'s\ncounsel a notice stating that the debtor has paid in full the amount required to cure any default on\nthe claim. The notice shall also inform the holder of its obligation to file and serve a response\nunder subdivision (g). If the debtor contends that final cure payment has been made and all plan\npayments have been completed, and the trustee does not timely file and serve the notice required\nby this subdivision, the debtor may file and serve the notice.\n(g) Response to Notice of Final Cure Payment. Within 21 days after service of the notice\nunder subdivision (f) of this rule, the holder shall file and serve on the debtor, debtor\'s counsel, and\nthe trustee a statement indicating (1) whether it agrees that the debtor has paid in full the amount\nrequired to cure the default on the claim, and (2) whether the debtor is otherwise current on all\npayments consistent with \xc2\xa71322(b)(5) of the Code. The statement shall itemize the required cure or\npostpetition amounts, if any, that the holder contends remain unpaid as of the date of the statement.\nThe statement shall be filed as a supplement to the holder\'s proof of claim and is not subject to Rule\n3001(f).\n(h) Determination of Final Cure and Payment. On motion of the debtor or trustee filed\nwithin 21 days after service of the statement under subdivision (g) of this rule, the court shall, after\nnotice and hearing, determine whether the debtor has cured the default and paid all required\npostpetition amounts.\n(i) Failure to Notify. If the holder of a claim fails to provide any information as required by\nsubdivision (b), (c), or (g) of this rule, the court may, after notice and hearing, take either or both of\nthe following actions:\n(1) preclude the holder from presenting the omitted information, in any form, as evidence\nin any contested matter or adversary proceeding in the case, unless the court determines that the\nfailure was substantially justified or is harmless; or\n(2) award other appropriate relief, including reasonable expenses and attorney\'s fees\ncaused by the failure.\n(Added Apr. 26, 2011, eff. Dec. 1, 2011.)\nCommittee Notes on Rules\xe2\x80\x942011\nThis rule is new. It is added to aid in the implementation of \xc2\xa71322(b)(5), which permits a\nchapter 13 debtor to cure a default and maintain payments on a home mortgage over the course of\n134\n\n\x0cthe debtor\'s plan. It applies regardless of whether the trustee or the debtor is the disbursing agent\nfor postpetition mortgage payments.\nIn order to be able to fulfill the obligations of \xc2\xa7l322(b)(5), a debtor and the trustee have to\nbe informed of the exact amount needed to cure any prepetition arrearage, see Rule 3001(c)(2), and\nthe amount of the postpetition payment obligations. If the latter amount changes over time, due to\nthe adjustment of the interest rate, escrow account adjustments, or the assessment of fees,\nexpenses, or other charges, notice of any change in payment amount needs to be conveyed to the\ndebtor and trustee. Timely notice of these changes will permit the debtor or trustee to challenge the\nvalidity of any such charges, if appropriate, and to adjust postpetition mortgage payments to cover\nany undisputed claimed adjustment. Compliance with the notice provision of the rule should also\neliminate any concern on the part of the holder of the claim that informing a debtor of a change in\npostpetition payment obligations might violate the automatic stay.\nSubdivision (a). Subdivision (a) specifies that this rule applies only in a chapter 13 case to\nclaims secured by a security interest in the debtor\'s principal residence.\nSubdivision (b). Subdivision (b) requires the holder of a claim to notify the debtor, debtor\'s\ncounsel, and the trustee of any postpetition change in the mortgage payment amount at least 21\ndays before the new payment amount is due.\nSubdivision (c). Subdivision (c) requires an itemized notice to be given, within 180 days of\nincurrence, of any postpetition fees, expenses, or charges that the holder of the claim asserts are\nrecoverable from the debtor or against the debtor\'s principal residence. This might include, for\nexample, inspection fees, late charges, or attorney\'s fees.\nSubdivision (d). Subdivision (d) provides the method of giving the notice under\nsubdivisions (b) and (c). In both instances, the holder of the claim must give notice of the change as\nprescribed by the appropriate Official Form. In addition to serving the debtor, debtor\'s counsel,\nand the trustee, the holder of the claim must also file the notice on the claims register in the case as\na supplement to its proof of claim. Rule 3001(f) does not apply to any notice given under\nsubdivision (b) or (c), and therefore the notice will not constitute prima facie evidence of the\nvalidity and amount of the payment change or of the fee, expense, or charge.\nSubdivision (e). Subdivision (e) permits the debtor or trustee, within a year after service of\na notice under subdivision (c), to seek a determination by the court as to whether the fees,\nexpenses, or charges set forth in the notice are required by the underlying agreement or applicable\nnonbankruptcy law to cure a default or maintain payments.\nSubdivision (f). Subdivision (f) requires the trustee to issue a notice to the holder of the\nclaim, the debtor, and the debtor\'s attorney within 30 days after completion of payments under the\nplan. The notice must (1) indicate that all amounts required to cure a default on a claim secured by\nthe debtor\'s principal residence have been paid, and (2) direct the holder to comply with\nsubdivision (g). If the trustee fails to file this notice within the required time, this subdivision also\npermits the debtor to file and serve the notice on the trustee and the holder of the claim.\nSubdivision (g). Subdivision (g) governs the response of the holder of the claim to the\ntrustee\'s or debtor\'s notice under subdivision (f). Within 21 days after service of notice of the final\ncure payment, the holder of the claim must file and serve a statement indicating whether the\nprepetition default has been fully cured and also whether the debtor is current on all payments in\naccordance with \xc2\xa71322(b)(5) of the Code. If the holder of the claim contends that all cure\npayments have not been made or that the debtor is not current on other payments required by\n\xc2\xa71322(b)(5), the response must itemize all amounts, other than regular future installment\npayments, that the holder contends are due.\n135\n\n\x0cSubdivision (h). Subdivision (h) provides a procedure for the judicial resolution of any\ndisputes that may arise about payment of a claim secured by the debtor\'s principal residence.\nWithin 21 days after the service of the statement under (g), the trustee or debtor may move for a\ndetermination by the court of whether any default has been cured and whether any other\nnon-current obligations remain outstanding.\nSubdivision (i). Subdivision (i) specifies sanctions that may be imposed if the holder of a\nclaim fails to provide any of the information as required by subdivisions (b), (c), or (g).\nIf, after the chapter 13 debtor has completed payments under the plan and the case has been\nclosed, the holder of a claim secured by the debtor\'s principal residence seeks to recover amounts\nthat should have been but were not disclosed under this rule, the debtor may move to have the case\nreopened in order to seek sanctions against the holder of the claim under subdivision (i).\nChanges Made After Publication.\nSubdivision (a). As part of organizational changes intended to make the rule shorter and\nclearer, a new subdivision (a) was inserted that specifies the applicability of the rule. Other\nsubdivision designations were changed accordingly.\nSubdivision (b). The timing of the notice of payment change, addressed in subdivision (a)\nof the published rule, was changed from 30 to 21 days before payment must be made in the new\namount.\nSubdivision (d). The provisions of the published rule prescribing the procedure for\nproviding notice of payment changes and of fees, expenses, and charges were moved to\nsubdivision (d).\nSubdivision (e). As part of the organizational revision of the rule, the provision governing\nthe resolution of disputes over claimed fees, expenses, or charges was moved to this subdivision.\nSubdivision (f). The triggering event for the filing of the notice of final cure payment was\nchanged to the debtor\'s completion of all payments required under the plan. A sentence was added\nrequiring the notice to inform the holder of the mortgage claim of its obligation to file and serve a\nresponse under subdivision (g).\nSubdivision (h). The caption of this subdivision (which was subdivision (f) as published),\nwas changed to describe its content more precisely.\nSubdivision (i). The clause "the holder shall be precluded" was deleted, and the provision\nwas revised to state that "the court may, after notice and hearing, take either or both" of the\nspecified actions.\nCommittee Note. A sentence was added to the first paragraph to clarify that the rule applies\nregardless of whether ongoing mortgage payments are made directly by the debtor or disbursed\nthrough the chapter 13 trustee. Other changes were made to the Committee Note to reflect the\nchanges made to the rule.\nOther changes. Stylistic changes were made throughout the rule and Committee Note.\n\nRule 3003. Filing Proof of Claim or Equity Security Interest in Chapter 9\nMunicipality or Chapter 11 Reorganization Cases\n(a) Applicability of Rule. This rule applies in chapter 9 and 11 cases.\n(b) Schedule of Liabilities and List of Equity Security Holders.\n(1) Schedule of Liabilities. The schedule of liabilities filed pursuant to \xc2\xa7521(l) of the Code\nshall constitute prima facie evidence of the validity and amount of the claims of creditors, unless\nthey are scheduled as disputed, contingent, or unliquidated. It shall not be necessary for a creditor\n136\n\n\x0cor equity security holder to file a proof of claim or interest except as provided in subdivision (c)(2)\nof this rule.\n(2) List of Equity Security Holders. The list of equity security holders filed pursuant to Rule\n1007(a)(3) shall constitute prima facie evidence of the validity and amount of the equity security\ninterests and it shall not be necessary for the holders of such interests to file a proof of interest.\n(c) Filing Proof of Claim.\n(1) Who May File. Any creditor or indenture trustee may file a proof of claim within the\ntime prescribed by subdivision (c)(3) of this rule.\n(2) Who Must File. Any creditor or equity security holder whose claim or interest is not\nscheduled or scheduled as disputed, contingent, or unliquidated shall file a proof of claim or\ninterest within the time prescribed by subdivision (c)(3) of this rule; any creditor who fails to do so\nshall not be treated as a creditor with respect to such claim for the purposes of voting and\ndistribution.\n(3) Time for Filing. The court shall fix and for cause shown may extend the time within\nwhich proofs of claim or interest may be filed. Notwithstanding the expiration of such time, a\nproof of claim may be filed to the extent and under the conditions stated in Rule 3002(c)(2), (c)(3),\n(c)(4), and (c)(6).\n(4) Effect of Filing Claim or Interest. A proof of claim or interest executed and filed in\naccordance with this subdivision shall supersede any scheduling of that claim or interest pursuant\nto \xc2\xa7521(a)(1) of the Code.\n(5) Filing by Indenture Trustee. An indenture trustee may file a claim on behalf of all\nknown or unknown holders of securities issued pursuant to the trust instrument under which it is\ntrustee.\n(d) Proof of Right to Record Status. For the purposes of Rules 3017, 3018 and 3021 and for\nreceiving notices, an entity who is not the record holder of a security may file a statement setting\nforth facts which entitle that entity to be treated as the record holder. An objection to the statement\nmay be filed by any party in interest.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a). This rule applies only in chapter 9 and chapter 11 cases. It is adapted from\nformer Chapter X Rule 10\xe2\x80\x93401 and provides an exception to the requirement for filing proofs of\nclaim and interest as expressed in \xc2\xa7\xc2\xa7925 and 1111(a) of the Code.\nSubdivision (b). This general statement implements \xc2\xa7\xc2\xa7925 and 1111(a) of the Code.\nSubdivision (c). This subdivision permits, in paragraph (1), the filing of a proof of claim\nbut does not make it mandatory. Paragraph (2) requires, as does the Code, filing when a claim is\nscheduled as disputed, contingent, or unliquidated as to amount. It is the creditor\'s responsibility to\ndetermine if the claim is accurately listed. Notice of the provision of this rule is provided for in\nOfficial Form No. 16, the order for the meeting of creditors. In an appropriate case the court may\norder creditors whose claims are scheduled as disputed, contingent, or unliquidated be notified of\nthat fact but the procedure is left to the discretion of the court.\nSubdivision (d) is derived from former Chapter X Rule 10\xe2\x80\x93401(f).\nExcept with respect to the need and time for filing claims, the other aspects concerning\n137\n\n\x0cclaims covered by Rules 3001 and 3002 are applicable in chapter 9 and 11 cases.\nHolders of equity security interests need not file proofs of interest. Voting and distribution\nparticipation is dependent on ownership as disclosed by the appropriate records of a transfer agent\nor the corporate or other business records at the time prescribed in Rules 3017 and 3021.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nParagraph (3) of subdivision (c) is amended to permit the late filing of claims by infants or\nincompetent persons under the same circumstances that permit late filings in cases under chapter 7,\n12, or 13. The amendment also provides sufficient time in which to file a claim that arises from a\npostpetition judgment against the claimant for the recovery of money or property or the avoidance\nof a lien. It also provides for purposes of clarification that upon rejection of an executory contract\nor unexpired lease, the court shall set a time for filing a claim arising therefrom despite prior\nexpiration of the time set for filing proofs of claim.\nThe caption of paragraph (4) of subdivision (c) is amended to indicate that it applies to a\nproof of claim.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (c)(3) is amended to implement \xc2\xa71514(d) of the Code, which was added by the\n2005 amendments. It makes the new Rule 3002(c)(6) applicable in chapter 9 and chapter 11 cases.\nThis change was necessary so that creditors with foreign addresses be provided such additional\ntime as is reasonable under the circumstances to file proofs of claims.\nChanges Made After Publication. No changes were made after publication.\n\nRule 3004. Filing of Claims by Debtor or Trustee\nIf a creditor does not timely file a proof of claim under Rule 3002(c) or 3003(c), the debtor\nor trustee may file a proof of the claim within 30 days after the expiration of the time for filing\nclaims prescribed by Rule 3002(c) or 3003(c), whichever is applicable. The clerk shall forthwith\ngive notice of the filing to the creditor, the debtor and the trustee.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 2005, eff. Dec. 1, 2005.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Bankruptcy Rule 303 but conforms with the changes\nmade by \xc2\xa7501(c) of the Code. Rule 303 permitted only the filing of tax and wage claims by the\ndebtor. Section 501(c) of the Code, however, permits the filing by the debtor or trustee on behalf of\nany creditor.\nIt is the policy of the Code that debtors\' estates should be administered for the benefit of\ncreditors without regard to the dischargeability of their claims. After their estates have been\nclosed, however, discharged debtors may find themselves saddled with liabilities, particularly for\ntaxes, which remain unpaid because of the failure of creditors holding nondischargeable claims to\nfile proofs of claim and receive distributions thereon. The result is that the debtor is deprived of an\nimportant benefit of the Code without any fault or omission on the debtor\'s part and without any\nobjective of the Code being served thereby.\n138\n\n\x0cSection 501(c) of the Code authorizes a debtor or trustee to file a proof of claim for any\nholder of a claim. Although all claims may not be nondischargeable, it may be difficult to\ndetermine, in particular, whether tax claims survive discharge. See Plumb, Federal Tax Liens and\nPriorities in Bankruptcy, 43 Ref. J. 37, 43\xe2\x80\x9344 (1969); 1 Collier, Bankruptcy 17.14 (14th ed. 1967);\n3 id. 523.06 (15th ed. 1979). To eliminate the necessity of the resolution of this troublesome issue,\nthe option accorded the debtor by the Code does not depend on the nondischargeability of the\nclaim. No serious administrative problems and no unfairness to creditors seemed to develop from\nadoption of Rule 303, the forerunner to \xc2\xa7501(c). The authority to file is conditioned on the\ncreditor\'s failure to file the proof of claim on or before the first date set for the meeting of creditors,\nwhich is the date a claim must ordinarily be filed in order to be voted in a chapter 7 case. Notice to\nthe creditor is provided to enable him to file a proof of claim pursuant to Rule 3002, which proof,\nwhen filed, would supersede the proof filed by the debtor or trustee. Notice to the trustee would\nserve to alert the trustee to the special character of the proof and the possible need for\nsupplementary evidence of the validity and amount of the claim. If the trustee does not qualify\nuntil after a proof of claim is filed by the debtor pursuant to this rule, he should be notified as soon\nas practicable thereafter.\nTo the extent the claim is allowed and dividends paid thereon, it will be reduced or perhaps\npaid in full. If the claim is also filed pursuant to Rule 3005, only one distribution thereon may be\nmade. As expressly required by Rule 3005 and by the purpose of this rule such distribution must\ndiminish the claim.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nUnder the rule as amended, the debtor or trustee in a chapter 7 or 13 case has 120 days from\nthe first date set for the meeting of creditors to file a claim for the creditor. During the first 90 days\nof that period the creditor in a chapter 7 or 13 case may file a claim as provided by Rule 3002(c). If\nthe creditor fails to file a claim, the debtor or trustee shall have an additional 30 days thereafter to\nfile the claim. A proof of claim filed by a creditor supersedes a claim filed by the debtor or trustee\nonly if it is timely filed within the 90 days allowed under Rule 3002(c).\nCommittee Notes on Rules\xe2\x80\x942005 Amendment\nThe rule is amended to conform to \xc2\xa7501(c) of the Code. Under that provision, the debtor or\ntrustee may file proof of a claim if the creditor fails to do so in a timely fashion. The rule\npreviously authorized the debtor and the trustee to file a claim as early as the day after the first date\nset for the meeting of creditors under \xc2\xa7341(a). Under the amended rule, the debtor and trustee must\nwait until the creditor\'s opportunity to file a claim has expired. Providing the debtor and the trustee\nwith the opportunity to file a claim ensures that the claim will participate in any distribution in the\ncase. This is particularly important for claims that are nondischargeable.\nSince the debtor and trustee cannot file a proof of claim until after the creditor\'s time to file\nhas expired, the rule no longer permits the creditor to file a proof of claim that will supersede the\nclaim filed by the debtor or trustee. The rule leaves to the courts the issue of whether to permit\nsubsequent amendment of such proof of claim.\nOther changes are stylistic.\nChanges Made After Publication and Comment. No changes were made after publication.\nThe Advisory Committee concluded that Mr. Van Allsburg\'s suggestion goes beyond the scope of\nthe published proposal. Consequently, the Committee declined to adopt the suggestion but may\n139\n\n\x0cconsider it in greater detail at a future meeting.\n\nRule 3005. Filing of Claim, Acceptance, or Rejection by Guarantor, Surety,\nIndorser, or Other Codebtor\n(a) Filing of Claim. If a creditor does not timely file a proof of claim under Rule 3002(c) or\n3003(c), any entity that is or may be liable with the debtor to that creditor, or who has secured that\ncreditor, may file a proof of the claim within 30 days after the expiration of the time for filing\nclaims prescribed by Rule 3002(c) or Rule 3003(c) whichever is applicable. No distribution shall\nbe made on the claim except on satisfactory proof that the original debt will be diminished by the\namount of distribution.\n(b) Filing of Acceptance or Rejection; Substitution of Creditor. An entity which has filed a\nclaim pursuant to the first sentence of subdivision (a) of this rule may file an acceptance or\nrejection of a plan in the name of the creditor, if known, or if unknown, in the entity\'s own name\nbut if the creditor files a proof of claim within the time permitted by Rule 3003(c) or files a notice\nprior to confirmation of a plan of the creditor\'s intention to act in the creditor\'s own behalf, the\ncreditor shall be substituted for the obligor with respect to that claim.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 25,\n2005, eff. Dec. 1, 2005.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Rules 304 and 10\xe2\x80\x93402. Together with \xc2\xa7501(b) of the\nCode, the rule makes clear that anyone who may be liable on a debt of the debtor, including a\nsurety, guarantor, indorser, or other codebtor, is authorized to file in the name of the creditor of the\ndebtor.\nSubdivision (a). Rule 3002(c) provides the time period for filing proofs of claim in chapter\n7 and 13 cases; Rule 3003(c) provides the time, when necessary, for filing claims in a chapter 9 or\n11 case.\nSubdivision (b). This subdivision applies in chapter 9 and 11 cases as distinguished from\nchapter 7 cases. It permits voting for or against a plan by an obligor who files a claim in place of\nthe creditor.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe words "with the court" in subdivision (b) are deleted as unnecessary. See Rules\n5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x942005 Amendment\nThe rule is amended to delete the last sentence of subdivision (a). The sentence is\nunnecessary because if a creditor has filed a timely claim under Rule 3002 or 3003(c), the codebtor\ncannot file a proof of such claim. The codebtor, consistent with \xc2\xa7501(b) of the Code, may file a\nproof of such claim only after the creditor\'s time to file has expired. Therefore, the rule no longer\npermits the creditor to file a superseding claim. The rule leaves to the courts the issue of whether to\npermit subsequent amendment of the proof of claim.\n140\n\n\x0cThe amendment conforms the rule to \xc2\xa7501(b) by deleting language providing that the\ncodebtor files proof of the claim in the name of the creditor.\nOther amendments are stylistic.\nChanges Made After Publication and Comment:\n(a) The reference on line 2 of Rule 3005 to "Rule 3002 or 3003(c)" was changed to read\n"Rule 3002(c) or 3003(c)" to make it parallel to the language in Rule 3004.\n(b) The phrase "file a proof of the claim" from line 7 of the proposed rule was moved up to\nline 4 of the proposed amendment immediately after the word "may". This makes the structure of\nRules 3004 and 3005 more consistent.\n\nRule 3006. Withdrawal of Claim; Effect on Acceptance or Rejection of Plan\nA creditor may withdraw a claim as of right by filing a notice of withdrawal, except as\nprovided in this rule. If after a creditor has filed a proof of claim an objection is filed thereto or a\ncomplaint is filed against that creditor in an adversary proceeding, or the creditor has accepted or\nrejected the plan or otherwise has participated significantly in the case, the creditor may not\nwithdraw the claim except on order of the court after a hearing on notice to the trustee or debtor in\npossession, and any creditors\' committee elected pursuant to \xc2\xa7705(a) or appointed pursuant to\n\xc2\xa71102 of the Code. The order of the court shall contain such terms and conditions as the court\ndeems proper. Unless the court orders otherwise, an authorized withdrawal of a claim shall\nconstitute withdrawal of any related acceptance or rejection of a plan.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Rules 305 and 10\xe2\x80\x93404.\nSince 1938 it has generally been held that Rule 41 F.R.Civ.P. governs the withdrawal of a\nproof of claim. In re Empire Coal Sales Corp., 45 F. Supp. 974, 976 (S.D.N.Y.), aff\'d sub nom.\nKleid v. Ruthbell Coal Co., 131 F.2d 372, 373 (2d Cir. 1942); Kelso v. MacLaren, 122 F.2d 867,\n870 (8th Cir. 1941); In re Hills, 35 F. Supp. 532, 533 (W.D. Wash. 1940). Accordingly, the cited\ncases held that after an objection has been filed a proof of claim may be withdrawn only subject to\napproval by the court. This constitutes a restriction of the right of withdrawal as recognized by\nsome though by no means all of the cases antedating the promulgation of the Federal Rules of Civil\nProcedure. See 3 Collier Bankruptcy, 57.12 (14th ed. 1961); Note, 20 Bost. U. L. Rev. 121 (1940).\nThe filing of a claim does not commence an adversary proceeding but the filing of an\nobjection to the claim initiates a contest that must be disposed of by the court. This rule recognizes\nthe applicability of the considerations underlying Rule 41(a) F.R.Civ.P. to the withdrawal of a\nclaim after it has been put in issue by an objection. Rule 41(a)(2) F.R.Civ.P. requires leave of court\nto obtain dismissal over the objection of a defendant who has pleaded a counterclaim prior to the\nservice of the plaintiff\'s motion to dismiss. Although the applicability of this provision to the\nwithdrawal of a claim was assumed in Conway v. Union Bank of Switzerland, 204 F.2d 603, 608\n(2d Cir. 1953), Kleid v. Ruthbell Coal Co., supra, Kelso v. MacLaren, supra, and In re Hills, supra,\nthis rule vests discretion in the court to grant, deny, or condition the request of a creditor to\nwithdraw, without regard to whether the trustee has filed a merely defensive objection or a\ncomplaint seeking an affirmative recovery of money or property from the creditor.\nA number of pre-1938 cases sustained denial of a creditor\'s request to withdraw proof of\n141\n\n\x0cclaim on the ground of estoppel or election of remedies. 2 Remington, Bankruptcy 186 (Henderson\ned. 1956); cf. 3 Collier, supra 57.12, at 201 (1964). Voting a claim for a trustee was an important\nfactor in the denial of a request to withdraw in Standard Varnish Works v. Haydock, 143 Fed. 318,\n319\xe2\x80\x9320 (6th Cir. 1906), and In re Cann, 47 F.2d 661, 662 (W.D. Pa. 1931). And it has frequently\nbeen recognized that a creditor should not be allowed to withdraw a claim after accepting a\ndividend. In re Friedmann, 1 Am. B. R. 510, 512 (Ref., S.D.N.Y. 1899); 3 Collier 205 (1964); cf.\nIn re O\'Gara Coal Co., 12 F.2d 426, 429 (7th Cir.), cert. denied, 271 U.S. 683 (1926). It was held\nin Industrial Credit Co. v. Hazen, 222 F.2d 225 (8th Cir. 1955), however, that although a claimant\nhad participated in the first meeting of creditors and in the examination of witnesses, the creditor\nwas entitled under Rule 41(a)(1) F.R.Civ.P. to withdraw the claim as of right by filing a notice of\nwithdrawal before the trustee filed an objection under \xc2\xa757g of the Act. While this rule incorporates\nthe post-1938 case law referred to in the first paragraph of this note, it rejects the inference drawn\nin the Hazen case that Rule 41(a) F.R.Civ.P. supersedes the pre-1938 case law that vests discretion\nin the court to deny or restrict withdrawal of a claim by a creditor on the ground of estoppel or\nelection of remedies. While purely formal or technical participation in a case by a creditor who has\nfiled a claim should not deprive the creditor of the right to withdraw the claim, a creditor who has\naccepted a dividend or who has voted in the election of a trustee or otherwise participated actively\nin proceedings in a case should be permitted to withdraw only with the approval of the court on\nterms it deems appropriate after notice to the trustee. 3 Collier 205\xe2\x80\x9306 (1964).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis amendment is stylistic. Notice of the hearing need not be given to committees of\nequity security holders appointed pursuant to \xc2\xa71102 or committees of retired employees appointed\npursuant to \xc2\xa71114 of the Code.\n\nRule 3007. Objections to Claims\n(a) Objections to Claims. An objection to the allowance of a claim shall be in writing and\nfiled. A copy of the objection with notice of the hearing thereon shall be mailed or otherwise\ndelivered to the claimant, the debtor or debtor in possession, and the trustee at least 30 days prior to\nthe hearing.\n(b) Demand for Relief Requiring an Adversary Proceeding. A party in interest shall not\ninclude a demand for relief of a kind specified in Rule 7001 in an objection to the allowance of a\nclaim, but may include the objection in an adversary proceeding.\n(c) Limitation on Joinder of Claims Objections. Unless otherwise ordered by the court or\npermitted by subdivision (d), objections to more than one claim shall not be joined in a single\nobjection.\n(d) Omnibus Objection. Subject to subdivision (e), objections to more than one claim may\nbe joined in an omnibus objection if all the claims were filed by the same entity, or the objections\nare based solely on the grounds that the claims should be disallowed, in whole or in part, because:\n(1) they duplicate other claims;\n(2) they have been filed in the wrong case;\n(3) they have been amended by subsequently filed proofs of claim;\n(4) they were not timely filed;\n(5) they have been satisfied or released during the case in accordance with the Code,\n142\n\n\x0capplicable rules, or a court order;\n(6) they were presented in a form that does not comply with applicable rules, and the\nobjection states that the objector is unable to determine the validity of the claim because of the\nnoncompliance;\n(7) they are interests, rather than claims; or\n(8) they assert priority in an amount that exceeds the maximum amount under \xc2\xa7507 of the\nCode.\n(e) Requirements for Omnibus Objection. An omnibus objection shall:\n(1) state in a conspicuous place that claimants receiving the objection should locate their\nnames and claims in the objection;\n(2) list claimants alphabetically, provide a cross-reference to claim numbers, and, if\nappropriate, list claimants by category of claims;\n(3) state the grounds of the objection to each claim and provide a cross-reference to the\npages in the omnibus objection pertinent to the stated grounds;\n(4) state in the title the identity of the objector and the grounds for the objections;\n(5) be numbered consecutively with other omnibus objections filed by the same objector;\nand\n(6) contain objections to no more than 100 claims.\n(f) Finality of Objection. The finality of any order regarding a claim objection included in\nan omnibus objection shall be determined as though the claim had been subject to an individual\nobjection.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 30, 2007, eff. Dec. 1, 2007.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from \xc2\xa747a(8) of the Act and former Bankruptcy Rule 306. It prescribes\nthe manner in which an objection to a claim shall be made and notice of the hearing thereon given\nto the claimant. The requirement of a writing does not apply to an objection to the allowance of a\nclaim for the purpose of voting for a trustee or creditors\' committee in a chapter 7 case. See Rule\n2003.\nThe contested matter initiated by an objection to a claim is governed by rule 9014, unless a\ncounterclaim by the trustee is joined with the objection to the claim. The filing of a counterclaim\nordinarily commences an adversary proceeding subject to the rules in Part VII.\nWhile the debtor\'s other creditors may make objections to the allowance of a claim, the\ndemands of orderly and expeditious administration have led to a recognition that the right to object\nis generally exercised by the trustee. Pursuant to \xc2\xa7502(a) of the Code, however, any party in\ninterest may object to a claim. But under \xc2\xa7704 the trustee, if any purpose would be served thereby,\nhas the duty to examine proofs of claim and object to improper claims.\nBy virtue of the automatic allowance of a claim not objected to, a dividend may be paid on\na claim which may thereafter be disallowed on objection made pursuant to this rule. The amount of\nthe dividend paid before the disallowance in such event would be recoverable by the trustee in an\nadversary proceeding.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n\n143\n\n\x0cThe words "with the court" are deleted as unnecessary. See Rules 5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x942007 Amendment\nThe rule is amended in a number of ways. First, the amendment prohibits a party in interest\nfrom including in a claim objection a request for relief that requires an adversary proceeding. A\nparty in interest may, however, include an objection to the allowance of a claim in an adversary\nproceeding. Unlike a contested matter, an adversary proceeding requires the service of a summons\nand complaint, which puts the defendant on notice of the potential for an affirmative recovery.\nPermitting the plaintiff in the adversary proceeding to include an objection to a claim would not\nunfairly surprise the defendant as might be the case if the action were brought as a contested matter\nthat included an action to obtain relief of a kind specified in Rule 7001.\nThe rule as amended does not require that a party include an objection to the allowance of a\nclaim in an adversary proceeding. If a claim objection is filed separately from a related adversary\nproceeding, the court may consolidate the objection with the adversary proceeding under Rule\n7042.\nThe rule also is amended to authorize the filing of a pleading that joins objections to more\nthan one claim. Such filings present a significant opportunity for the efficient administration of\nlarge cases, but the rule includes restrictions on the use of these omnibus objections to ensure the\nprotection of the due process rights of the claimants.\nUnless the court orders otherwise, objections to more than one claim may be joined in a\nsingle pleading only if all of the claims were filed by the same entity, or if the objections are based\nsolely on the grounds set out in subdivision (d) of the rule. Objections of the type listed in\nsubdivision (d) often can be resolved without material factual or legal disputes. Objections to\nmultiple claims permitted under the rule must comply with the procedural requirements set forth in\nsubdivision (e). Among those requirements is the requirement in subdivision (e)(5) that these\nomnibus objections be consecutively numbered. Since these objections may not join more than\n100 objections in any one omnibus objection, there may be a need for several omnibus objections\nto be filed in a particular case. Consecutive numbering of each omnibus objection and the\nidentification of the objector in the title of the objection is essential to keep track of the objections\non the court\'s docket. For example, the objections could be titled Debtor in Possession\'s First\nOmnibus Objection to Claims, Debtor in Possession\'s Second Omnibus Objection to Claims,\nCreditors\' Committee\'s First Omnibus Objection to Claims, and so on. Titling the objections in this\nmanner should avoid confusion and aid in tracking the objections on the docket.\nSubdivision (f) provides that an order resolving an objection to any particular claim is\ntreated, for purposes of finality, as if the claim had been the subject of an individual objection. A\nparty seeking to appeal any such order is neither required, nor permitted, to await the court\'s\nresolution of all other joined objections. The rule permits the joinder of objections for\nconvenience, and that convenience should not impede timely review of a court\'s decision with\nrespect to each claim. Whether the court\'s action as to a particular objection is final, and the\nconsequences of that finality, are not addressed by this amendment. Moreover, use of an omnibus\nobjection generally does not preclude the objecting party from raising a subsequent objection to\nthe claim on other grounds. See Restatement (Second) of Judgments \xc2\xa726(1)(d) (1982) (generally\napplicable rule barring multiple actions based on same transaction or series of transactions is\noverridden when a statutory scheme permits splitting of claims).\nChanges Made After Publication. There were several changes made to the rule after its\npublication. The Advisory Committee declined to follow Mr. Sabino\'s suggestion, concluding that\n144\n\n\x0cthe rule as proposed includes sufficient flexibility, and that expanding the flexibility might lead to\nexcessive deviation from the appropriate format for omnibus claims objections. The Advisory\nCommittee also declined to follow Mr. Horsley\'s suggestion because the deadline for filing a proof\nof claim varies based on the nature of the creditor (governmental units have different deadlines\nfrom other creditors) as well as on the chapter under which the case is pending. The Advisory\nCommittee rejected Judge Grant\'s suggestion that a party proposing an omnibus claims objection\nbe required to demonstrate some special cause to allow the joinder of the objections. The Advisory\nCommittee concluded that the rule includes sufficient protections for claimants such that omnibus\nobjections should be allowed without the need for a special showing by the claims objector that\njoinder is proper.\nThe Advisory Committee did accept several of Judge Grant\'s suggestions, and the rule was\namended by deleting the grounds for objection to claims based on the filing of a superceding proof\nof claim under proposed subdivision (d)(3) and the transfer of claims under proposed subdivision\n(d)(4). Subdivision (d)(3) now permits objections to claims that have been amended by a\nsubsequently filed proof of claim and the paragraphs within subdivision (d) have been renumbered\nto reflect the deletion. The Committee Note also no longer includes any reliance on \xc2\xa7502(j) for the\nstatement indicating that a subsequent claim objection can be filed to a claim that was previously\nincluded in an omnibus claim objection.\n\nRule 3008. Reconsideration of Claims\nA party in interest may move for reconsideration of an order allowing or disallowing a\nclaim against the estate. The court after a hearing on notice shall enter an appropriate order.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSection 502(j) of the Code deals only with the reconsideration of allowed claims as did\nformer \xc2\xa757k of the Act and General Order 21(b). It had sometimes been held that a referee had no\njurisdiction to reconsider a disallowed claim, or the amount or priority of an allowed claim, at the\ninstance of the claimant. See, e.g., In re Gouse, 7 F. Supp. 106 (M.D. Pa. 1934); In re Tomlinson &\nDye, Inc., 3 F. Supp. 800 (N.D. Okla. 1933). This view disregarded \xc2\xa72a(2) of the Act and the\n"ancient and elementary power" of a referee as a court to reconsider orders. In re Pottasch Brow.\nCo., Inc., 79 F.2d 613, 616 (2d Cir. 1935); Castaner v. Mora, 234 F.2d 710 (1st Cir. 1956). This\nrule recognizes, as did former Bankruptcy Rule 307, the power of the court to reconsider an order\nof disallowance on appropriate motion.\nReconsideration of a claim that has been previously allowed or disallowed after objection\nis discretionary with the court. The right to seek reconsideration of an allowed claim, like the right\nto object to its allowance, is generally exercised by the trustee if one has qualified and is\nperforming the duties of that office with reasonable diligence and fidelity. A request for\nreconsideration of a disallowance would, on the other hand, ordinarily come from the claimant.\nA proof of claim executed and filed in accordance with the rules in this Part III is prima\nfacie evidence of the validity and the amount of the claim notwithstanding a motion for\nreconsideration of an order of allowance. Failure to respond does not constitute an admission,\nthough it may be deemed a consent to a reconsideration. In re Goble Boat Co., 190 Fed. 92\n(N.D.N.Y. 1911). The court may decline to reconsider an order of allowance or disallowance\nwithout notice to any adverse party and without affording any hearing to the movant. If a motion to\n145\n\n\x0creconsider is granted, notice and hearing must be afforded to parties in interest before the previous\naction in the claim taken in respect to the claim may be vacated or modified. After reconsideration,\nthe court may allow or disallow the claim, increase or decrease the amount of a prior allowance,\naccord the claim a priority different from that originally assigned it, or enter any other appropriate\norder.\nThe rule expands \xc2\xa7502(j) which provides for reconsideration of an allowance only before\nthe case is closed. Authorities have disagreed as to whether reconsideration may be had after a case\nhas been reopened. Compare 3 Collier Bankruptcy 57.23[4] (14th ed. 1964), see generally 3 id.\n502.10 (15th ed. 1979), with 2 Remington, Bankruptcy 498 (Henderson ed. 1956). If a case is\nreopened as provided in \xc2\xa7350(b) of the Code, reconsideration of the allowance or disallowance of\na claim may be sought and granted in accordance with this rule.\n\nRule 3009. Declaration and Payment of Dividends in a Chapter 7 Liquidation\nCase\nIn a chapter 7 case, dividends to creditors shall be paid as promptly as practicable.\nDividend checks shall be made payable to and mailed to each creditor whose claim has been\nallowed, unless a power of attorney authorizing another entity to receive dividends has been\nexecuted and filed in accordance with Rule 9010. In that event, dividend checks shall be made\npayable to the creditor and to the other entity and shall be mailed to the other entity.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 1, 1993.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Rules 308 and 11\xe2\x80\x9335(a). The preparation of records\nshowing dividends declared and to whom payable is subject to prescription by the Director of the\nAdministrative Office pursuant to Rule 5003(e). The rule governs distributions to creditors having\npriority as well as to general unsecured creditors. Notwithstanding the detailed statutory\nprovisions regulating the declaration of dividends, a necessarily wide discretion over this matter\nhas been recognized to reside in the court. See 3A Collier, Bankruptcy 65.03 (14th ed. 1975): 1\nProceedings of Seminar for Newly Appointed Referees in Bankruptcy 173 (1964). Although the\nrule leaves to the discretion of the court the amount and the times of dividend payments, it\nrecognizes the creditors\' right to as prompt payment as practicable.\nThe second and third sentences of the rule make explicit the method of payment of\ndividends and afford protection of the interests of the creditor and the holder of a power of attorney\nauthorized to receive payment.\nThe rule does not permit variance at local option. This represents a marked change from\nformer Bankruptcy Rule 308.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nThis rule is amended to delete the requirement that the court approve the amounts and\ntimes of distributions in chapter 7 cases. This change recognizes the role of the United States\ntrustee in supervising trustees. Other amendments are stylistic and make no substantive change.\n\nRule 3010. Small Dividends and Payments in Chapter 7 Liquidation, Chapter\n12 Family Farmer\'s Debt Adjustment, and Chapter 13 Individual\'s Debt\n146\n\n\x0cAdjustment Cases\n(a) Chapter 7 Cases. In a chapter 7 case no dividend in an amount less than $5 shall be\ndistributed by the trustee to any creditor unless authorized by local rule or order of the court. Any\ndividend not distributed to a creditor shall be treated in the same manner as unclaimed funds as\nprovided in \xc2\xa7347 of the Code.\n(b) Chapter 12 and Chapter 13 Cases. In a chapter 12 or chapter 13 case no payment in an\namount less than $15 shall be distributed by the trustee to any creditor unless authorized by local\nrule or order of the court. Funds not distributed because of this subdivision shall accumulate and\nshall be paid whenever the accumulation aggregates $15. Any funds remaining shall be distributed\nwith the final payment.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule permits a court to eliminate the disproportionate expense and inconvenience\nincurred by the issuance of a dividend check of less than $5 (or $15 in a chapter 13 case). Creditors\nare more irritated than pleased to receive such small dividends, but the money is held subject to\ntheir specific request as are unclaimed dividends under \xc2\xa7347(a) of the Code. When the trustee\ndeposits undistributed dividends pursuant to a direction in accordance with this rule the trustee\nshould file with the clerk a list of the names and addresses, so far as known, of the persons entitled\nto the money so deposited and the respective amounts payable to them pursuant to Rule 3011. In a\nchapter 13 case, the small dividend will accumulate and will be payable at the latest, with the final\ndividend. Local rule or order may change the practice permitted in this rule and, in that connection,\nthe order may be incorporated in the order confirming a chapter 13 plan.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (b) is amended to include chapter 12 cases.\n\nRule 3011. Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 Family\nFarmer\'s Debt Adjustment, and Chapter 13 Individual\'s Debt Adjustment\nCases\nThe trustee shall file a list of all known names and addresses of the entities and the amounts\nwhich they are entitled to be paid from remaining property of the estate that is paid into court\npursuant to \xc2\xa7347(a) of the Code.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 310. The operative provisions of that\nrule, however, are contained in \xc2\xa7347(a) of the Code, requiring the trustee to stop payment of\nchecks remaining unpaid 90 days after distribution. The rule adds the requirement of filing a list of\nthe names and addresses of the persons entitled to these dividends. This rule applies in a chapter 7\n147\n\n\x0cor 13 case but not in a chapter 9 or 11 case. The latter cases are governed by \xc2\xa7347(b) of the Code\nwhich provides for unclaimed distributions to be returned to the debtor or other entity acquiring the\nassets of the debtor.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe title of this rule is amended to include chapter 12 cases. The words "with the clerk" are\ndeleted as unnecessary. See Rules 5005(a) and 9001(3).\n\nRule 3012. Valuation of Security\nThe court may determine the value of a claim secured by a lien on property in which the\nestate has an interest on motion of any party in interest and after a hearing on notice to the holder of\nthe secured claim and any other entity as the court may direct.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nPursuant to \xc2\xa7506(a) of the Code, secured claims are to be valued and allowed as secured to\nthe extent of the value of the collateral and unsecured, to the extent it is enforceable, for the excess\nover such value. The valuation of secured claims may become important in different contexts e.g.,\nto determine the issue of adequate protection under \xc2\xa7361, impairment under \xc2\xa71124, or treatment of\nthe claim in a plan pursuant to \xc2\xa71129(b) of the Code. This rule permits the issue to be raised on\nmotion by a party in interest. The secured creditor is entitled to notice of the hearing on the motion\nand the court may direct that others in the case also receive such notice.\nAn adversary proceeding is commenced when the validity, priority, or extent of a lien is at\nissue as prescribed by Rule 7001. That proceeding is relevant to the basis of the lien itself while\nvaluation under Rule 3012 would be for the purposes indicated above.\n\nRule 3013. Classification of Claims and Interests\nFor the purposes of the plan and its acceptance, the court may, on motion after hearing on\nnotice as the court may direct, determine classes of creditors and equity security holders pursuant\nto \xc2\xa7\xc2\xa71122, 1222(b)(1), and 1322(b)(1) of the Code.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSections 1122 and 1322(b)(1) set the standards for classifying claims and interests but\nprovide that such classification is accomplished in the plan. This rule does not change the\nstandards; rather it recognizes that it may be desirable or necessary to establish proper\nclassification before a plan can be formulated. It provides for a court hearing on such notice as the\ncourt may direct.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n\n148\n\n\x0cThis rule is amended to include chapter 12 cases.\n\nRule 3014. Election Under \xc2\xa71111(b) by Secured Creditor in Chapter 9\nMunicipality or Chapter 11 Reorganization Case\nAn election of application of \xc2\xa71111(b)(2) of the Code by a class of secured creditors in a\nchapter 9 or 11 case may be made at any time prior to the conclusion of the hearing on the\ndisclosure statement or within such later time as the court may fix. If the disclosure statement is\nconditionally approved pursuant to Rule 3017.1, and a final hearing on the disclosure statement is\nnot held, the election of application of \xc2\xa71111(b)(2) may be made not later than the date fixed\npursuant to Rule 3017.1(a)(2) or another date the court may fix. The election shall be in writing\nand signed unless made at the hearing on the disclosure statement. The election, if made by the\nmajorities required by \xc2\xa71111(b)(1)(A)(i), shall be binding on all members of the class with respect\nto the plan.\n(As amended Apr. 11, 1997, eff. Dec. 1, 1997.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nPursuant to \xc2\xa71111(b)(1) of the Code, a nonrecourse secured loan is converted,\nautomatically, into a recourse loan thereby entitling the creditor to an unsecured deficiency claim\nif the value of the collateral is less than the debt. The class, however, may retain the loan as a\nnonrecourse loan by electing application of \xc2\xa71111(b)(2) by the majorities stated in\n\xc2\xa71111(b)(1)(A)(i). That section does not specify any time periods for making the election.\nRule 3014 provides that if no agreement is negotiated, the election of \xc2\xa71111(b)(2) of the\nCode may be made at any time prior to conclusion of the hearing on the disclosure statement. Once\nthe hearing has been concluded, it would be too late for a secured creditor class to demand\ndifferent treatment unless the court has fixed a later time. This would be the case if, for example, a\npublic class of secured creditors should have an approved disclosure statement prior to electing\nunder \xc2\xa71111(b).\nGenerally it is important that the proponent of a plan ascertain the position of the secured\ncreditor class before a plan is proposed. The secured creditor class must know the prospects of its\ntreatment under the plan before it can intelligently determine its rights under \xc2\xa71111(b). The rule\nrecognizes that there may be negotiations between the proponent of the plan and the secured\ncreditor leading to a representation of desired treatment under \xc2\xa71111(b). If that treatment is\napproved by the requisite majorities of the class and culminates in a written, signed statement filed\nwith the court, that statement becomes binding and the class may not thereafter demand different\ntreatment under \xc2\xa71111(b) with respect to that plan. The proponent of the plan is thus enabled to\nseek approval of the disclosure statement and transmit the plan for voting in anticipation of\nconfirmation. Only if that plan is not confirmed may the class of secured creditors thereafter\nchange its prior election.\nWhile this rule and the Code refer to a class of secured creditors it should be noted that\nordinarily each secured creditor is in a separate and distinct class. In that event, the secured\ncreditor has the sole power to determine application of \xc2\xa71111(b) with respect to that claim.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\n\n149\n\n\x0cThis amendment provides a deadline for electing application of \xc2\xa71111(b)(2) in a small\nbusiness case in which a conditionally approved disclosure statement is finally approved without a\nhearing.\nGAP Report on Rule 3014. No changes to the published draft.\n\nRule 3015. Filing, Objection to Confirmation, and Modification of a Plan in a\nChapter 12 Family Farmer\'s Debt Adjustment or a Chapter 13 Individual\'s\nDebt Adjustment Case\n(a) Chapter 12 Plan. The debtor may file a chapter 12 plan with the petition. If a plan is not\nfiled with the petition, it shall be filed within the time prescribed by \xc2\xa71221 of the Code.\n(b) Chapter 13 Plan. The debtor may file a chapter 13 plan with the petition. If a plan is not\nfiled with the petition, it shall be filed within 14 days thereafter, and such time may not be further\nextended except for cause shown and on notice as the court may direct. If a case is converted to\nchapter 13, a plan shall be filed within 14 days thereafter, and such time may not be further\nextended except for cause shown and on notice as the court may direct.\n(c) Dating. Every proposed plan and any modification thereof shall be dated.\n(d) Notice and Copies. The plan or a summary of the plan shall be included with each\nnotice of the hearing on confirmation mailed pursuant to Rule 2002. If required by the court, the\ndebtor shall furnish a sufficient number of copies to enable the clerk to include a copy of the plan\nwith the notice of the hearing.\n(e) Transmission to United States Trustee. The clerk shall forthwith transmit to the United\nStates trustee a copy of the plan and any modification thereof filed pursuant to subdivision (a) or\n(b) of this rule.\n(f) Objection to Confirmation; Determination of Good Faith in the Absence of an\nObjection. An objection to confirmation of a plan shall be filed and served on the debtor, the\ntrustee, and any other entity designated by the court, and shall be transmitted to the United States\ntrustee, before confirmation of the plan. An objection to confirmation is governed by Rule 9014. If\nno objection is timely filed, the court may determine that the plan has been proposed in good faith\nand not by any means forbidden by law without receiving evidence on such issues.\n(g) Modification of Plan After Confirmation. A request to modify a plan pursuant to \xc2\xa71229\nor \xc2\xa71329 of the Code shall identify the proponent and shall be filed together with the proposed\nmodification. The clerk, or some other person as the court may direct, shall give the debtor, the\ntrustee, and all creditors not less than 21 days\' notice by mail of the time fixed for filing objections\nand, if an objection is filed, the hearing to consider the proposed modification, unless the court\norders otherwise with respect to creditors who are not affected by the proposed modification. A\ncopy of the notice shall be transmitted to the United States trustee. A copy of the proposed\nmodification, or a summary thereof, shall be included with the notice. If required by the court, the\nproponent shall furnish a sufficient number of copies of the proposed modification, or a summary\nthereof, to enable the clerk to include a copy with each notice. Any objection to the proposed\nmodification shall be filed and served on the debtor, the trustee, and any other entity designated by\nthe court, and shall be transmitted to the United States trustee. An objection to a proposed\nmodification is governed by Rule 9014.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n150\n\n\x0cSection 1321 provides only that the "debtor shall file a plan." No time periods are specified,\nnor is any other detail provided. The rule requires a chapter 13 plan to be filed either with the\npetition or within 15 days thereafter. The court may, for cause, extend the time. The rule permits a\nsummary of the plan to be transmitted with the notice of the hearing on confirmation. The court\nmay, however, require the plan itself to be transmitted and the debtor to supply enough copies for\nthis purpose. In the former rules under Chapter XIII the plan would accompany the notice of the\nfirst meeting of creditors. It is more important for the plan or a summary of its terms to be sent with\nthe notice of the confirmation hearing. At that hearing objections to the plan will be heard by the\ncourt.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to include chapter 12 plans. Section 1221 of the Code requires the\ndebtor to file a chapter 12 plan not later than 90 days after the order for relief, except that the court\nmay extend the period if an extension is "substantially justified."\nSubdivision (e) enables the United States trustee to monitor chapter 12 and chapter 13 plans\npursuant to 28 U.S.C. \xc2\xa7586(a)(3)(C).\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nSubdivision (b) is amended to provide a time limit for filing a plan after a case has been\nconverted to chapter 13. The substitution of "may" for "shall" is stylistic and makes no substantive\nchange.\nSubdivision (d) is amended to clarify that the plan or a summary of the plan must be\nincluded with each notice of the confirmation hearing in a chapter 12 case pursuant to Rule\n2002(a).\nSubdivision (f) is added to expand the scope of the rule to govern objections to\nconfirmation in chapter 12 and chapter 13 cases. The subdivision also is amended to include a\nprovision that permits the court, in the absence of an objection, to determine that the plan has been\nproposed in good faith and and not by any means forbidden by law without the need to receive\nevidence on these issues. These matters are now governed by Rule 3020.\nSubdivision (g) is added to provide a procedure for post-confirmation modification of\nchapter 12 and chapter 13 plans. These procedures are designed to be similar to the procedures for\nconfirmation of plans. However, if no objection is filed with respect to a proposed modification of\na plan after confirmation, the court is not required to hold a hearing. See \xc2\xa71229(b)(2) and\n\xc2\xa71329(b)(2) which provide that the plan as modified becomes the plan unless, after notice and a\nhearing, such modification is disapproved. See \xc2\xa7102(1). The notice of the time fixed for filing\nobjections to the proposed modification should set a date for a hearing to be held in the event that\nan objection is filed.\nAmendments to the title of this rule are stylistic and make no substantive change.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\n151\n\n\x0camended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 3016. Filing of Plan and Disclosure Statement in a Chapter 9\nMunicipality or Chapter 11 Reorganization Case\n(a) Identification of Plan. Every proposed plan and any modification thereof shall be dated\nand, in a chapter 11 case, identified with the name of the entity or entities submitting or filing it.\n(b) Disclosure Statement. In a chapter 9 or 11 case, a disclosure statement under \xc2\xa71125 of\nthe Code or evidence showing compliance with \xc2\xa71126(b) shall be filed with the plan or within a\ntime fixed by the court, unless the plan is intended to provide adequate information under\n\xc2\xa71125(f)(1). If the plan is intended to provide adequate information under \xc2\xa71125(f)(1), it shall be\nso designated and Rule 3017.1 shall apply as if the plan is a disclosure statement.\n(c) Injunction Under a Plan. If a plan provides for an injunction against conduct not\notherwise enjoined under the Code, the plan and disclosure statement shall describe in specific and\nconspicuous language (bold, italic, or underlined text) all acts to be enjoined and identify the\nentities that would be subject to the injunction.\n(d) Standard Form Small Business Disclosure Statement and Plan. In a small business case,\nthe court may approve a disclosure statement and may confirm a plan that conform substantially to\nthe appropriate Official Forms or other standard forms approved by the court.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n1996, eff. Dec. 1, 1996; Apr. 23, 2001, eff. Dec. 1, 2001; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule implements the Code provisions concerning the filing of plans in chapters 9 and\n11.\nChapter 9 Cases. Section 941 provides that the debtor may file a plan with the petition or\nthereafter but within a time fixed by the court. A rule, therefore, is unnecessary to specify the time\nfor filing chapter 9 plans.\nChapter 11 Nonrailroad Cases. Section 1121 contains detailed provisions with respect to\nwho may file a chapter 11 plan and, in part, the time period. Section 1121(a) permits a debtor to file\na plan with the petition or at any time during the case. Section 1121(b) and (c) grants exclusive\nperiods of 120 days and 180 days for the debtor to file and obtain acceptance of a plan. Failure to\ntake advantage of these periods or the appointment of a trustee would permit other parties in\ninterest to file a plan. These statutory provisions are not repeated in the rules.\nChapter 11 Railroad Cases. Pursuant to subchapter IV of chapter 11, \xc2\xa71121 of the Code is\napplicable in railroad cases; see \xc2\xa7\xc2\xa71161, 103(g). A trustee, however, is to be appointed in every\ncase; thus, pursuant to \xc2\xa71121(c), any party in interest may file a plan. See discussion of subdivision\n(a) of this rule, infra.\nSubdivision (a). Section 1121(c), while permitting parties in interest a limited right to file\n152\n\n\x0cplans, does not provide any time limitation. This subdivision sets as the deadline, the conclusion of\nthe hearing on the disclosure statement. The court may, however, grant additional time. It is\nderived from former Chapter X Rule 10\xe2\x80\x93301(c)(2) which used, as the cut-off time, the conclusion\nof the hearing on approval of a plan. As indicated, supra, \xc2\xa71121(a) permits a debtor to file a plan at\nany time during the chapter 11 case. Under \xc2\xa71121(c), parties other than a debtor may file a plan\nonly after a trustee is appointed or the debtor\'s exclusive time expires.\nSubdivision (b) requires plans to be properly identified.\nSubdivision (c). This provision is new. In chapter 9 and 11 cases (including railroad\nreorganization cases) postpetition solicitation of votes on a plan requires transmittal of a disclosure\nstatement, the contents of which have been approved by the court. See \xc2\xa71125 of the Code. A\nprepetition solicitation must either have been in conformity with applicable nonbankruptcy law or,\nif none, the disclosure must have been of adequate information as set forth in \xc2\xa71125 of the Code.\nSee \xc2\xa71126(b). Subdivision (c) of this rule provides the time for filing the disclosure statement or\nevidence of compliance with \xc2\xa71126(b) which ordinarily will be with the plan but the court may\nallow a later time or the court may, pursuant to the last sentence, fix a time certain. Rule 3017 deals\nwith the hearing on the disclosure statement. The disclosure statement, pursuant to \xc2\xa71125 is to\ncontain adequate information. "Adequate information" is defined in \xc2\xa71125(a) as information that\nwould permit a reasonable creditor or equity security holder to make an informed judgment on the\nplan.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to enlarge the time for filing competing plans. A party in\ninterest may not file a plan without leave of court only if an order approving a disclosure statement\nrelating to another plan has been entered and a decision on confirmation of the plan has not been\nentered. This subdivision does not fix a deadline beyond which a debtor may not file a plan.\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nSection 1121(c) gives a party in interest the right to file a chapter 11 plan after expiration of\nthe period when only the debtor may file a plan. Under \xc2\xa71121(d), the exclusive period in which\nonly the debtor may file a plan may be extended, but only if a party in interest so requests and the\ncourt, after notice and a hearing, finds cause for an extension. Subdivision (a) is abrogated because\nit could have the effect of extending the debtor\'s exclusive period for filing a plan without\nsatisfying the requirements of \xc2\xa71121(d). The abrogation of subdivision (a) does not affect the\ncourt\'s discretion with respect to the scheduling of hearings on the approval of disclosure\nstatements when more than one plan has been filed.\nThe amendment to subdivision (c), redesignated as subdivision (b), is stylistic.\nGAP Report on Rule 3016. No changes since publication, except for a stylistic change.\nCommittee Notes on Rules\xe2\x80\x942001 Amendment\nSubdivision (c) is added to assure that entities whose conduct would be enjoined under a\nplan, rather than by operation of the Code, are given adequate notice of the proposed injunction.\nThe validity and effect of any injunction are substantive law matters that are beyond the scope of\nthese rules.\nSpecific and conspicuous language is not necessary if the injunction contained in the plan\n153\n\n\x0cis substantially the same as an injunction provided under the Code. For example, if a plan contains\nan injunction against acts to collect a discharged debt from the debtor, Rule 3016(c) would not\napply because that conduct would be enjoined nonetheless under \xc2\xa7524(a)(2). But if a plan provides\nthat creditors will be permanently enjoined from asserting claims against persons who are not\ndebtors in the case, the plan and disclosure statement must highlight the injunctive language and\ncomply with the requirements of Rule 3016(c). See \xc2\xa7524(e).\nThe requirement in this rule that the plan and disclosure statement identify the entities that\nwould be subject to the injunction requires reasonable identification under the circumstances. If\nthe entities that would be subject to the injunction cannot be identified by name, the plan and\ndisclosure statement may describe them by class or category. For example, it may be sufficient to\nidentify the subjects of the injunction as "all creditors of the debtor."\nChanges Made After Publication and Comments. The word "highlighted" in the\nparenthesis was replaced with "underlined" because highlighted documents are difficult to scan\nelectronically for inclusion in the clerks\' files. The Committee Note was revised to put in a more\nprominent position the statement that the validity and effect of any injunction provided for in a\nplan are substantive matters beyond the scope of the rules. Other stylistic changes were made to the\nCommittee Note.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (b) is amended to recognize that, in 2005, \xc2\xa71125(f)(1) was added to the Code\nto provide that the plan proponent in a small business case need not file a disclosure statement if\nthe plan itself includes adequate information and the court finds that a separate disclosure\nstatement is unnecessary. If the plan is intended to provide adequate information in a small\nbusiness case, it may be conditionally approved as a disclosure statement under Rule 3017.1 and is\nsubject to all other rules applicable to disclosure statements in small business cases.\nSubdivision (d) is added to the rule to implement \xc2\xa7433 of the Bankruptcy Abuse\nPrevention and Consumer Protection Act of 2005 which requires the promulgation of Official\nForms for plans and disclosure statements in small business cases. Section 1125(f)(2) of the Code\nprovides that the court may approve a disclosure statement submitted on the appropriate Official\nForm or on a standard form approved by the court. The rule takes no position on whether a court\nmay require a local standard form disclosure statement or plan of reorganization in lieu of the\nOfficial Forms.\nOther amendments are stylistic.\nChanges Made After Publication. No changes were made after publication.\n\nRule 3017. Court Consideration of Disclosure Statement in a Chapter 9\nMunicipality or Chapter 11 Reorganization Case\n(a) Hearing on Disclosure Statement and Objections. Except as provided in Rule 3017.1,\nafter a disclosure statement is filed in accordance with Rule 3016(b), the court shall hold a hearing\non at least 28 days\' notice to the debtor, creditors, equity security holders and other parties in\ninterest as provided in Rule 2002 to consider the disclosure statement and any objections or\nmodifications thereto. The plan and the disclosure statement shall be mailed with the notice of the\nhearing only to the debtor, any trustee or committee appointed under the Code, the Securities and\nExchange Commission and any party in interest who requests in writing a copy of the statement or\n154\n\n\x0cplan. Objections to the disclosure statement shall be filed and served on the debtor, the trustee, any\ncommittee appointed under the Code, and any other entity designated by the court, at any time\nbefore the disclosure statement is approved or by an earlier date as the court may fix. In a chapter\n11 reorganization case, every notice, plan, disclosure statement, and objection required to be\nserved or mailed pursuant to this subdivision shall be transmitted to the United States trustee\nwithin the time provided in this subdivision.\n(b) Determination on Disclosure Statement. Following the hearing the court shall\ndetermine whether the disclosure statement should be approved.\n(c) Dates Fixed for Voting on Plan and Confirmation. On or before approval of the\ndisclosure statement, the court shall fix a time within which the holders of claims and interests may\naccept or reject the plan and may fix a date for the hearing on confirmation.\n(d) Transmission and Notice to United States Trustee, Creditors, and Equity Security\nHolders. Upon approval of a disclosure statement,\xe2\x80\x94 1 except to the extent that the court orders\notherwise with respect to one or more unimpaired classes of creditors or equity security\nholders\xe2\x80\x94the debtor in possession, trustee, proponent of the plan, or clerk as the court orders shall\nmail to all creditors and equity security holders, and in a chapter 11 reorganization case shall\ntransmit to the United States trustee,\n(1) the plan or a court-approved summary of the plan;\n(2) the disclosure statement approved by the court;\n(3) notice of the time within which acceptances and rejections of the plan may be filed; and\n(4) any other information as the court may direct, including any court opinion approving\nthe disclosure statement or a court-approved summary of the opinion.\nIn addition, notice of the time fixed for filing objections and the hearing on confirmation\nshall be mailed to all creditors and equity security holders in accordance with Rule 2002(b), and a\nform of ballot conforming to the appropriate Official Form shall be mailed to creditors and equity\nsecurity holders entitled to vote on the plan. If the court opinion is not transmitted or only a\nsummary of the plan is transmitted, the court opinion or the plan shall be provided on request of a\nparty in interest at the plan proponent\'s expense. If the court orders that the disclosure statement\nand the plan or a summary of the plan shall not be mailed to any unimpaired class, notice that the\nclass is designated in the plan as unimpaired and notice of the name and address of the person from\nwhom the plan or summary of the plan and disclosure statement may be obtained upon request and\nat the plan proponent\'s expense, shall be mailed to members of the unimpaired class together with\nthe notice of the time fixed for filing objections to and the hearing on confirmation. For the\npurposes of this subdivision, creditors and equity security holders shall include holders of stock,\nbonds, debentures, notes, and other securities of record on the date the order approving the\ndisclosure statement is entered or another date fixed by the court, for cause, after notice and a\nhearing.\n(e) Transmission to Beneficial Holders of Securities. At the hearing held pursuant to\nsubdivision (a) of this rule, the court shall consider the procedures for transmitting the documents\nand information required by subdivision (d) of this rule to beneficial holders of stock, bonds,\ndebentures, notes, and other securities, determine the adequacy of the procedures, and enter any\norders the court deems appropriate.\n(f) Notice and Transmission of Documents to Entities Subject to an Injunction Under a\nPlan. If a plan provides for an injunction against conduct not otherwise enjoined under the Code\nand an entity that would be subject to the injunction is not a creditor or equity security holder, at\n155\n\n\x0cthe hearing held under Rule 3017(a), the court shall consider procedures for providing the entity\nwith:\n(1) at least 28 days\' notice of the time fixed for filing objections and the hearing on\nconfirmation of the plan containing the information described in Rule 2002(c)(3); and\n(2) to the extent feasible, a copy of the plan and disclosure statement.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 11,\n1997, eff. Dec. 1, 1997; Apr. 23, 2001, eff. Dec. 1, 2001; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Rule 10\xe2\x80\x93303 which dealt with the approval of a Chapter X\nplan by the court. There is no requirement for plan approval in a chapter 9 or 11 case under the\nCode but there is the requirement that a disclosure statement containing adequate financial\ninformation be approved by the court after notice and a hearing before votes on a plan are solicited.\nSection 1125(b) of the Code is made applicable in chapter 9 cases by \xc2\xa7901(a). It is also applicable\nin railroad reorganization cases under subchapter IV of chapter 11; see \xc2\xa71161 of the Code.\nSubdivision (a) of this rule provides for the hearing on the disclosure statement. Thus, a\nhearing would be required in all cases; whether it may be ex parte would depend on the\ncircumstances of the case, but a mere absence of objections would not eliminate the need for a\nhearing; see \xc2\xa7102(1) of the Code.\nNo provision similar to former Rule 10\xe2\x80\x93303(f) is included. That subdivision together with\nformer Rule 10\xe2\x80\x93304 prohibited solicitation of votes until after entry of an order approving the plan.\nSection 1125(b) of the Code explicitly provides that votes on a plan may not be solicited until a\ndisclosure statement approved by the court is transmitted. Pursuant to the change in rulemaking\npower, a comparable provision in this rule is unnecessary. 28 U.S.C. \xc2\xa72075.\nCopies of the disclosure statement and plan need not be mailed with the notice of the\nhearing or otherwise transmitted prior to the hearing except with respect to the parties explicitly set\nforth in the subdivision.\nIt should be noted that, by construction, the singular includes the plural. Therefore, the\nphrase "plan or plans" or "disclosure statement or statements" has not been used although the\npossibility of multiple plans and statements is recognized.\nSubdivision (d) permits the court to require a party other than the clerk of the bankruptcy\ncourt to bear the responsibility for transmitting the notices and documents specified in the rule\nwhen votes on the plan are solicited. Ordinarily the person responsible for such mailing will be the\nproponent of the plan. In rare cases the clerk may be directed to mail these documents, particularly\nwhen the trustee would have the responsibility but there is insufficient money in the estate to\nenable the trustee to perform this task.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (d). Section 1125(c) of the Code requires that the entire approved disclosure\nstatement be provided in connection with voting on a plan. The court is authorized by \xc2\xa71125(c) to\napprove different disclosure statements for different classes. Although the rule does not permit the\nmailing of a summary of the disclosure statement in place of the approved disclosure statement,\nthe court may approve a summary of the disclosure statement to be mailed with the complete\ndisclosure statement to those voting on the plan.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n156\n\n\x0cThis rule is amended to enable the United States trustee to monitor and comment with\nregard to chapter 11 disclosure statements and plans. The United States trustee does not perform\nthese functions in a chapter 9 municipal debt adjustment case. See 28 U.S.C. \xc2\xa7586(a)(3)(B).\nSubdivision (d) is amended to give the court the discretion to direct that one or more\nunimpaired classes shall not receive disclosure statements, plans, or summaries of plans. Members\nof unimpaired classes are not entitled to vote on the plan. Although disclosure statements enable\nmembers of unimpaired classes to make informed judgments as to whether to object to\nconfirmation because of lack of feasibility or other grounds, in an unusual case the court may\ndirect that disclosure statements shall not be sent to such classes if to do so would not be feasible\nconsidering the size of the unimpaired classes and the expense of printing and mailing. In any\nevent, all creditors are entitled to notice of the time fixed for filing objections and notice of the\nhearing to consider confirmation of the plan pursuant to Rule 2002(b) and the requirement of such\nnotice may not be excused with respect to unimpaired classes. The amendment to subdivision (d)\nalso ensures that the members of unimpaired classes who do not receive such documents will have\nsufficient information so that they may request these documents in advance of the hearing on\nconfirmation. The amendment to subdivision (d) is not intended to give the court the discretion to\ndispense with the mailing of the plan and disclosure statement to governmental units holding\nclaims entitled to priority under \xc2\xa7507(a)(7) because they may not be classified. See \xc2\xa71123(a)(1).\nThe words "with the court" in subdivision (a) are deleted as unnecessary. See Rules\n5005(a) and 9001(3). Reference to the Official Form number in subdivision (d) is deleted in\nanticipation of future revision and renumbering of the Official Forms.\nSubdivision (e) is designed to ensure that appropriate measures are taken for the plan,\ndisclosure statement, ballot and other materials which are required to be transmitted to creditors\nand equity security holders under this rule to reach the beneficial holders of securities held in\nnominee name. Such measures may include orders directing the trustee or debtor in possession to\nreimburse the nominees out of the funds of the estate for the expenses incurred by them in\ndistributing materials to beneficial holders. In most cases, the plan proponent will not know the\nidentities of the beneficial holders and therefore it will be necessary to rely on the nominal holders\nof the securities to distribute the plan materials to the beneficial owners.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nSubdivision (a) is amended to provide that it does not apply to the extent provided in new\nRule 3017.1, which applies in small business cases.\nSubdivision (d) is amended to provide flexibility in fixing the record date for the purpose of\ndetermining the holders of securities who are entitled to receive documents pursuant to this\nsubdivision. For example, if there may be a delay between the oral announcement of the judge\'s\norder approving the disclosure statement and entry of the order on the court docket, the court may\nfix the date on which the judge orally approves the disclosure statement as the record date so that\nthe parties may expedite preparation of the lists necessary to facilitate the distribution of the plan,\ndisclosure statement, ballots, and other related documents.\nThe court may set a record date pursuant to subdivision (d) only after notice and a hearing\nas provided in \xc2\xa7102(1) of the Code. Notice of a request for an order fixing the record date may be\nincluded in the notice of the hearing to consider approval of the disclosure statement mailed\npursuant to Rule 2002(b).\n157\n\n\x0cIf the court fixes a record date pursuant to subdivision (d) with respect to the holders of\nsecurities, and the holders are impaired by the plan, the judge also should order that the same\nrecord date applies for the purpose of determining eligibility for voting pursuant to Rule 3018(a).\nOther amendments to this rule are stylistic.\nGAP Report on Rule 3017. No changes to the published draft.\nCommittee Notes on Rules\xe2\x80\x942001 Amendment\nSubdivision (f) is added to assure that entities whose conduct would be enjoined under a\nplan, rather than by operation of the Code, and who will not receive the documents listed in\nsubdivision (d) because they are neither creditors nor equity security holders, are provided with\nadequate notice of the proposed injunction. It does not address any substantive law issues relating\nto the validity or effect of any injunction provided under a plan, or any due process or other\nconstitutional issues relating to notice. These issues are beyond the scope of these rules and are left\nfor judicial determination.\nThis rule recognizes the need for adequate notice to subjects of an injunction, but that\nreasonable flexibility under the circumstances may be required. If a known and identifiable entity\nwould be subject to the injunction, and the notice, plan, and disclosure statement could be mailed\nto that entity, the court should require that they be mailed at the same time that the plan, disclosure\nstatement and related documents are mailed to creditors under Rule 3017(d). If mailing notices and\nother documents is not feasible because the entities subject to the injunction are described in the\nplan and disclosure statement by class or category and they cannot be identified individually by\nname and address, the court may require that notice under Rule 3017(f)(1) be published.\nChanges Made After Publication and Comments. No changes were made in the text of the\nproposed amendments since publication. The Committee Note was revised to put in a more\nprominent position the statement that the rule does not address related substantive law issues\nwhich are beyond the scope of the rules.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n1\nSo in original. The comma probably should not appear.\n\nRule 3017.1. Court Consideration of Disclosure Statement in a Small Business\nCase\n(a) Conditional Approval of Disclosure Statement. In a small business case, the court may,\n158\n\n\x0con application of the plan proponent or on its own initiative, conditionally approve a disclosure\nstatement filed in accordance with Rule 3016. On or before conditional approval of the disclosure\nstatement, the court shall:\n(1) fix a time within which the holders of claims and interests may accept or reject the plan;\n(2) fix a time for filing objections to the disclosure statement;\n(3) fix a date for the hearing on final approval of the disclosure statement to be held if a\ntimely objection is filed; and\n(4) fix a date for the hearing on confirmation.\n(b) Application of Rule 3017. Rule 3017(a), (b), (c), and (e) do not apply to a conditionally\napproved disclosure statement. Rule 3017(d) applies to a conditionally approved disclosure\nstatement, except that conditional approval is considered approval of the disclosure statement for\nthe purpose of applying Rule 3017(d).\n(c) Final Approval.\n(1) Notice. Notice of the time fixed for filing objections and the hearing to consider final\napproval of the disclosure statement shall be given in accordance with Rule 2002 and may be\ncombined with notice of the hearing on confirmation of the plan.\n(2) Objections. Objections to the disclosure statement shall be filed, transmitted to the\nUnited States trustee, and served on the debtor, the trustee, any committee appointed under the\nCode and any other entity designated by the court at any time before final approval of the\ndisclosure statement or by an earlier date as the court may fix.\n(3) Hearing. If a timely objection to the disclosure statement is filed, the court shall hold a\nhearing to consider final approval before or combined with the hearing on confirmation of the\nplan.\n(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941997\nThis rule is added to implement \xc2\xa71125(f) that was added to the Code by the Bankruptcy\nReform Act of 1994.\nThe procedures for electing to be considered a small business are set forth in Rule 1020. If\nthe debtor is a small business and has elected to be considered a small business, \xc2\xa71125(f) permits\nthe court to conditionally approve a disclosure statement subject to final approval after notice and\na hearing. If a disclosure statement is conditionally approved, and no timely objection to the\ndisclosure statement is filed, it is not necessary for the court to hold a hearing on final approval.\nGAP Report on Rule 3017.1. No change to the published draft.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSection 101 of the Code, as amended in 2005, defines a "small business case" and "small\nbusiness debtor," and eliminates any need to elect that status. Therefore, the reference in the rule to\nan election is deleted.\nAs provided in the amendment to Rule 3016(b), a plan intended to provide adequate\ninformation in a small business case under \xc2\xa71125(f)(1) may be conditionally approved and is\notherwise treated as a disclosure statement under this rule.\nChanges Made After Publication. No changes were made after publication.\n\nRule 3018. Acceptance or Rejection of Plan in a Chapter 9 Municipality or a\n159\n\n\x0cChapter 11 Reorganization Case\n(a) Entities Entitled To Accept or Reject Plan; Time for Acceptance or Rejection. A plan\nmay be accepted or rejected in accordance with \xc2\xa71126 of the Code within the time fixed by the\ncourt pursuant to Rule 3017. Subject to subdivision (b) of this rule, an equity security holder or\ncreditor whose claim is based on a security of record shall not be entitled to accept or reject a plan\nunless the equity security holder or creditor is the holder of record of the security on the date the\norder approving the disclosure statement is entered or on another date fixed by the court, for cause,\nafter notice and a hearing. For cause shown, the court after notice and hearing may permit a\ncreditor or equity security holder to change or withdraw an acceptance or rejection.\nNotwithstanding objection to a claim or interest, the court after notice and hearing may\ntemporarily allow the claim or interest in an amount which the court deems proper for the purpose\nof accepting or rejecting a plan.\n(b) Acceptances or Rejections Obtained Before Petition. An equity security holder or\ncreditor whose claim is based on a security of record who accepted or rejected the plan before the\ncommencement of the case shall not be deemed to have accepted or rejected the plan pursuant to\n\xc2\xa71126(b) of the Code unless the equity security holder or creditor was the holder of record of the\nsecurity on the date specified in the solicitation of such acceptance or rejection for the purposes of\nsuch solicitation. A holder of a claim or interest who has accepted or rejected a plan before the\ncommencement of the case under the Code shall not be deemed to have accepted or rejected the\nplan if the court finds after notice and hearing that the plan was not transmitted to substantially all\ncreditors and equity security holders of the same class, that an unreasonably short time was\nprescribed for such creditors and equity security holders to accept or reject the plan, or that the\nsolicitation was not in compliance with \xc2\xa71126(b) of the Code.\n(c) Form of Acceptance or Rejection. An acceptance or rejection shall be in writing,\nidentify the plan or plans accepted or rejected, be signed by the creditor or equity security holder or\nan authorized agent, and conform to the appropriate Official Form. If more than one plan is\ntransmitted pursuant to Rule 3017, an acceptance or rejection may be filed by each creditor or\nequity security holder for any number of plans transmitted and if acceptances are filed for more\nthan one plan, the creditor or equity security holder may indicate a preference or preferences\namong the plans so accepted.\n(d) Acceptance or Rejection by Partially Secured Creditor. A creditor whose claim has\nbeen allowed in part as a secured claim and in part as an unsecured claim shall be entitled to accept\nor reject a plan in both capacities.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993; Apr. 11, 1997, eff. Dec. 1, 1997.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule applies in chapter 9, 11 and 13 cases under the Code. The references in the rule to\nequity security holders will not, however, be relevant in chapter 9 or 13 cases. The rule will be of\nlittle utility in a chapter 13 case because only secured creditors may be requested to vote on a plan;\nunsecured creditors are not entitled to vote; see \xc2\xa71325(a)(4), (5) of the Code.\nSubdivision (a) is derived from former Rule 10\xe2\x80\x93305(a). It substitutes, in a reorganization\ncase, entry of the order approving the disclosure statement for the order approving a plan in\n160\n\n\x0cconformity with the differences between Chapter X and chapter 11. In keeping with the underlying\ntheory it continues to recognize that the lapse of time between the filing of the petition and entry of\nsuch order will normally be significant and, during that interim, bonds and equity interests can\nchange ownership.\nSubdivision (b) recognizes the former Chapter XI practice permitting a plan and\nacceptances to be filed with the petition, as does \xc2\xa71126(b) of the Code. However, because a plan\nunder chapter 11 may affect shareholder interests, there should be reference to a record date of\nownership. In this instance the appropriate record date is that used in the prepetition solicitation\nmaterials because it is those acceptances or rejections which are being submitted to the court.\nWhile \xc2\xa71126(c), (d), and (e) prohibits use of an acceptance or rejection not procured in\ngood faith, the added provision in subdivision (b) of the rule is somewhat more detailed. It would\nprohibit use of prepetition acceptances or rejections when some but not all impaired creditors or\nequity security holders are solicited or when they are not given a reasonable opportunity to submit\ntheir acceptances or rejections. This provision together with \xc2\xa71126(e) gives the court the power to\nnullify abusive solicitation procedures.\nSubdivision (c). It is possible that multiple plans may be before the court for confirmation.\nPursuant to \xc2\xa71129(c) of the Code, the court may confirm only one plan but is required to consider\nthe preferences expressed by those accepting the plans in determining which one to confirm.\nSubdivisions (d) and (e) of former Rule 10\xe2\x80\x93305 are not continued since comparable\nprovisions are contained in the statute; see \xc2\xa71126(c), (d), (e).\nIt should be noted that while the singular "plan" is used throughout, by construction the\nplural is included; see \xc2\xa7102(7).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivisions (a) and (b) are amended to delete provisions that duplicate \xc2\xa71126 of the Code.\nAn entity who is not a record holder of a security, but who claims that it is entitled to be treated as\na record holder, may file a statement pursuant to Rule 3003(d).\nSubdivision (a) is amended further to allow the court to permit a creditor or equity security\nholder to change or withdraw an acceptance or rejection for cause shown whether or not the time\nfixed for voting has expired.\nSubdivision (b) is also amended to give effect to a prepetition acceptance or rejection if\nsolicitation requirements were satisfied with respect to substantially all members of the same class,\ninstead of requiring proper solicitation with respect to substantially all members of all classes.\nSubdivision (c) is amended to delete the Official Form number in anticipation of future\nrevision and renumbering of the Official Forms.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nThe title of this rule is amended to indicate that it applies only in a chapter 9 or a chapter 11\ncase. The amendment of the word "Plans" to "Plan" is stylistic.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nSubdivision (a) is amended to provide flexibility in fixing the record date for the purpose of\ndetermining the holders of securities who are entitled to vote on the plan. For example, if there\nmay be a delay between the oral announcement of the judge\'s decision approving the disclosure\n161\n\n\x0cstatement and entry of the order on the court docket, the court may fix the date on which the judge\norally approves the disclosure statement as the record date for voting purposes so that the parties\nmay expedite preparation of the lists necessary to facilitate the distribution of the plan, disclosure\nstatement, ballots, and other related documents in connection with the solicitation of votes.\nThe court may set a record date pursuant to subdivision (a) only after notice and a hearing\nas provided in \xc2\xa7102(1) of the Code. Notice of a request for an order fixing the record date may be\nincluded in the notice of the hearing to consider approval of the disclosure statement mailed\npursuant to Rule 2002(b).\nIf the court fixes the record date for voting purposes, the judge also should order that the\nsame record date shall apply for the purpose of distributing the documents required to be\ndistributed pursuant to Rule 3017(d).\nGAP Report on Rule 3018. No changes to the published draft.\n\nRule 3019. Modification of Accepted Plan in a Chapter 9 Municipality or a\nChapter 11 Reorganization Case\n(a) Modification of Plan Before Confirmation. In a chapter 9 or chapter 11 case, after a plan\nhas been accepted and before its confirmation, the proponent may file a modification of the plan. If\nthe court finds after hearing on notice to the trustee, any committee appointed under the Code, and\nany other entity designated by the court that the proposed modification does not adversely change\nthe treatment of the claim of any creditor or the interest of any equity security holder who has not\naccepted in writing the modification, it shall be deemed accepted by all creditors and equity\nsecurity holders who have previously accepted the plan.\n(b) Modification of Plan After Confirmation in Individual Debtor Case. If the debtor is an\nindividual, a request to modify the plan under \xc2\xa71127(e) of the Code is governed by Rule 9014. The\nrequest shall identify the proponent and shall be filed together with the proposed modification. The\nclerk, or some other person as the court may direct, shall give the debtor, the trustee, and all\ncreditors not less than 21 days\' notice by mail of the time fixed to file objections and, if an\nobjection is filed, the hearing to consider the proposed modification, unless the court orders\notherwise with respect to creditors who are not affected by the proposed modification. A copy of\nthe notice shall be transmitted to the United States trustee, together with a copy of the proposed\nmodification. Any objection to the proposed modification shall be filed and served on the debtor,\nthe proponent of the modification, the trustee, and any other entity designated by the court, and\nshall be transmitted to the United States trustee.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 23,\n2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule implements \xc2\xa7\xc2\xa7942, 1127 and 1323 of the Code. For example, \xc2\xa71127 provides for\nmodification before and after confirmation but does not deal with the minor modifications that do\nnot adversely change any rights. The rule makes clear that a modification may be made, after\nacceptance of the plan without submission to creditors and equity security holders if their interests\nare not affected. To come within this rule, the modification should be one that does not change the\nrights of a creditor or equity security holder as fixed in the plan before modification.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\n162\n\n\x0cThis rule is amended to limit its application to chapter 9 and chapter 11 cases. Modification\nof plans after confirmation in chapter 12 and chapter 13 cases is governed by Rule 3015. The\naddition of the comma in the second sentence is stylistic and makes no substantive change.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe 2005 amendments to \xc2\xa71127 of the Code provide for modification of a confirmed plan\nin an individual debtor chapter 11 case. Therefore, the rule is amended to establish the procedure\nfor filing and objecting to a proposed modification of a confirmed plan.\nChanges Made After Publication. The last sentence of the published rule provided that an\nobjection to modification of a plan is governed by Rule 9014. The sentence is deleted and the\nreference to Rule 9014 is moved to the first sentence of subdivision (b) of the rule. The Committee\nNote was revised to make the reference to the 2005 amendments to the Bankruptcy Code\nconsistent with their identification in other Committee Notes.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 3020. Deposit; Confirmation of Plan in a Chapter 9 Municipality or\nChapter 11 Reorganization Case\n(a) Deposit. In a chapter 11 case, prior to entry of the order confirming the plan, the court\nmay order the deposit with the trustee or debtor in possession of the consideration required by the\nplan to be distributed on confirmation. Any money deposited shall be kept in a special account\nestablished for the exclusive purpose of making the distribution.\n(b) Objection to and Hearing on Confirmation in a Chapter 9 or Chapter 11 Case.\n(1) Objection. An objection to confirmation of the plan shall be filed and served on the\ndebtor, the trustee, the proponent of the plan, any committee appointed under the Code, and any\nother entity designated by the court, within a time fixed by the court. Unless the case is a chapter 9\nmunicipality case, a copy of every objection to confirmation shall be transmitted by the objecting\nparty to the United States trustee within the time fixed for filing objections. An objection to\nconfirmation is governed by Rule 9014.\n(2) Hearing. The court shall rule on confirmation of the plan after notice and hearing as\nprovided in Rule 2002. If no objection is timely filed, the court may determine that the plan has\nbeen proposed in good faith and not by any means forbidden by law without receiving evidence on\n163\n\n\x0csuch issues.\n(c) Order of Confirmation.\n(1) The order of confirmation shall conform to the appropriate Official Form. If the plan\nprovides for an injunction against conduct not otherwise enjoined under the Code, the order of\nconfirmation shall (1) describe in reasonable detail all acts enjoined; (2) be specific in its terms\nregarding the injunction; and (3) identify the entities subject to the injunction.\n(2) Notice of entry of the order of confirmation shall be mailed promptly to the debtor, the\ntrustee, creditors, equity security holders, other parties in interest, and, if known, to any identified\nentity subject to an injunction provided for in the plan against conduct not otherwise enjoined\nunder the Code.\n(3) Except in a chapter 9 municipality case, notice of entry of the order of confirmation\nshall be transmitted to the United States trustee as provided in Rule 2002(k).\n(d) Retained Power. Notwithstanding the entry of the order of confirmation, the court may\nissue any other order necessary to administer the estate.\n(e) Stay of Confirmation Order. An order confirming a plan is stayed until the expiration of\n14 days after the entry of the order, unless the court orders otherwise.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2001, eff. Dec. 1, 2001; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Rules 10\xe2\x80\x93307, 11\xe2\x80\x9338, and 13\xe2\x80\x93213. It applies to cases filed\nunder chapters 9, 11 and 13. Certain subdivisions of the earlier rules have not been included, such\nas, a subdivision revesting title in the debtor because \xc2\xa7541 of the Code does not transfer title out of\nthe debtor as did \xc2\xa770a of the Bankruptcy Act; see also \xc2\xa7\xc2\xa71141(b), 1327(b). Subdivision (b) of\nformer Rule 13\xe2\x80\x93213 is not included because its provisions are contained in the statute; see \xc2\xa7\xc2\xa71322,\n1325(b), 105.\nSubdivision (a) gives discretion to the court to require in chapter 11 cases the deposit of any\nconsideration to be distributed on confirmation. If money is to be distributed, it is to be deposited\nin a special account to assure that it will not be used for any other purpose. The Code is silent in\nchapter 11 with respect to the need to make a deposit or the person with whom any deposit is to be\nmade. Consequently, there is no statutory authority for any person to act in a capacity similar to the\ndisbursing agent under former Chapter XI practice. This rule provides that only the debtor in\npossession or trustee should be appointed as the recipient of the deposit. Any consideration other\nthan money, e.g., notes or stock may be given directly to the debtor in possession or trustee and\nneed not be left in any kind of special account. In chapter 9 cases, \xc2\xa7944(b) provides for deposit\nwith a disbursing agent appointed by the court of any consideration to be distributed under the\nplan.\nSubdivision (d) clarifies the authority of the court to conclude matters pending before it\nprior to confirmation and to continue to administer the estate as necessary, e.g., resolving\nobjections to claims.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n\n164\n\n\x0cThe United States trustee monitors chapter 11, chapter 12, and chapter 13 plans and has\nstanding to be heard regarding confirmation of a plan. See 28 U.S.C. \xc2\xa7586(a)(3). The amendments\nto subdivisions (b)(1) and (c) of this rule facilitate that role of the United States trustee.\nSubdivision (b)(1) is also amended to require service on the proponent of the plan of objections to\nconfirmation. The words "with the court" in subdivision (b)(1) are deleted as unnecessary. See\nRules 5005(a) and 9001(3).\nIn a chapter 12 case, the court is required to conduct and conclude the hearing on\nconfirmation of the plan within the time prescribed in \xc2\xa71224 of the Code.\nSubdivision (c) is also amended to require that the confirmation order be mailed to the\ntrustee. Reference to the Official Form number is deleted in anticipation of future revision and\nrenumbering of the Official Forms.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nThis rule is amended to limit its application to chapter 9 and chapter 11 cases. The\nprocedures relating to confirmation of plans in chapter 12 and chapter 13 cases are provided in\nRule 3015. Other amendments are stylistic and make no substantive change.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nSubdivision (e) is added to provide sufficient time for a party to request a stay pending\nappeal of an order confirming a plan under chapter 9 or chapter 11 of the Code before the plan is\nimplemented and an appeal becomes moot. Unless the court orders otherwise, any transfer of\nassets, issuance of securities, and cash distributions provided for in the plan may not be made\nbefore the expiration of the 10-day period. The stay of the confirmation order under subdivision (e)\ndoes not affect the time for filing a notice of appeal from the confirmation order in accordance with\nRule 8002.\nThe court may, in its discretion, order that Rule 3020(e) is not applicable so that the plan\nmay be implemented and distributions may be made immediately. Alternatively, the court may\norder that the stay under Rule 3020(e) is for a fixed period less than 10 days.\nGAP Report on Rule 3020. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942001 Amendment\nSubdivision (c) is amended to provide notice to an entity subject to an injunction provided\nfor in a plan against conduct not otherwise enjoined by operation of the Code. This requirement is\nnot applicable to an injunction contained in a plan if it is substantially the same as an injunction\nprovided under the Code. The validity and effect of any injunction provided for in a plan are\nsubstantive law matters that are beyond the scope of these rules.\nThe requirement that the order of confirmation identify the entities subject to the injunction\nrequires only reasonable identification under the circumstances. If the entities that would be\nsubject to the injunction cannot be identified by name, the order may describe them by class or\ncategory if reasonable under the circumstances. For example, it may be sufficient to identify the\nentities as "all creditors of the debtor."\nChanges Made After Publication and Comments. No changes were made in the text of the\nproposed amendments. The Committee Note was revised to put in a more prominent position the\nstatement that the validity and effect of injunctions provided for in plans is beyond the scope of the\n165\n\n\x0crules.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\n\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 3021. Distribution Under Plan\nExcept as provided in Rule 3020(e), after a plan is confirmed, distribution shall be made to\ncreditors whose claims have been allowed, to interest holders whose interests have not been\ndisallowed, and to indenture trustees who have filed claims under Rule 3003(c)(5) that have been\nallowed. For purposes of this rule, creditors include holders of bonds, debentures, notes, and other\ndebt securities, and interest holders include the holders of stock and other equity securities, of\nrecord at the time of commencement of distribution, unless a different time is fixed by the plan or\nthe order confirming the plan.\n(As amended Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec. 1, 1999.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Chapter X Rule 10\xe2\x80\x93405(a). Subdivision (b) of that rule is\ncovered by \xc2\xa71143 of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nThis rule is amended to provide flexibility in fixing the record date for the purpose of\nmaking distributions to holders of securities of record. In a large case, it may be impractical for the\ndebtor to determine the holders of record with respect to publicly held securities and also to make\ndistributions to those holders at the same time. Under this amendment, the plan or the order\nconfirming the plan may fix a record date for distributions that is earlier than the date on which\ndistributions commence.\nThis rule also is amended to treat holders of bonds, debentures, notes, and other debt\nsecurities the same as any other creditors by providing that they shall receive a distribution only if\ntheir claims have been allowed. Finally, the amendments clarify that distributions are to be made to\nall interest holders\xe2\x80\x94not only those that are within the definition of "equity security holders" under\n\xc2\xa7101 of the Code\xe2\x80\x94whose interests have not been disallowed.\nGAP Report on Rule 3021. No changes to the published draft.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\n\n166\n\n\x0cThis amendment is to conform to the amendments to Rule 3020 regarding the ten-day stay\nof an order confirming a plan in a chapter 9 or chapter 11 case. The other amendments are stylistic.\nGAP Report on Rule 3021. No changes since publication.\n\nRule 3022. Final Decree in Chapter 11 Reorganization Case\nAfter an estate is fully administered in a chapter 11 reorganization case, the court, on its\nown motion or on motion of a party in interest, shall enter a final decree closing the case.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSection 350 of the Code requires the court to close the case after the estate is fully\nadministered and the trustee has been discharged. Section 1143 places a five year limitation on the\nsurrender of securities when required for participation under a plan but this provision should not\ndelay entry of the final decree.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nEntry of a final decree closing a chapter 11 case should not be delayed solely because the\npayments required by the plan have not been completed. Factors that the court should consider in\ndetermining whether the estate has been fully administered include (1) whether the order\nconfirming the plan has become final, (2) whether deposits required by the plan have been\ndistributed, (3) whether the property proposed by the plan to be transferred has been transferred,\n(4) whether the debtor or the successor of the debtor under the plan has assumed the business or the\nmanagement of the property dealt with by the plan, (5) whether payments under the plan have\ncommenced, and (6) whether all motions, contested matters, and adversary proceedings have been\nfinally resolved.\nThe court should not keep the case open only because of the possibility that the court\'s\njurisdiction may be invoked in the future. A final decree closing the case after the estate is fully\nadministered does not deprive the court of jurisdiction to enforce or interpret its own orders and\ndoes not prevent the court from reopening the case for cause pursuant to \xc2\xa7350(b) of the Code. For\nexample, on motion of a party in interest, the court may reopen the case to revoke an order of\nconfirmation procured by fraud under \xc2\xa71144 of the Code. If the plan or confirmation order\nprovides that the case shall remain open until a certain date or event because of the likelihood that\nthe court\'s jurisdiction may be required for specific purposes prior thereto, the case should remain\nopen until that date or event.\n\n167\n\n\x0cPART IV\xe2\x80\x94THE DEBTOR: DUTIES AND BENEFITS\nRule 4001. Relief from Automatic Stay; Prohibiting or Conditioning the Use,\nSale, or Lease of Property; Use of Cash Collateral; Obtaining Credit;\nAgreements\n(a) Relief From Stay; Prohibiting or Conditioning the Use, Sale, or Lease of Property.\n(1) Motion. A motion for relief from an automatic stay provided by the Code or a motion to\nprohibit or condition the use, sale, or lease of property pursuant to \xc2\xa7363(e) shall be made in\naccordance with Rule 9014 and shall be served on any committee elected pursuant to \xc2\xa7705 or\nappointed pursuant to \xc2\xa71102 of the Code or its authorized agent, or, if the case is a chapter 9\nmunicipality case or a chapter 11 reorganization case and no committee of unsecured creditors has\nbeen appointed pursuant to \xc2\xa71102, on the creditors included on the list filed pursuant to Rule\n1007(d), and on such other entities as the court may direct.\n(2) Ex Parte Relief. Relief from a stay under \xc2\xa7362(a) or a request to prohibit or condition\nthe use, sale, or lease of property pursuant to \xc2\xa7363(e) may be granted without prior notice only if\n(A) it clearly appears from specific facts shown by affidavit or by a verified motion that immediate\nand irreparable injury, loss, or damage will result to the movant before the adverse party or the\nattorney for the adverse party can be heard in opposition, and (B) the movant\'s attorney certifies to\nthe court in writing the efforts, if any, which have been made to give notice and the reasons why\nnotice should not be required. The party obtaining relief under this subdivision and \xc2\xa7362(f) or\n\xc2\xa7363(e) shall immediately give oral notice thereof to the trustee or debtor in possession and to the\ndebtor and forthwith mail or otherwise transmit to such adverse party or parties a copy of the order\ngranting relief. On two days notice to the party who obtained relief from the stay without notice or\non shorter notice to that party as the court may prescribe, the adverse party may appear and move\nreinstatement of the stay or reconsideration of the order prohibiting or conditioning the use, sale, or\nlease of property. In that event, the court shall proceed expeditiously to hear and determine the\nmotion.\n(3) Stay of Order. An order granting a motion for relief from an automatic stay made in\naccordance with Rule 4001(a)(1) is stayed until the expiration of 14 days after the entry of the\norder, unless the court orders otherwise.\n(b) Use of Cash Collateral.\n(1) Motion; Service.\n(A) Motion. A motion for authority to use cash collateral shall be made in accordance with\nRule 9014 and shall be accompanied by a proposed form of order.\n(B) Contents. The motion shall consist of or (if the motion is more than five pages in\nlength) begin with a concise statement of the relief requested, not to exceed five pages, that lists or\nsummarizes, and sets out the location within the relevant documents of, all material provisions,\nincluding:\n(i) the name of each entity with an interest in the cash collateral;\n(ii) the purposes for the use of the cash collateral;\n(iii) the material terms, including duration, of the use of the cash collateral; and\n168\n\n\x0c(iv) any liens, cash payments, or other adequate protection that will be provided to each\nentity with an interest in the cash collateral or, if no additional adequate protection is proposed, an\nexplanation of why each entity\'s interest is adequately protected.\n(C) Service. The motion shall be served on: (1) any entity with an interest in the cash\ncollateral; (2) any committee elected under \xc2\xa7705 or appointed under \xc2\xa71102 of the Code, or its\nauthorized agent, or, if the case is a chapter 9 municipality case or a chapter 11 reorganization case\nand no committee of unsecured creditors has been appointed under \xc2\xa71102, the creditors included\non the list filed under Rule 1007(d); and (3) any other entity that the court directs.\n(2) Hearing. The court may commence a final hearing on a motion for authorization to use\ncash collateral no earlier than 14 days after service of the motion. If the motion so requests, the\ncourt may conduct a preliminary hearing before such 14-day period expires, but the court may\nauthorize the use of only that amount of cash collateral as is necessary to avoid immediate and\nirreparable harm to the estate pending a final hearing.\n(3) Notice. Notice of hearing pursuant to this subdivision shall be given to the parties on\nwhom service of the motion is required by paragraph (1) of this subdivision and to such other\nentities as the court may direct.\n(c) Obtaining Credit.\n(1) Motion; Service.\n(A) Motion. A motion for authority to obtain credit shall be made in accordance with Rule\n9014 and shall be accompanied by a copy of the credit agreement and a proposed form of order.\n(B) Contents. The motion shall consist of or (if the motion is more than five pages in\nlength) begin with a concise statement of the relief requested, not to exceed five pages, that lists or\nsummarizes, and sets out the location within the relevant documents of, all material provisions of\nthe proposed credit agreement and form of order, including interest rate, maturity, events of\ndefault, liens, borrowing limits, and borrowing conditions. If the proposed credit agreement or\nform of order includes any of the provisions listed below, the concise statement shall also: briefly\nlist or summarize each one; identify its specific location in the proposed agreement and form of\norder; and identify any such provision that is proposed to remain in effect if interim approval is\ngranted, but final relief is denied, as provided under Rule 4001(c)(2). In addition, the motion shall\ndescribe the nature and extent of each provision listed below:\n(i) a grant of priority or a lien on property of the estate under \xc2\xa7364(c) or (d);\n(ii) the providing of adequate protection or priority for a claim that arose before the\ncommencement of the case, including the granting of a lien on property of the estate to secure the\nclaim, or the use of property of the estate or credit obtained under \xc2\xa7364 to make cash payments on\naccount of the claim;\n(iii) a determination of the validity, enforceability, priority, or amount of a claim that arose\nbefore the commencement of the case, or of any lien securing the claim;\n(iv) a waiver or modification of Code provisions or applicable rules relating to the\nautomatic stay;\n(v) a waiver or modification of any entity\'s authority or right to file a plan, seek an\nextension of time in which the debtor has the exclusive right to file a plan, request the use of cash\ncollateral under \xc2\xa7363(c), or request authority to obtain credit under \xc2\xa7364;\n(vi) the establishment of deadlines for filing a plan of reorganization, for approval of a\n169\n\n\x0cdisclosure statement, for a hearing on confirmation, or for entry of a confirmation order;\n(vii) a waiver or modification of the applicability of nonbankruptcy law relating to the\nperfection of a lien on property of the estate, or on the foreclosure or other enforcement of the lien;\n(viii) a release, waiver, or limitation on any claim or other cause of action belonging to the\nestate or the trustee, including any modification of the statute of limitations or other deadline to\ncommence an action;\n(ix) the indemnification of any entity;\n(x) a release, waiver, or limitation of any right under \xc2\xa7506(c); or\n(xi) the granting of a lien on any claim or cause of action arising under \xc2\xa7\xc2\xa7544,1 545, 547,\n548, 549, 553(b), 723(a), or 724(a).\n(C) Service. The motion shall be served on: (1) any committee elected under \xc2\xa7705 or\nappointed under \xc2\xa71102 of the Code, or its authorized agent, or, if the case is a chapter 9\nmunicipality case or a chapter 11 reorganization case and no committee of unsecured creditors has\nbeen appointed under \xc2\xa71102, on the creditors included on the list filed under Rule 1007(d); and (2)\non any other entity that the court directs.\n(2) Hearing. The court may commence a final hearing on a motion for authority to obtain\ncredit no earlier than 14 days after service of the motion. If the motion so requests, the court may\nconduct a hearing before such 14-day period expires, but the court may authorize the obtaining of\ncredit only to the extent necessary to avoid immediate and irreparable harm to the estate pending a\nfinal hearing.\n(3) Notice. Notice of hearing pursuant to this subdivision shall be given to the parties on\nwhom service of the motion is required by paragraph (1) of this subdivision and to such other\nentities as the court may direct.\n(d) Agreement Relating to Relief From the Automatic Stay, Prohibiting or Conditioning\nthe Use, Sale, or Lease of Property, Providing Adequate Protection, Use of Cash Collateral, and\nObtaining Credit.\n(1) Motion; Service.\n(A) Motion. A motion for approval of any of the following shall be accompanied by a copy\nof the agreement and a proposed form of order:\n(i) an agreement to provide adequate protection;\n(ii) an agreement to prohibit or condition the use, sale, or lease of property;\n(iii) an agreement to modify or terminate the stay provided for in \xc2\xa7362;\n(iv) an agreement to use cash collateral; or\n(v) an agreement between the debtor and an entity that has a lien or interest in property of\nthe estate pursuant to which the entity consents to the creation of a lien senior or equal to the\nentity\'s lien or interest in such property.\n(B) Contents. The motion shall consist of or (if the motion is more than five pages in\nlength) begin with a concise statement of the relief requested, not to exceed five pages, that lists or\nsummarizes, and sets out the location within the relevant documents of, all material provisions of\nthe agreement. In addition, the concise statement shall briefly list or summarize, and identify the\nspecific location of, each provision in the proposed form of order, agreement, or other document of\nthe type listed in subdivision (c)(1)(B). The motion shall also describe the nature and extent of\n170\n\n\x0ceach such provision.\n(C) Service. The motion shall be served on: (1) any committee elected under \xc2\xa7705 or\nappointed under \xc2\xa71102 of the Code, or its authorized agent, or, if the case is a chapter 9\nmunicipality case or a chapter 11 reorganization case and no committee of unsecured creditors has\nbeen appointed under \xc2\xa71102, on the creditors included on the list filed under Rule 1007(d); and (2)\non any other entity the court directs.\n(2) Objection. Notice of the motion and the time within which objections may be filed and\nserved on the debtor in possession or trustee shall be mailed to the parties on whom service is\nrequired by paragraph (1) of this subdivision and to such other entities as the court may direct.\nUnless the court fixes a different time, objections may be filed within 14 days of the mailing of the\nnotice.\n(3) Disposition; Hearing. If no objection is filed, the court may enter an order approving or\ndisapproving the agreement without conducting a hearing. If an objection is filed or if the court\ndetermines a hearing is appropriate, the court shall hold a hearing on no less than seven days\'\nnotice to the objector, the movant, the parties on whom service is required by paragraph (1) of this\nsubdivision and such other entities as the court may direct.\n(4) Agreement in Settlement of Motion. The court may direct that the procedures prescribed\nin paragraphs (1), (2), and (3) of this subdivision shall not apply and the agreement may be\napproved without further notice if the court determines that a motion made pursuant to\nsubdivisions (a), (b), or (c) of this rule was sufficient to afford reasonable notice of the material\nprovisions of the agreement and opportunity for a hearing.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26,\n1999, eff. Dec. 1, 1999; Apr. 30, 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28,\n2010, eff. Dec. 1, 2010.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule implements \xc2\xa7362 of the Code which set forth provisions regarding the automatic\nstay that arises on the filing of a petition. That section and this rule are applicable in chapters 7, 9,\n11 and 13 cases. It also implements \xc2\xa7363(c)(2) concerning use of cash collateral.\nSubdivision (a) transforms with respect to the automatic stay what was an adversary\nproceeding under the former rules to motion practice. The Code provides automatic stays in\nseveral sections, e.g., \xc2\xa7\xc2\xa7362(a), 1301(a), and in \xc2\xa7362(d) provides some grounds for relief from the\nstay. This rule specifies that the pleading seeking relief is by means of a motion. Thus the time\nperiod in Rule 7012 to answer a complaint would not be applicable and shorter periods may be\nfixed. Section 362(e) requires the preliminary hearing to be concluded within 30 days of it\ninception, rendering ordinary complaint and answer practice inappropriate.\nThis subdivision also makes clear that a motion under Rule 9014 is the proper procedure\nfor a debtor to seek court permission to use cash collateral. See \xc2\xa7363(c)(2). Pursuant to Rule 5005,\nthe motion should be filed in the court in which the case in pending. The court or local rule may\nspecify the persons to be served with the motion for relief from the stay; see Rule 9013.\nSubdivision (b) of the rule fills a procedural void left by \xc2\xa7362. Pursuant to \xc2\xa7362(e), the\nautomatic stay is terminated 30 days after a motion for relief is made unless the court continues the\nstay as a result of a final hearing or, pending final hearing, after a preliminary hearing. If a\npreliminary hearing is held, \xc2\xa7362(e) requires the final hearing to be commenced within 30 days\nafter the preliminary hearing. Although the expressed legislative intent is to require expeditious\n171\n\n\x0cresolution of a secured party\'s motion for relief, \xc2\xa7362 is silent as to the time within which the final\nhearing must be concluded. Subdivision (b) imposes a 30 day deadline on the court to resolve the\ndispute.\nAt the final hearing, the stay is to be terminated, modified, annulled, or conditioned for\ncause, which includes, inter alia, lack of adequate protection; \xc2\xa7362(d). The burden of proving\nadequate protection is on the party opposing relief from the stay; \xc2\xa7362(g)(2). Adequate protection\nis exemplified in \xc2\xa7361.\nSubdivision (c) implements \xc2\xa7362(f) which permits ex parte relief from the stay when there\nwill be irreparable damage. This subdivision sets forth the procedure to be followed when relief is\nsought under \xc2\xa7362(f). It is derived from former Bankruptcy Rule 601(d).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe scope of this rule is expanded and the former subdivisions (a), (b) and (c) are now\ncombined in subdivision (a). The new subdivision (a)(2) is amended to conform to the 1984\namendments to \xc2\xa7362(e) of the Code.\nSubdivision (b) deals explicitly with the procedures which follow after a motion to use cash\ncollateral is made and served. Filing shall be pursuant to Rule 5005. Service of the motion may be\nmade by any method authorized by Rule 7004 and, if service is by mail, service is complete on\nmailing. Rule 9006(e). Under subdivision (b)(2), the court may commence a final hearing on the\nmotion within 15 days of service. Rule 9006(f) does not extend this 15 day period when service of\nthe motion is by mail because the party served is not required to act within the 15 day period. In\naddition to service of the motion, notice of the hearing must be given. Rule 9007 authorizes the\ncourt to direct the form and manner of giving notice that is appropriate to the circumstances.\nSection 363(c)(3) authorizes the court to conduct a preliminary hearing and to authorize the\nuse of cash collateral "if there is a reasonable likelihood that the trustee will prevail at a final\nhearing." Subdivision (b)(2) of the rule permits a preliminary hearing to be held earlier than 15\ndays after service. Any order authorizing the use of cash collateral shall be limited to the amount\nnecessary to protect the estate until a final hearing is held.\nThe objective of subdivision (b) is to accommodate both the immediate need of the debtor\nand the interest of the secured creditor in the cash collateral. The time for holding the final hearing\nmay be enlarged beyond the 15 days prescribed when required by the circumstances.\nThe motion for authority to use cash collateral shall include (1) the amount of cash\ncollateral sought to be used; (2) the name and address of each entity having an interest in the cash\ncollateral; (3) the name and address of the entity in control or having possession of the cash\ncollateral; (4) the facts demonstrating the need to use the cash collateral; and (5) the nature of the\nprotection to be provided those having an interest in the cash collateral. If a preliminary hearing is\nrequested, the motion shall also include the amount of cash collateral sought to be used pending\nfinal hearing and the protection to be provided.\nNotice of the preliminary and final hearings may be combined. This rule does not limit the\nauthority of the court under \xc2\xa7363(c)(2)(B) and \xc2\xa7102(1).\nSubdivision (c) is new. The service, hearing, and notice requirements are similar to those\nimposed by subdivision (b). The motion to obtain credit shall include the amount and type of the\ncredit to be extended, the name and address of the lender, the terms of the agreement, the need to\nobtain the credit, and the efforts made to obtain credit from other sources. If the motion is to obtain\ncredit pursuant to \xc2\xa7364(c) or (d), the motion shall describe the collateral, if any, and the protection\nfor any existing interest in the collateral which may be affected by the proposed agreement.\n172\n\n\x0cSubdivision (d) is new. In the event the 15 day period for filing objections to the approval\nof an agreement of the parties described in this subdivision is too long, the parties either may move\nfor a reduction of the period under Rule 9006(c)(1) or proceed under subdivision (b) or (c), if\napplicable. Rule 9006(c)(1) requires that cause be shown for the reduction of the period in which to\nobject. In applying this criterion the court may consider the option of proceeding under subdivision\n(b) or (c) and grant a preliminary hearing and relief pending final hearing.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is expanded to include a request to prohibit or condition the use, sale, or\nlease of property as is necessary to provide adequate protection of a property interest pursuant to\n\xc2\xa7363(e) of the Code.\nNotice of the motion for relief from the automatic stay or to prohibit or condition the use,\nsale, or lease of property must be served on the entities entitled to receive notice of a motion to\napprove an agreement pursuant to subdivision (d). If the movant and the adverse party agree to\nsettle the motion and the terms of the agreement do not materially differ from the terms set forth in\nthe movant\'s motion papers, the court may approve the agreement without further notice pursuant\nto subdivision (d)(4).\nSubdivision (a)(2) is deleted as unnecessary because of \xc2\xa7362(e) of the Code.\nSubdivisions (b)(1), (c)(1), and (d)(1) are amended to require service on committees that\nare elected in chapter 7 cases. Service on committees of retired employees appointed under \xc2\xa71114\nof the Code is not required. These subdivisions are amended further to clarify that, in the absence\nof a creditors\' committee, service on the creditors included on the list filed pursuant to Rule\n1007(d) is required only in chapter 9 and chapter 11 cases. The other amendments to subdivision\n(d)(1) are for consistency of style and are not substantive.\nSubdivision (d)(4) is added to avoid the necessity of further notice and delay for the\napproval of an agreement in settlement of a motion for relief from an automatic stay, to prohibit or\ncondition the use, sale, or lease of property, for use of cash collateral, or for authority to obtain\ncredit if the entities entitled to notice have already received sufficient notice of the scope of the\nproposed agreement in the motion papers and have had an opportunity to be heard. For example, if\na trustee makes a motion to use cash collateral and proposes in the original motion papers to\nprovide adequate protection of the interest of the secured party by granting a lien on certain\nequipment, and the secured creditor subsequently agrees to terms that are within the scope of those\nproposed in the motion, the court may enter an order approving the agreement without further\nnotice if the entities that received the original motion papers have had a reasonable opportunity to\nobject to the granting of the motion to use cash collateral.\nIf the motion papers served under subdivision (a), (b), or (c) do not afford notice sufficient\nto inform the recipients of the material provisions of the proposed agreement and opportunity for a\nhearing, approval of the settlement agreement may not be obtained unless the procedural\nrequirements of subdivision (d)(1), (d)(2), and (d)(3) are satisfied. If the 15 day period for filing\nobjections to the approval of the settlement agreement is too long under the particular\ncircumstances of the case, the court may shorten the time for cause under Rule 9006(c)(1).\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nParagraph (a)(3) is added to provide sufficient time for a party to request a stay pending\nappeal of an order granting relief from an automatic stay before the order is enforced or\n173\n\n\x0cimplemented. The stay under paragraph (a)(3) is not applicable to orders granted ex parte in\naccordance with Rule 4001(a)(2).\nThe stay of the order does not affect the time for filing a notice of appeal in accordance\nwith Rule 8002. While the enforcement and implementation of an order granting relief from the\nautomatic stay is temporarily stayed under paragraph (a)(3), the automatic stay continues to\nprotect the debtor, and the moving party may not foreclose on collateral or take any other steps that\nwould violate the automatic stay.\nThe court may, in its discretion, order that Rule 4001(a)(3) is not applicable so that the\nprevailing party may immediately enforce and implement the order granting relief from the\nautomatic stay. Alternatively, the court may order that the stay under Rule 4001(a)(3) is for a fixed\nperiod less than 10 days.\nGAP Report on Rule 4001. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942007 Amendment\nThe rule is amended to require that parties seeking authority to use cash collateral, to obtain\ncredit, and to obtain approval of agreements to provide adequate protection, modify or terminate\nthe stay, or to grant a senior or equal lien on property, submit with those requests a proposed order\ngranting the relief, and that they provide more extensive notice to interested parties of a number of\nspecified terms. The motion must either not exceed five pages in length, or, if it is longer, begin\nwith a concise statement of five pages or less, that summarizes or lists the material provisions and\nwhich will assist the court and interested parties in understanding the nature of the relief requested.\nThe concise statement must also set out the location within the documents of the summarized or\nlisted provisions. The parties to agreements and lending offers frequently have concise summaries\nof their transactions that contain a list of the material provisions of the agreements, even if the\nagreements themselves are very lengthy. A similar summary should allow the court and interested\nparties to understand the relief requested.\nIn addition to the concise statement, the rule requires that motions under subdivisions (c)\nand (d) state whether the movant is seeking approval of any of the provisions listed in subdivision\n(c)(1)(B), and where those provisions are located in the documents. The rule is intended to enhance\nthe ability of the court and interested parties to find and evaluate those provisions.\nThe rule also provides that any motion for authority to obtain credit must identify any\nprovision listed in subdivision (c)(1)(B)(i)\xe2\x80\x93(xi) that is proposed to remain effective if the court\ngrants the motion on an interim basis under Rule 4001(c)(2), but later denies final relief.\nOther amendments are stylistic.\nChanges Made After Publication.\n1. The introductory language in subdivisions (b)(1)(B), (c)(1)(B), and (d)(1)(B) was\nrevised to clarify that the motions filed under the rule can be either no more than five pages long or\nbegin with a concise statement of that length. This permits the continued use of forms that have\nbeen effective in smaller cases. Subdivision (c)(1)(B) also is amended to require that the motion\nidentify any provisionally approved term that would remain in effect even if the court denies the\npermanent relief requested.\n2. A new subparagraph (c)(1)(B)(vi) was inserted into the rule and the remaining\nsubparagraphs were renumbered accordingly. The new subparagraph requires that the motion\nidentify any provisions setting deadlines for filing and confirming reorganization plans and\ndisclosure statements.\n3. Subdivisions (c)(1)(C) and (d)(1)(C) of the proposed rule were deleted as unnecessary.\n174\n\n\x0cThe court has whatever authority Rule 9024 provides, and making an explicit reference to that rule\nin these subdivisions brings unnecessary attention to Rule 9024 and could create a different\nstandard of review under that rule than would apply in other instances. The Advisory Committee\ndid not intend either consequence, so the subdivisions were deleted.\n4. Subdivision (d)(1)(A) was restyled to form a vertical list of the motions subject to that\nprovision.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nSubdivision (d). Subdivision (d) is amended to implement changes in connection with the\n2009 amendment to Rule 9006(a) and the manner by which time is computed under the rules. The\ndeadlines in subdivision (d)(2) and (d)(3) are amended to substitute deadlines that are multiples of\nseven days. Throughout the rules, deadlines have been amended in the following manner:\n\xe2\x80\xa2 5 day periods become 7 day periods\n\xe2\x80\xa2 10 day periods become 14 day periods\n\xe2\x80\xa2 15 day periods become 14 day periods\n\xe2\x80\xa2 20 day periods become 21 day periods\n\xe2\x80\xa2 25 day periods become 28 day periods\nFinal approval of the amendments to this rule is sought without publication.\n1\nSo in original. Probably should be only one section symbol.\n\nRule 4002. Duties of Debtor\n(a) In General. In addition to performing other duties prescribed by the Code and rules, the\ndebtor shall:\n(1) attend and submit to an examination at the times ordered by the court;\n(2) attend the hearing on a complaint objecting to discharge and testify, if called as a\nwitness;\n(3) inform the trustee immediately in writing as to the location of real property in which the\ndebtor has an interest and the name and address of every person holding money or property subject\nto the debtor\'s withdrawal or order if a schedule of property has not yet been filed pursuant to Rule\n1007;\n(4) cooperate with the trustee in the preparation of an inventory, the examination of proofs\n175\n\n\x0cof claim, and the administration of the estate; and\n(5) file a statement of any change of the debtor\'s address.\n(b) Individual Debtor\'s Duty To Provide Documentation.\n(1) Personal Identification. Every individual debtor shall bring to the meeting of creditors\nunder \xc2\xa7341:\n(A) a picture identification issued by a governmental unit, or other personal identifying\ninformation that establishes the debtor\'s identity; and\n(B) evidence of social-security number(s), or a written statement that such documentation\ndoes not exist.\n(2) Financial Information. Every individual debtor shall bring to the meeting of creditors\nunder \xc2\xa7341, and make available to the trustee, the following documents or copies of them, or\nprovide a written statement that the documentation does not exist or is not in the debtor\'s\npossession:\n(A) evidence of current income such as the most recent payment advice;\n(B) unless the trustee or the United States trustee instructs otherwise, statements for each of\nthe debtor\'s depository and investment accounts, including checking, savings, and money market\naccounts, mutual funds and brokerage accounts for the time period that includes the date of the\nfiling of the petition; and\n(C) documentation of monthly expenses claimed by the debtor if required by\n\xc2\xa7707(b)(2)(A) or (B).\n(3) Tax Return. At least 7 days before the first date set for the meeting of creditors under\n\xc2\xa7341, the debtor shall provide to the trustee a copy of the debtor\'s federal income tax return for the\nmost recent tax year ending immediately before the commencement of the case and for which a\nreturn was filed, including any attachments, or a transcript of the tax return, or provide a written\nstatement that the documentation does not exist.\n(4) Tax Returns Provided to Creditors. If a creditor, at least 14 days before the first date set\nfor the meeting of creditors under \xc2\xa7341, requests a copy of the debtor\'s tax return that is to be\nprovided to the trustee under subdivision (b)(3), the debtor, at least 7 days before the first date set\nfor the meeting of creditors under \xc2\xa7341, shall provide to the requesting creditor a copy of the\nreturn, including any attachments, or a transcript of the tax return, or provide a written statement\nthat the documentation does not exist.\n(5) Confidentiality of Tax Information. The debtor\'s obligation to provide tax returns under\nRule 4002(b)(3) and (b)(4) is subject to procedures for safeguarding the confidentiality of tax\ninformation established by the Director of the Administrative Office of the United States Courts.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 1 2008; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule should be read together with \xc2\xa7\xc2\xa7343 and 521 of the Code and Rule 1007, all of\nwhich impose duties on the debtor. Clause (3) of this rule implements the provisions of Rule\n2015(a).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\n176\n\n\x0cNew clause (5) of the rule imposes on the debtor the duty to advise the clerk of any change\nof the debtor\'s address.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThis rule is amended to implement \xc2\xa7521(a)(1)(B)(iv) and (e)(2), added to the Code by the\n2005 amendments. These Code amendments expressly require the debtor to file with the court, or\nprovide to the trustee, specific documents. The amendments to the rule implement these\nobligations and establish a time frame for creditors to make requests for a copy of the debtor\'s\nFederal income tax return. The rule also requires the debtor to provide documentation in support of\nclaimed expenses under \xc2\xa7707(b)(2)(A) and (B).\nSubdivision (b) of the rule is also amended to require the debtor to cooperate with the\ntrustee by providing materials and documents necessary to assist the trustee in the performance of\nthe trustee\'s duties. Nothing in the rule, however, is intended to limit or restrict the debtor\'s duties\nunder \xc2\xa7521, or to limit the access of the Attorney General to any information provided by the\ndebtor in the case. Subdivision (b)(2) does not require that the debtor create documents or obtain\ndocuments from third parties; rather, the debtor\'s obligation is to bring to the meeting of creditors\nunder \xc2\xa7341 the documents which the debtor possesses. Under subdivision (b)(2)(B), the trustee or\nthe United States trustee can instruct debtors that they need not provide the documents described in\nthat subdivision. Under subdivisions (b)(3) and (b)(4), the debtor must obtain and provide copies\nof tax returns or tax transcripts to the appropriate person, unless no such documents exist. Any\nwritten statement that the debtor provides indicating either that documents do not exist or are not in\nthe debtor\'s possession must be verified or contain an unsworn declaration as required under Rule\n1008.\nBecause the amendment implements the debtor\'s duty to cooperate with the trustee, the\nmaterials provided to the trustee would not be made available to any other party in interest at the\n\xc2\xa7341 meeting of creditors other than the Attorney General. Some of the documents may contain\notherwise private information that should not be disseminated. For example, pay stubs and\nfinancial account statements might include the social-security numbers of the debtor and the\ndebtor\'s spouse and dependents, as well as the names of the debtor\'s children. The debtor should\nredact all but the last four digits of all social-security numbers and the names of any minors when\nthey appear in these documents. This type of information would not usually be needed by creditors\nand others who may be attending the meeting. If a creditor perceives a need to review specific\ndocuments or other evidence, the creditor may proceed under Rule 2004.\nTax information produced under this rule is subject to procedures for safeguarding\nconfidentiality established by the Director of the Administrative Office of the United States\nCourts.\nChanges Made After Publication. The second paragraph of the Committee Note was\namended to clarify that the debtor\'s duty to provide copies of tax returns or tax transcripts are\ngoverned by a different standard than the debtor\'s duty to provide other financial information.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\n177\n\n\x0care amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 4003. Exemptions\n(a) Claim of Exemptions. A debtor shall list the property claimed as exempt under \xc2\xa7522 of\nthe Code on the schedule of assets required to be filed by Rule 1007. If the debtor fails to claim\nexemptions or file the schedule within the time specified in Rule 1007, a dependent of the debtor\nmay file the list within 30 days thereafter.\n(b) Objecting to a Claim of Exemptions.\n(1) Except as provided in paragraphs (2) and (3), a party in interest may file an objection to\nthe list of property claimed as exempt within 30 days after the meeting of creditors held under\n\xc2\xa7341(a) is concluded or within 30 days after any amendment to the list or supplemental schedules\nis filed, whichever is later. The court may, for cause, extend the time for filing objections if, before\nthe time to object expires, a party in interest files a request for an extension.\n(2) The trustee may file an objection to a claim of exemption at any time prior to one year\nafter the closing of the case if the debtor fraudulently asserted the claim of exemption. The trustee\nshall deliver or mail the objection to the debtor and the debtor\'s attorney, and to any person filing\nthe list of exempt property and that person\'s attorney.\n(3) An objection to a claim of exemption based on \xc2\xa7522(q) shall be filed before the closing\nof the case. If an exemption is first claimed after a case is reopened, an objection shall be filed\nbefore the reopened case is closed.\n(4) A copy of any objection shall be delivered or mailed to the trustee, the debtor and the\ndebtor\'s attorney, and the person filing the list and that person\'s attorney.\n(c) Burden of Proof. In any hearing under this rule, the objecting party has the burden of\nproving that the exemptions are not properly claimed. After hearing on notice, the court shall\ndetermine the issues presented by the objections.\n(d) Avoidance by Debtor of Transfers of Exempt Property. A proceeding by the debtor to\navoid a lien or other transfer of property exempt under \xc2\xa7522(f) of the Code shall be by motion in\naccordance with Rule 9014. Notwithstanding the provisions of subdivision (b), a creditor may\nobject to a motion filed under \xc2\xa7522(f) by challenging the validity of the exemption asserted to be\nimpaired by the lien.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 17,\n2000, eff. Dec. 1, 2000; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from \xc2\xa7522(1) of the Code and, in part, former Bankruptcy Rule 403.\nThe Code changes the thrust of that rule by making it the burden of the debtor to list his\nexemptions and the burden of parties in interest to raise objections in the absence of which "the\nproperty claimed as exempt on such list is exempt;" \xc2\xa7522(1).\n178\n\n\x0cSubdivision (a). While \xc2\xa7522(1) refers to a list of property claimed as exempt, the rule\nincorporates such a list as part of Official Form No. 6, the schedule of the debtor\'s assets, rather\nthan requiring a separate list and filing. Rule 1007, to which subdivision (a) refers, requires that\nschedule to be filed within 15 days after the order for relief, unless the court extends the time.\nSection 522(1) also provides that a dependent of the debtor may file the list if the debtor\nfails to do so. Subdivision (a) of the rule allows such filing from the expiration of the debtor\'s time\nuntil 30 days thereafter. Dependent is defined in \xc2\xa7522(a)(1).\nSubdivision (d) provides that a proceeding by the debtor, permitted by \xc2\xa7522(f) of the Code,\nis a contested matter rather than the more formal adversary proceeding. Proceedings within the\nscope of this subdivision are distinguished from proceedings brought by the trustee to avoid\ntransfers. The latter are classified as adversary proceedings by Rule 7001.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (b) is amended to facilitate the filing of objections to exemptions claimed on a\nsupplemental schedule filed under Rule 1007(h).\nCommittee Notes on Rules\xe2\x80\x942000 Amendment\nThis rule is amended to permit the court to grant a timely request for an extension of time to\nfile objections to the list of claimed exemptions, whether the court rules on the request before or\nafter the expiration of the 30-day period. The purpose of this amendment is to avoid the harshness\nof the present rule which has been construed to deprive a bankruptcy court of jurisdiction to grant\na timely request for an extension if it has failed to rule on the request within the 30-day period. See\nIn re Laurain, 113 F.3d 595 (6th Cir. 1997), Matter of Stoulig, 45 F.3d 957 (5th Cir. 1995), In re\nBrayshaw, 912 F.2d 1255 (10th Cir. 1990). The amendments clarify that the extension may be\ngranted only for cause. The amendments also conform the rule to \xc2\xa7522(l) of the Code by\nrecognizing that any party in interest may file an objection or request for an extension of time\nunder this rule. Other amendments are stylistic.\nGAP Report on Rule 4003(b). The words "trustee or creditor" were replaced by "party in\ninterest" to conform to \xc2\xa7522(l) of the Bankruptcy Code which permits any party in interest to\nobject to claimed exemptions. Style revisions also were made to the published draft.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (b) is rewritten to include four paragraphs.\nSubdivision (b)(2) is added to the rule to permit the trustee to object to an exemption at any\ntime up to one year after the closing of the case if the debtor fraudulently claimed the exemption.\nExtending the deadline for trustees to object to an exemption when the exemption claim has been\nfraudulently made will permit the court to review and, in proper circumstances, deny improperly\nclaimed exemptions, thereby protecting the legitimate interests of creditors and the bankruptcy\nestate. However, similar to the deadline set in \xc2\xa7727(e) of the Code for revoking a discharge which\nwas fraudulently obtained, an objection to an exemption that was fraudulently claimed must be\nfiled within one year after the closing of the case. Subdivision (b)(2) extends the objection\ndeadline only for trustees.\nSubdivision (b)(3) is added to the rule to reflect the addition of subsection (q) to \xc2\xa7522 of\nthe Code by the 2005 Act. Section 522(q) imposes a $136,875 limit on a state homestead\n179\n\n\x0cexemption if the debtor has been convicted of a felony or owes a debt arising from certain causes\nof action. Other revised provisions of the Code, such as \xc2\xa7727(a)(12) and \xc2\xa71328(h), suggest that the\ncourt may consider issues relating to \xc2\xa7522(q) late in the case, and the 30-day period for objections\nwould not be appropriate for this provision.\nSubdivision (d) is amended to clarify that a creditor with a lien on property that the debtor\nis attempting to avoid on the grounds that the lien impairs an exemption may raise in defense to the\nlien avoidance action any objection to the debtor\'s claimed exemption. The right to object is\nlimited to an objection to the exemption of the property subject to the lien and for purposes of the\nlien avoidance action only. The creditor may not object to other exemption claims made by the\ndebtor. Those objections, if any, are governed by Rule 4003(b).\nOther changes are stylistic.\nChanges Made After Publication. The deadline for filing objections to exemptions under\nsubdivision (b)(1) was returned to 30 days after the conclusion of the \xc2\xa7341 meeting of creditors\nrather than the 60 day period proposed in the published rule. The second paragraph of the\nCommittee Note which discussed this change was therefore deleted. Subdivisions (b)(2) and (b)(3)\nwere amended to add the debtor and the debtor\'s attorney to the list of persons to whom objections\nto exemptions must be delivered.\n\nRule 4004. Grant or Denial of Discharge\n(a) Time for Objecting to Discharge; Notice of Time Fixed. In a chapter 7 case, a\ncomplaint, or a motion under \xc2\xa7727(a)(8) or (a)(9) of the Code, objecting to the debtor\'s discharge\nshall be filed no later than 60 days after the first date set for the meeting of creditors under \xc2\xa7341(a).\nIn a chapter 11 case, the complaint shall be filed no later than the first date set for the hearing on\nconfirmation. In a chapter 13 case, a motion objecting to the debtor\'s discharge under \xc2\xa71328(f)\nshall be filed no later than 60 days after the first date set for the meeting of creditors under \xc2\xa7341(a).\nAt least 28 days\' notice of the time so fixed shall be given to the United States trustee and all\ncreditors as provided in Rule 2002(f) and (k) and to the trustee and the trustee\'s attorney.\n(b) Extension of Time.\n(1) On motion of any party in interest, after notice and hearing, the court may for cause\nextend the time to object to discharge. Except as provided in subdivision (b)(2), the motion shall be\nfiled before the time has expired.\n(2) A motion to extend the time to object to discharge may be filed after the time for\nobjection has expired and before discharge is granted if (A) the objection is based on facts that, if\nlearned after the discharge, would provide a basis for revocation under \xc2\xa7727(d) of the Code, and\n(B) the movant did not have knowledge of those facts in time to permit an objection. The motion\nshall be filed promptly after the movant discovers the facts on which the objection is based.\n(c) Grant of Discharge.\n(1) In a chapter 7 case, on expiration of the times fixed for objecting to discharge and for\nfiling a motion to dismiss the case under Rule 1017(e), the court shall forthwith grant the\ndischarge, except that the court shall not grant the discharge if:\n(A) the debtor is not an individual;\n(B) a complaint, or a motion under \xc2\xa7727(a)(8) or (a)(9), objecting to the discharge has been\nfiled and not decided in the debtor\'s favor;\n(C) the debtor has filed a waiver under \xc2\xa7727(a)(10);\n180\n\n\x0c(D) a motion to dismiss the case under \xc2\xa7707 is pending;\n(E) a motion to extend the time for filing a complaint objecting to the discharge is pending;\n(F) a motion to extend the time for filing a motion to dismiss the case under Rule\n1017(e)(1) is pending;\n(G) the debtor has not paid in full the filing fee prescribed by 28 U.S.C. \xc2\xa71930(a) and any\nother fee prescribed by the Judicial Conference of the United States under 28 U.S.C. \xc2\xa71930(b) that\nis payable to the clerk upon the commencement of a case under the Code, unless the court has\nwaived the fees under 28 U.S.C. \xc2\xa71930(f);\n(H) the debtor has not filed with the court a statement of completion of a course concerning\npersonal financial management if required by Rule 1007(b)(7);\n(I) a motion to delay or postpone discharge under \xc2\xa7727(a)(12) is pending;\n(J) a motion to enlarge the time to file a reaffirmation agreement under Rule 4008(a) is\npending;\n(K) a presumption is in effect under \xc2\xa7524(m) that a reaffirmation agreement is an undue\nhardship and the court has not concluded a hearing on the presumption; or\n(L) a motion is pending to delay discharge because the debtor has not filed with the court\nall tax documents required to be filed under \xc2\xa7521(f).\n(2) Notwithstanding Rule 4004(c)(1), on motion of the debtor, the court may defer the\nentry of an order granting a discharge for 30 days and, on motion within that period, the court may\ndefer entry of the order to a date certain.\n(3) If the debtor is required to file a statement under Rule 1007(b)(8), the court shall not\ngrant a discharge earlier than 30 days after the statement is filed.\n(4) In a chapter 11 case in which the debtor is an individual, or a chapter 13 case, the court\nshall not grant a discharge if the debtor has not filed any statement required by Rule 1007(b)(7).\n(d) Applicability of Rules in Part VII and Rule 9014. An objection to discharge is governed\nby Part VII of these rules, except that an objection to discharge under \xc2\xa7\xc2\xa7727(a)(8),1 (a)(9), or\n1328(f) is commenced by motion and governed by Rule 9014.\n(e) Order of Discharge. An order of discharge shall conform to the appropriate Official\nForm.\n(f) Registration in Other Districts. An order of discharge that has become final may be\nregistered in any other district by filing a certified copy of the order in the office of the clerk of that\ndistrict. When so registered the order of discharge shall have the same effect as an order of the\ncourt of the district where registered.\n(g) Notice of Discharge. The clerk shall promptly mail a copy of the final order of\ndischarge to those specified in subdivision (a) of this rule.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n1996, eff. Dec. 1, 1996; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 29,\n2002, eff. Dec. 1, 2002; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28,\n2010, eff. Dec. 1, 2010; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 16, 2013, eff. Dec. 1, 2013.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Bankruptcy Rule 404.\nSubdivisions (a) and (b) of this rule prescribe the procedure for determining whether a\ndischarge will be granted pursuant to \xc2\xa7727 of the Code. The time fixed by subdivision (a) may be\n181\n\n\x0cenlarged as provided in subdivision (b).\nThe notice referred to in subdivision (a) is required to be given by mail and addressed to\ncreditors as provided in Rule 2002.\nAn extension granted on a motion pursuant to subdivision (b) of the rule would ordinarily\nbenefit only the movant, but its scope and effect would depend on the terms of the extension.\nSubdivision (c). If a complaint objecting to discharge is filed, the court\'s grant or denial of\nthe discharge will be entered at the conclusion of the proceeding as a judgment in accordance with\nRule 9021. The inclusion of the clause in subdivision (c) qualifying the duty of the court to grant a\ndischarge when a waiver has been filed is in accord with the construction of the Code. 4 Collier,\nBankruptcy 727.12 (15th ed. 1979).\nThe last sentence of subdivision (c) takes cognizance of \xc2\xa7524(c) of the Code which\nauthorizes a debtor to enter into enforceable reaffirmation agreements only prior to entry of the\norder of discharge. Immediate entry of that order after expiration of the time fixed for filing\ncomplaints objecting to discharge may render it more difficult for a debtor to settle pending\nlitigation to determine the dischargeability of a debt and execute a reaffirmation agreement as part\nof a settlement.\nSubdivision (d). An objection to discharge is required to be made by a complaint, which\ninitiates an adversary proceeding as provided in Rule 7003. Pursuant to Rule 5005, the complaint\nshould be filed in the court in which the case is pending.\nSubdivision (e). Official Form No. 27 to which subdivision (e) refers, includes notice of the\neffects of a discharge specified in \xc2\xa7524(a) of the Code.\nSubdivision (f). Registration may facilitate the enforcement of the order of discharge in a\ndistrict other than that in which it was entered. See 2 Moore\'s Federal Practice 1.04[2] (2d ed.\n1967). Because of the nationwide service of process authorized by Rule 7004, however,\nregistration of the order of discharge is not necessary under these rules to enable a discharged\ndebtor to obtain relief against a creditor proceeding anywhere in the United States in disregard of\nthe injunctive provisions of the order of discharge.\nSubdivision (g). Notice of discharge should be mailed promptly after the order becomes\nfinal so that creditors may be informed of entry of the order and of its injunctive provisions. Rule\n2002 specifies the manner of the notice and persons to whom the notice is to be given.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to conform to \xc2\xa7727(c) which gives the United States trustee the right\nto object to discharge. This amendment is derived from Rule X\xe2\x80\x931008(a)(1) and is consistent with\nRule 2002. The amendment to subdivision (c) is to prevent a timely motion to dismiss a chapter 7\ncase for substantial abuse from becoming moot merely because a discharge order has been entered.\nReference to the Official Form number in subdivision (e) is deleted in anticipation of future\nrevision and renumbering of the Official Forms.\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nSubsection (c) is amended to delay entry of the order of discharge if a motion pursuant to\nRule 4004(b) to extend the time for filing a complaint objecting to discharge is pending. Also, this\nsubdivision is amended to delay entry of the discharge order if the debtor has not paid in full the\nfiling fee and the administrative fee required to be paid upon the commencement of the case. If the\ndebtor is authorized to pay the fees in installments in accordance with Rule 1006, the discharge\n182\n\n\x0corder will not be entered until the final installment has been paid.\nThe other amendments to this rule are stylistic.\nGAP Report on Rule 4004. No changes have been made since publication, except for\nstylistic changes.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nSubdivision (a) is amended to clarify that, in a chapter 7 case, the deadline for filing a\ncomplaint objecting to discharge under \xc2\xa7727(a) is 60 days after the first date set for the meeting of\ncreditors, whether or not the meeting is held on that date. The time for filing the complaint is not\naffected by any delay in the commencement or conclusion of the meeting of creditors. This\namendment does not affect the right of any party in interest to file a motion for an extension of time\nto file a complaint objecting to discharge in accordance with Rule 4004(b).\nThe substitution of the word "filed" for "made" in subdivision (b) is intended to avoid\nconfusion regarding the time when a motion is "made" for the purpose of applying these rules. See,\ne.g., In re Coggin, 30 F.3d 1443 (11th Cir. 1994). As amended, this rule requires that a motion for\nan extension of time for filing a complaint objecting to discharge be filed before the time has\nexpired.\nOther amendments to this rule are stylistic.\nGAP Report on Rule 4004. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942000 Amendment\nSubdivision (c) is amended so that a discharge will not be granted while a motion\nrequesting an extension of time to file a motion to dismiss the case under \xc2\xa7707(b) is pending. Other\namendments are stylistic.\nGAP Report on Rule 4004(c). No changes since publication except for style revisions.\nCommittee Notes on Rules\xe2\x80\x942002 Amendment\nSubdivision (c)(1)(D) is amended to provide that the filing of a motion to dismiss under\n\xc2\xa7707 of the Bankruptcy Code postpones the entry of the discharge. Under the present version of\nthe rule, only motions to dismiss brought under \xc2\xa7707(b) cause the postponement of the discharge.\nThis amendment would change the result in cases such as In re Tanenbaum, 210 B.R. 182 (Bankr.\nD. Colo. 1997).\nChanges Made After Publication and Comments. No changes were made.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (c)(1)(G) is amended to reflect the fee waiver provision in 28 U.S.C. \xc2\xa71930,\nadded by the 2005 amendments.\nSubdivision (c)(1)(H) is new. It reflects the 2005 addition to the Code of \xc2\xa7\xc2\xa7727(a)(11) and\n1328(g), which require that individual debtors complete a course in personal financial\nmanagement as a condition to the entry of a discharge. Including this requirement in the rule helps\nprevent the inadvertent entry of a discharge when the debtor has not complied with this\nrequirement. If a debtor fails to file the required statement regarding a personal financial\nmanagement course, the clerk will close the bankruptcy case without the entry of a discharge.\n183\n\n\x0cSubdivision (c)(1)(I) is new. It reflects the 2005 addition to the Code of \xc2\xa7727(a)(12). This\nprovision is linked to \xc2\xa7522(q). Section 522(q) limits the availability of the homestead exemption\nfor individuals who have been convicted of a felony or who owe a debt arising from certain causes\nof action within a particular time frame. The existence of reasonable cause to believe that \xc2\xa7522(q)\nmay be applicable to the debtor constitutes grounds for withholding the discharge.\nSubdivision (c)(1)(J) is new. It accommodates the deadline for filing a reaffirmation\nagreement established by Rule 4008(a).\nSubdivision (c)(1)(K) is new. It reflects the 2005 revisions to \xc2\xa7524 of the Code that alter\nthe requirements for approval of reaffirmation agreements. Section 524(m) sets forth\ncircumstances under which a reaffirmation agreement is presumed to be an undue hardship. This\ntriggers an obligation to review the presumption and may require notice and a hearing. Subdivision\n(c)(1)(J) has been added to prevent the discharge from being entered until the court approves or\ndisapproves the reaffirmation agreement in accordance with \xc2\xa7524(m).\nSubdivision (c)(1)(L) is new. It implements \xc2\xa71228(a) of Public Law Number 109\xe2\x80\x938, an\nuncodified provision of the Bankruptcy Abuse Prevention and Consumer Protection Act of 2005,\nwhich prohibits entry of a discharge unless required tax documents have been provided to the\ncourt.\nSubdivision (c)(3) is new. It postpones the entry of the discharge of an individual debtor in\na case under chapter 11, 12, or 13 if there is a question as to the applicability of \xc2\xa7522(q) of the\nCode. The postponement provides an opportunity for a creditor to file a motion to limit the debtor\'s\nexemption under that provision.\nOther changes are stylistic.\nChanges Made After Publication. No changes were made after publication.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nSubdivision (a). Subdivision (a) is amended to include a deadline for filing a motion\nobjecting to a debtor\'s discharge under \xc2\xa7\xc2\xa7727(a)(8), [sic] (a)(9), or 1328(f) of the Code. These\nsections establish time limits on the issuance of discharges in successive bankruptcy cases by the\nsame debtor.\nSubdivision (c). Subdivision (c)(1) is amended because a corresponding amendment to\nsubdivision (d) directs certain objections to discharge to be brought by motion rather than by\ncomplaint. Subparagraph (c)(1)(B) directs the court not to grant a discharge if a motion or\ncomplaint objecting to discharge has been filed unless the objection has been decided in the\ndebtor\'s favor.\n184\n\n\x0cSubdivision (c)(4) is new. It directs the court in chapter 11 and 13 cases to withhold the\nentry of the discharge if an individual debtor has not filed a statement of completion of a course\nconcerning personal financial management as required by Rule 1007(b)(7).\nSubdivision (d). Subdivision (d) is amended to direct that objections to discharge under\n\xc2\xa7\xc2\xa7727(a)(8), (a)(9), and 1328(f) be commenced by motion rather than by complaint. Objections\nunder the specified provisions are contested matters governed by Rule 9014. The title of the\nsubdivision is also amended to reflect this change.\nChanges Made After Publication. Subdivision (d) was amended to provide that objections\nto discharge under \xc2\xa7\xc2\xa7727(a)(8), (a)(9), and 1328(f) are commenced by motion rather than by\ncomplaint and are governed by Rule 9014. Because of the relocation of this provision from the\npreviously proposed Rule 7001(b), subdivisions (a) and (c)(1) of this rule were revised to change\nreferences to "motion under Rule 7001(b)" to "motion under \xc2\xa7727(a)(8) or (a)(9)." Other stylistic\nchanges were made to the rule, and the Committee Note was revised to reflect these changes.\nCommittee Notes on Rules\xe2\x80\x942011 Amendment\nSubdivision (b). Subdivision (b) is amended to allow a party, under certain specified\ncircumstances, to seek an extension of time to object to discharge after the time for filing has\nexpired. This amendment addresses the situation in which there is a gap between the expiration of\nthe time for objecting to discharge and the entry of the discharge order. If, during that period, a\nparty discovers facts that would provide grounds for revocation of discharge, it may not be able to\nseek revocation under \xc2\xa7727(d) of the Code because the facts would have been known prior to the\ngranting of the discharge. Furthermore, during that period the debtor may commit an act that\nprovides a basis for both denial and revocation of the discharge. In those situations, subdivision\n(b)(2) allows a party to file a motion for an extension of time to object to discharge based on those\nfacts so long as they were not known to the party before expiration of the deadline for objecting.\nThe motion must be filed promptly after discovery of those facts.\nChanges Made After Publication. Following publication minor stylistic changes were\nmade to the language of the rule, and a sentence was added to the Committee Note to clarify that\nthe rule applies whenever the debtor commits an act during the gap period that provides a basis for\nboth denial and revocation of the discharge.\nCommittee Notes on Rules\xe2\x80\x942013 Amendment\nSubdivision (c)(1) is amended in several respects. The introductory language of paragraph\n(1) is revised to emphasize that the listed circumstances do not just relieve the court of the\nobligation to enter the discharge promptly but that they prevent the court from entering a\ndischarge.\nSubdivision (c)(1)(H) is amended to reflect the simultaneous amendment of Rule\n1007(b)(7). The amendment of the latter rule relieves a debtor of the obligation to file a statement\nof completion of a course concerning personal financial management if the course provider\nnotifies the court directly that the debtor has completed the course. Subparagraph (H) now requires\npostponement of the discharge when a debtor fails to file a statement of course completion only if\nthe debtor has an obligation to file the statement.\nSubdivision (c)(1)(K) is amended to make clear that the prohibition on entering a discharge\ndue to a presumption of undue hardship under \xc2\xa7524(m) of the Code ceases when the presumption\nexpires or the court concludes a hearing on the presumption.\n185\n\n\x0cChanges Made After Publication and Comment. Because this amendment is being made to\nconform to a simultaneous amendment of Rule 1007(b)(7) and is otherwise technical in nature,\nfinal approval is sought without publication.\n1\nSo in original. Probably should be only one section symbol.\n\nRule 4005. Burden of Proof in Objecting to Discharge\nAt the trial on a complaint objecting to a discharge, the plaintiff has the burden of proving\nthe objection.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule does not address the burden of going forward with the evidence. Subject to the\nallocation by the rule of the initial burden of producing evidence and the ultimate burden of\npersuasion, the rule leaves to the courts the formulation of rules governing the shift of the burden\nof going forward with the evidence in the light of considerations such as the difficulty of proving\nthe nonexistence of a fact and of establishing a fact as to which the evidence is likely to be more\naccessible to the debtor than to the objector. See, e.g., In re Haggerty, 165 F.2d 977, 979\xe2\x80\x9380 (2d\nCir. 1948); Federal Provision Co. v. Ershowsky, 94 F.2d 574, 575 (2d Cir. 1938); In re Riceputo,\n41 F. Supp. 926, 927\xe2\x80\x9328 (E.D.N.Y. 1941).\n\nRule 4006. Notice of No Discharge\nIf an order is entered: denying a discharge; revoking a discharge; approving a waiver of\ndischarge; or, in the case of an individual debtor, closing the case without the entry of a discharge,\nthe clerk shall promptly notify all parties in interest in the manner provided by Rule 2002.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThe suspension by \xc2\xa7108(c) of the Code of the statute of limitations affecting any debt of a\ndebtor terminates within 30 days after the debtor is denied a discharge or otherwise loses his right\nto a discharge. If, however, a debtor\'s failure to receive a discharge does not come to the attention\nof his creditors until after the statutes of limitations have run, the debtor obtains substantially the\nsame benefits from his bankruptcy as a debtor who is discharged.\nThis rule requires the clerk to notify creditors if a debtor fails to obtain a discharge because\na waiver of discharge was filed under \xc2\xa7727(a)(10) or as a result of an order denying or revoking the\ndischarge under \xc2\xa7727(a) or (d).\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThis amendment was necessary because the 2005 amendments to the Code require that\nindividual debtors in a chapter 7 or 13 case complete a course in personal financial management as\na condition to the entry of a discharge. If the debtor fails to complete the course, the case may be\n186\n\n\x0cclosed and no discharge will be entered. Reopening the case is governed by \xc2\xa7350 and Rule 5010.\nThe rule is amended to provide notice to parties in interest, including the debtor, that no discharge\nwas entered.\nChanges Made After Publication. No changes were made after publication.\n\nRule 4007. Determination of Dischargeability of a Debt\n(a) Persons Entitled To File Complaint. A debtor or any creditor may file a complaint to\nobtain a determination of the dischargeability of any debt.\n(b) Time for Commencing Proceeding Other Than Under \xc2\xa7523(c) of the Code. A\ncomplaint other than under \xc2\xa7523(c) may be filed at any time. A case may be reopened without\npayment of an additional filing fee for the purpose of filing a complaint to obtain a determination\nunder this rule.\n(c) Time for Filing Complaint Under \xc2\xa7523(c) in a Chapter 7 Liquidation, Chapter 11\nReorganization, Chapter 12 Family Farmer\'s Debt Adjustment Case, or Chapter 13 Individual\'s\nDebt Adjustment Case; Notice of Time Fixed. Except as otherwise provided in subdivision (d), a\ncomplaint to determine the dischargeability of a debt under \xc2\xa7523(c) shall be filed no later than 60\ndays after the first date set for the meeting of creditors under \xc2\xa7341(a). The court shall give all\ncreditors no less than 30 days\' notice of the time so fixed in the manner provided in Rule 2002. On\nmotion of a party in interest, after hearing on notice, the court may for cause extend the time fixed\nunder this subdivision. The motion shall be filed before the time has expired.\n(d) Time for Filing Complaint Under \xc2\xa7523(a)(6) in a Chapter 13 Individual\'s Debt\nAdjustment Case; Notice of Time Fixed. On motion by a debtor for a discharge under \xc2\xa71328(b),\nthe court shall enter an order fixing the time to file a complaint to determine the dischargeability of\nany debt under \xc2\xa7523(a)(6) and shall give no less than 30 days\' notice of the time fixed to all\ncreditors in the manner provided in Rule 2002. On motion of any party in interest, after hearing on\nnotice, the court may for cause extend the time fixed under this subdivision. The motion shall be\nfiled before the time has expired.\n(e) Applicability of Rules in Part VII. A proceeding commenced by a complaint filed under\nthis rule is governed by Part VII of these rules.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26,\n1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule prescribes the procedure to be followed when a party requests the court to\ndetermine dischargeability of a debt pursuant to \xc2\xa7523 of the Code.\nAlthough a complaint that comes within \xc2\xa7523(c) must ordinarily be filed before\ndetermining whether the debtor will be discharged, the court need not determine the issues\npresented by the complaint filed under this rule until the question of discharge has been determined\nunder Rule 4004. A complaint filed under this rule initiates an adversary proceeding as provided in\nRule 7003.\nSubdivision (b) does not contain a time limit for filing a complaint to determine the\ndischargeability of a type of debt listed as nondischargeable under \xc2\xa7523(a)(1), (3), (5), (7), (8), or\n(9). Jurisdiction over this issue on these debts is held concurrently by the bankruptcy court and any\nappropriate nonbankruptcy forum.\n187\n\n\x0cSubdivision (c) differs from subdivision (b) by imposing a deadline for filing complaints to\ndetermine the issue of dischargeability of debts set out in \xc2\xa7523(a)(2), (4) or (6) of the Code. The\nbankruptcy court has exclusive jurisdiction to determine dischargeability of these debts. If a\ncomplaint is not timely filed, the debt is discharged. See \xc2\xa7523(c).\nSubdivision (e). The complaint required by this subdivision should be filed in the court in\nwhich the case is pending pursuant to Rule 5005.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to delete the words "with the court" as unnecessary. See Rules\n5005(a) and 9001(3).\nSubdivision (c) is amended to apply in chapter 12 cases the same time period that applies in\nchapter 7 and 11 cases for filing a complaint under \xc2\xa7523(c) of the Code to determine\ndischargeability of certain debts. Under \xc2\xa71228(a) of the Code, a chapter 12 discharge does not\ndischarge the debts specified in \xc2\xa7523(a) of the Code.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nSubdivision (c) is amended to clarify that the deadline for filing a complaint to determine\nthe dischargeability of a debt under \xc2\xa7523(c) of the Code is 60 days after the first date set for the\nmeeting of creditors, whether or not the meeting is held on that date. The time for filing the\ncomplaint is not affected by any delay in the commencement or conclusion of the meeting of\ncreditors. This amendment does not affect the right of any party in interest to file a motion for an\nextension of time to file a complaint to determine the dischargeability of a debt in accordance with\nthis rule.\nThe substitution of the word "filed" for "made" in the final sentences of subdivisions (c)\nand (d) is intended to avoid confusion regarding the time when a motion is "made" for the purpose\nof applying these rules. See, e.g., In re Coggin, 30 F.3d 1443 (11th Cir. 1994). As amended, these\nsubdivisions require that a motion for an extension of time be filed before the time has expired.\nThe other amendments to this rule are stylistic.\nGAP Report on Rule 4007. No changes since publication, except for stylistic changes in the\nheading of Rule 4007(d).\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (c) is amended because of the 2005 amendments to \xc2\xa71328(a) of the Code. This\nrevision expands the exceptions to discharge upon completion of a chapter 13 plan. Subdivision (c)\nextends to chapter 13 the same time limits applicable to other chapters of the Code with respect to\nthe two exceptions to discharge that have been added to \xc2\xa71328(a) and that are within \xc2\xa7523(c).\nThe amendment to subdivision (d) reflects the 2005 amendments to \xc2\xa71328(a) that expands\nthe exceptions to discharge upon completion of a chapter 13 plan, including two out of three of the\nprovisions that fall within \xc2\xa7523(c). However, the 2005 revisions to \xc2\xa71328(a) do not include a\nreference to \xc2\xa7523(a)(6), which is the third provision to which \xc2\xa7523(c) refers. Thus, subdivision (d)\nis now limited to that provision.\nChanges Made After Publication. No changes were made after publication.\n\nRule 4008. Filing of Reaffirmation Agreement; Statement in Support of\nReaffirmation Agreement\n188\n\n\x0c(a) Filing of Reaffirmation Agreement. A reaffirmation agreement shall be filed no later\nthan 60 days after the first date set for the meeting of creditors under \xc2\xa7341(a) of the Code. The\nreaffirmation agreement shall be accompanied by a cover sheet, prepared as prescribed by the\nappropriate Official Form. The court may, at any time and in its discretion, enlarge the time to file\na reaffirmation agreement.\n(b) Statement in Support of Reaffirmation Agreement. The debtor\'s statement required\nunder \xc2\xa7524(k)(6)(A) of the Code shall be accompanied by a statement of the total income and\nexpenses stated on schedules I and J. If there is a difference between the total income and expenses\nstated on those schedules and the statement required under \xc2\xa7524(k)(6)(A), the statement required\nby this subdivision shall include an explanation of the difference.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSection 524(d) of the Code requires the court to hold a hearing to inform an individual\ndebtor concerning the granting or denial of discharge and the law applicable to reaffirmation\nagreements.\nThe notice of the \xc2\xa7524(d) hearing may be combined with the notice of the meeting of\ncreditors or entered as a separate order.\nThe expression "not more than" contained in the first sentence of the rule is for the explicit\npurpose of requiring the hearing to occur within that time period and cannot be extended.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is changed to conform to \xc2\xa7524(d) of the Code as amended in 1986. A hearing\nunder \xc2\xa7524(d) is not mandatory unless the debtor desires to enter into a reaffirmation agreement.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThis rule is amended to establish a deadline for filing reaffirmation agreements. The Code\nsets out a number of prerequisites to the enforceability of reaffirmation agreements. Among those\nrequirements, \xc2\xa7524(k)(6)(A) provides that each reaffirmation agreement must be accompanied by\na statement indicating the debtor\'s ability to make the payments called for by the agreement. In the\nevent that this statement reflects an insufficient income to allow payment of the reaffirmed debt,\n\xc2\xa7524(m) provides that a presumption of undue hardship arises, allowing the court to disapprove\nthe reaffirmation agreement, but only after a hearing conducted prior to the entry of discharge.\nRule 4004(c)(1)(K) accommodates this provision by delaying the entry of discharge where a\npresumption of undue hardship arises. However, in order for that rule to be effective, the\nreaffirmation agreement itself must be filed before the entry of discharge. Under Rule 4004(c)(1)\ndischarge is to be entered promptly after the expiration of the time for filing a complaint objecting\nto discharge, which, under Rule 4004(a), is 60 days after the first date set for the meeting of\ncreditors under \xc2\xa7341(a). Accordingly, that date is set as the deadline for filing a reaffirmation\nagreement.\nAny party may file the agreement with the court. Thus, whichever party has a greater\n189\n\n\x0cincentive to enforce the agreement usually will file it. In the event that the parties are unable to file\na reaffirmation agreement in a timely fashion, the rule grants the court broad discretion to permit a\nlate filing. A corresponding change to Rule 4004(c)(1)(J) accommodates such an extension by\nproviding for a delay in the entry of discharge during the pendency of a motion to extend the time\nfor filing a reaffirmation agreement.\nRule 4008 is also amended by deleting provisions regarding the timing of any reaffirmation\nand discharge hearing. As noted above, \xc2\xa7524(m) itself requires that hearings on undue hardship be\nconducted prior to the entry of discharge. In other respects, including hearings to approve\nreaffirmation agreements of unrepresented debtors under \xc2\xa7524(c)(6), the rule leaves discretion to\nthe court to set the hearing at a time appropriate for the particular circumstances presented in the\ncase and consistent with the scheduling needs of the parties.\nChanges Made After Publication. The only change was stylistic. The phrase "of the Code"\nwas added to subdivision (b).\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nSubdivision (a) of the rule is amended to require that the entity filing the reaffirmation\nagreement with the court also include Official Form 27, the Reaffirmation Agreement Cover\nSheet. The form includes information necessary for the court to determine whether the proposed\nreaffirmation agreement is presumed to be an undue hardship for the debtor under \xc2\xa7524(m) of the\nCode.\nChanges Made After Publication. No changes since publication.\n\n190\n\n\x0cPART V\xe2\x80\x94COURTS AND CLERKS\nRule 5001. Courts and Clerks\' Offices\n(a) Courts Always Open. The courts shall be deemed always open for the purpose of filing\nany pleading or other proper paper, issuing and returning process, and filing, making, or entering\nmotions, orders and rules.\n(b) Trials and Hearings; Orders in Chambers. All trials and hearings shall be conducted in\nopen court and so far as convenient in a regular court room. Except as otherwise provided in 28\nU.S.C. \xc2\xa7152(c), all other acts or proceedings may be done or conducted by a judge in chambers\nand at any place either within or without the district; but no hearing, other than one ex parte, shall\nbe conducted outside the district without the consent of all parties affected thereby.\n(c) Clerk\'s Office. The clerk\'s office with the clerk or a deputy in attendance shall be open\nduring business hours on all days except Saturdays, Sundays and the legal holidays listed in Rule\n9006(a).\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from subdivisions (a), (b) and (c) of Rule 77 F.R.Civ.P.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nRule 9001, as amended, defines court to mean the bankruptcy judge or district judge before\nwhom a case or proceeding is pending. Clerk means the bankruptcy clerk, if one has been\nappointed for the district; if a bankruptcy clerk has not been appointed, clerk means clerk of the\ndistrict court.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (c) is amended to refer to Rule 9006(a) for a list of legal holidays. Reference to\nF.R.Civ.P. is not necessary for this purpose.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to permit bankruptcy judges to hold hearings outside of the district in\nwhich the case is pending to the extent that the circumstances lead to the authorization of the court\nto take such action under the 2005 amendment to 28 U.S.C. \xc2\xa7152(c). Under that provision,\nbankruptcy judges may hold court outside of their districts in emergency situations and when the\nbusiness of the court otherwise so requires. This amendment to the rule is intended to implement\nthe legislation.\nChanges Made After Publication. No changes were made after publication.\n\nRule 5002. Restrictions on Approval of Appointments\n191\n\n\x0c(a) Approval of Appointment of Relatives Prohibited. The appointment of an individual as\na trustee or examiner pursuant to \xc2\xa71104 of the Code shall not be approved by the court if the\nindividual is a relative of the bankruptcy judge approving the appointment or the United States\ntrustee in the region in which the case is pending. The employment of an individual as an attorney,\naccountant, appraiser, auctioneer, or other professional person pursuant to \xc2\xa7\xc2\xa7327, 1103, or 1114\nshall not be approved by the court if the individual is a relative of the bankruptcy judge approving\nthe employment. The employment of an individual as attorney, accountant, appraiser, auctioneer,\nor other professional person pursuant to \xc2\xa7\xc2\xa7327, 1103, or 1114 may be approved by the court if the\nindividual is a relative of the United States trustee in the region in which the case is pending, unless\nthe court finds that the relationship with the United States trustee renders the employment\nimproper under the circumstances of the case. Whenever under this subdivision an individual may\nnot be approved for appointment or employment, the individual\'s firm, partnership, corporation, or\nany other form of business association or relationship, and all members, associates and\nprofessional employees thereof also may not be approved for appointment or employment.\n(b) Judicial Determination That Approval of Appointment or Employment Is Improper. A\nbankruptcy judge may not approve the appointment of a person as a trustee or examiner pursuant\nto \xc2\xa71104 of the Code or approve the employment of a person as an attorney, accountant, appraiser,\nauctioneer, or other professional person pursuant to \xc2\xa7\xc2\xa7327, 1103, or 1114 of the Code if that\nperson is or has been so connected with such judge or the United States trustee as to render the\nappointment or employment improper.\n(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is adapted from former Bankruptcy Rule 505(a). The scope of the prohibition on\nappointment or employment is expanded to include an examiner appointed under \xc2\xa71104 of the\nCode and attorneys and other professional persons whose employment must be approved by the\ncourt under \xc2\xa7327 or \xc2\xa71103.\nThe rule supplements two statutory provisions. Under 18 U.S.C. \xc2\xa71910, it is a criminal\noffense for a judge to appoint a relative as a trustee and, under 28 U.S.C. \xc2\xa7458, a person may not be\n"appointed to or employed in any office or duty in any court" if he is a relative of any judge of that\ncourt. The rule prohibits the appointment or employment of a relative of a bankruptcy judge in a\ncase pending before that bankruptcy judge or before other bankruptcy judges sitting within the\ndistrict.\nA relative is defined in \xc2\xa7101(34) of the Code to be an "individual related by affinity or\nconsanguinity within the third degree as determined by the common law, or individual in a step or\nadoptive relationship within such third degree." Persons within the third degree under the common\nlaw system are as follows: first degree\xe2\x80\x94parents, brothers and sisters, and children; second\ndegree\xe2\x80\x94grandparents, uncles and aunts, first cousins, nephews and nieces, and grandchildren;\nthird degree\xe2\x80\x94great grandparents, great uncles and aunts, first cousins once removed, second\ncousins, grand nephews and nieces, great grandchildren. Rule 9001 incorporates the definitions of\n\xc2\xa7101 of the Code.\nIn order for the policy of this rule to be meaningfully implemented, it is necessary to extend\nthe prohibition against appointment or employment to the firm or other business association of the\n192\n\n\x0cineligible person and to those affiliated with the firm or business association. "Firm" is defined in\nRule 9001 to include a professional partnership or corporation of attorneys or accountants. All\nother types of business and professional associations and relationships are covered by this rule.\nNotes of Advisory Committee on Rules\xe2\x80\x941985 Amendment\nThe amended rule is divided into two subdivisions. Subdivision (a) applies to relatives of\nbankruptcy judges and subdivision (b) applies to persons who are or have been connected with\nbankruptcy judges. Subdivision (a) permits no judicial discretion; subdivision (b) allows judicial\ndiscretion. In both subdivisions of the amended rule "bankruptcy judge" has been substituted for\n"judge". The amended rule makes clear that it only applies to relatives of, or persons connected\nwith, the bankruptcy judge. See In re Hilltop Sand and Gravel, Inc., 35 B.R. 412 (N.D. Ohio\n1983).\nSubdivision (a). The original rule prohibited all bankruptcy judges in a district from\nappointing or approving the employment of (i) a relative of any bankruptcy judge serving in the\ndistrict, (ii) the firm or business association of any ineligible relative and (iii) any member or\nprofessional employee of the firm or business association of an ineligible relative. In addition, the\ndefinition of relative, the third degree relationship under the common law, is quite broad. The\nrestriction on the employment opportunities of relatives of bankruptcy judges was magnified by\nthe fact that many law and accounting firms have practices and offices spanning the nation.\nRelatives are not eligible for appointment or employment when the bankruptcy judge to\nwhom they are related makes the appointment or approves the employment. Canon 3(b)(4) of the\nCode of Judicial Conduct, which provides that the judge "shall exercise his power of appointment\nonly on the basis of merit, avoiding nepotism and favoritism," should guide a bankruptcy judge\nwhen a relative of a judge of the same bankruptcy court is considered for appointment or\nemployment.\nSubdivision (b), derived from clause (2) of the original rule, makes a person ineligible for\nappointment or employment if the person is so connected with a bankruptcy judge making the\nappointment or approving the employment as to render the appointment or approval of\nemployment improper. The caption and text of the subdivision emphasize that application of the\nconnection test is committed to the sound discretion of the bankruptcy judge who is to make the\nappointment or approve the employment. All relevant circumstances are to be taken into account\nby the court. The most important of those circumstances include: the nature and duration of the\nconnection with the bankruptcy judge; whether the connection still exists, and, if not, when it was\nterminated; and the type of appointment or employment. These and other considerations must be\ncarefully evaluated by the bankruptcy judge.\nThe policy underlying subdivision (b) is essentially the same as the policy embodied in the\nCode of Judicial Conduct. Canon 2 of the Code of Judicial Conduct instructs a judge to avoid\nimpropriety and the appearance of impropriety, and Canon 3(b)(4) provides that the judge "should\nexercise his power of appointment only on the basis of merit, avoiding nepotism and favoritism."\nSubdivision (b) alerts the potential appointee or employee and party seeking approval of\nemployment to consider the possible relevance or impact of subdivision (b) and indicates to them\nthat appropriate disclosure must be made to the bankruptcy court before accepting appointment or\nemployment. The information required may be made a part of the application for approval of\nemployment. See Rule 2014(a).\nSubdivision (b) departs from the former rule in an important respect: a firm or business\nassociation is not prohibited from appointment or employment merely because an individual\n193\n\n\x0cmember or employee of the firm or business association is ineligible under subdivision (b).\nThe emphasis given to the bankruptcy court\'s judicial discretion in applying subdivision\n(b) and the absence of a per se extension of ineligibility to the firm or business association or any\nineligible individual complement the amendments to subdivision (a). The change is intended to\nmoderate the prior limitation on the employment opportunities of attorneys, accountants and other\nprofessional persons who are or who have been connected in some way with the bankruptcy judge.\nFor example, in all but the most unusual situations service as a law clerk to a bankruptcy judge is\nnot the type of connection which alone precludes appointment or employment. Even if a\nbankruptcy judge determines that it is improper to appoint or approve the employment of a former\nlaw clerk in the period immediately after completion of the former law clerk\'s service with the\njudge, the firm which employs the former law clerk will, absent other circumstances, be eligible\nfor employment. In each instance all the facts must be considered by the bankruptcy judge.\nSubdivision (b) applies to persons connected with a bankruptcy judge. "Person" is defined\nin \xc2\xa7101 of the Bankruptcy Code to include an "individual, partnership and corporation". A\npartnership or corporation may be appointed or employed to serve in a bankruptcy case. If a\nbankruptcy judge is connected in some way with a partnership or corporation, it is necessary for\nthe court to determine whether the appointment or employment of that partnership or corporation\nis proper.\nThe amended rule does not regulate professional relationships which do not require\napproval of a bankruptcy judge. Disqualification of the bankruptcy judge pursuant to 28 U.S.C.\n\xc2\xa7455 may, however, be appropriate. Under Rule 5004(a), a bankruptcy judge may find that\ndisqualification from only some aspect of the case, rather than the entire case, is necessary. A\nsituation may also arise in which the disqualifying circumstance only comes to light after services\nhave been performed. Rule 5004(b) provides that if compensation from the estate is sought for\nthese services, the bankruptcy judge is disqualified from awarding compensation.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe 1986 amendments to the Code provide that the United States trustee shall appoint\ntrustees in chapter 7, chapter 12, and chapter 13 cases without the necessity of court approval. This\nrule is not intended to apply to the appointment of trustees in those cases because it would be\ninappropriate for a court rule to restrict in advance the exercise of discretion by the executive\nbranch. See Committee Note to Rule 2009.\nIn chapter 11 cases, a trustee or examiner is appointed by the United States trustee after\nconsultation with parties in interest and subject to court approval. Subdivision (a), as amended,\nprohibits the approval of the appointment of an individual as a trustee or examiner if the person is\na relative of the United States trustee making the appointment or the bankruptcy judge approving\nthe appointment.\nThe United States trustee neither appoints nor approves the employment of professional\npersons employed pursuant to \xc2\xa7\xc2\xa7327, 1103, or 1114 of the Code. Therefore, subdivision (a) is not\na prohibition against judicial approval of employment of a professional person who is a relative of\nthe United States trustee. However, the United States trustee monitors applications for\ncompensation and reimbursement of expenses and may raise, appear and be heard on issues in the\ncase. Employment of relatives of the United States trustee may be approved unless the court finds,\nafter considering the relationship and the particular circumstances of the case, that the relationship\nwould cause the employment to be improper. As used in this rule, "improper" includes the\nappearance of impropriety.\n194\n\n\x0cUnited States trustee is defined to include a designee or assistant United States trustee. See\nRule 9001. Therefore, subdivision (a) is applicable if the person appointed as trustee or examiner\nor the professional to be employed is a relative of a designee of the United States trustee or any\nassistant United States trustee in the region in which the case is pending.\nThis rule is not exclusive of other laws or rules regulating ethical conduct. See, e.g., 28\nCFR \xc2\xa745.735\xe2\x80\x935.\n\nRule 5003. Records Kept By the Clerk\n(a) Bankruptcy Dockets. The clerk shall keep a docket in each case under the Code and\nshall enter thereon each judgment, order, and activity in that case as prescribed by the Director of\nthe Administrative Office of the United States Courts. The entry of a judgment or order in a docket\nshall show the date the entry is made.\n(b) Claims Register. The clerk shall keep in a claims register a list of claims filed in a case\nwhen it appears that there will be a distribution to unsecured creditors.\n(c) Judgments and Orders. The clerk shall keep, in the form and manner as the Director of\nthe Administrative Office of the United States Courts may prescribe, a correct copy of every final\njudgment or order affecting title to or lien on real property or for the recovery of money or\nproperty, and any other order which the court may direct to be kept. On request of the prevailing\nparty, a correct copy of every judgment or order affecting title to or lien upon real or personal\nproperty or for the recovery of money or property shall be kept and indexed with the civil\njudgments of the district court.\n(d) Index of Cases; Certificate of Search. The clerk shall keep indices of all cases and\nadversary proceedings as prescribed by the Director of the Administrative Office of the United\nStates Courts. On request, the clerk shall make a search of any index and papers in the clerk\'s\ncustody and certify whether a case or proceeding has been filed in or transferred to the court or if a\ndischarge has been entered in its records.\n(e) Register of Mailing Addresses of Federal and State Governmental Units and Certain\nTaxing Authorities. The United States or the state or territory in which the court is located may file\na statement designating its mailing address. The United States, state, territory, or local\ngovernmental unit responsible for collecting taxes within the district in which the case is pending\nmay also file a statement designating an address for service of requests under \xc2\xa7505(b) of the Code,\nand the designation shall describe where further information concerning additional requirements\nfor filing such requests may be found. The clerk shall keep, in the form and manner as the Director\nof the Administrative Office of the United States Courts may prescribe, a register that includes the\nmailing addresses designated under the first sentence of this subdivision, and a separate register of\nthe addresses designated for the service of requests under \xc2\xa7505(b) of the Code. The clerk is not\nrequired to include in any single register more than one mailing address for each department,\nagency, or instrumentality of the United States or the state or territory. If more than one address for\na department, agency, or instrumentality is included in the register, the clerk shall also include\ninformation that would enable a user of the register to determine the circumstances when each\naddress is applicable, and mailing notice to only one applicable address is sufficient to provide\neffective notice. The clerk shall update the register annually, effective January 2 of each year. The\nmailing address in the register is conclusively presumed to be a proper address for the\ngovernmental unit, but the failure to use that mailing address does not invalidate any notice that is\notherwise effective under applicable law.\n195\n\n\x0c(f) Other Books and Records of the Clerk. The clerk shall keep any other books and records\nrequired by the Director of the Administrative Office of the United States Courts.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23,\n2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule consolidates former Bankruptcy Rules 504 and 507. The record-keeping duties of\nthe referee under former Bankruptcy Rule 504 are transferred to the clerk. Subdivisions (a), (c), (d)\nand (e) are similar to subdivisions (a)\xe2\x80\x93(d) of Rule 79 F.R.Civ.P.\nSubdivision (b) requires that filed claims be listed on a claims register only when there may\nbe a distribution to unsecured creditors. Compilation of the list for no asset or nominal asset cases\nwould serve no purpose.\nRule 2013 requires the clerk to maintain a public record of fees paid from the estate and an\nannual summary thereof.\nFormer Bankruptcy Rules 507(d) and 508, which made materials in the clerk\'s office and\nfiles available to the public, are not necessary because \xc2\xa7107 of the Code guarantees public access\nto files and dockets of cases under the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) has been made more specific.\nSubdivision (c) is amended to require that on the request of the prevailing party the clerk of\nthe district court shall keep and index bankruptcy judgments and orders affecting title to or lien\nupon real or personal property or for the recovery of money or property with the civil judgments of\nthe district court. This requirement is derived from former Rule 9021(b). The Director of the\nAdministrative Office will provide guidance to the bankruptcy and district court clerks regarding\nappropriate paperwork and retention procedures.\nCommittee Notes on Rules\xe2\x80\x942000 Amendment\nSubdivision (e) is added to provide a source where debtors, their attorneys, and other\nparties may go to determine whether the United States or the state or territory in which the court is\nlocated has filed a statement designating a mailing address for notice purposes. By using the\naddress in the register\xe2\x80\x94which must be available to the public\xe2\x80\x94the sender is assured that the\nmailing address is proper. But the use of an address that differs from the address included in the\nregister does not invalidate the notice if it is otherwise effective under applicable law.\nThe register may include a separate mailing address for each department, agency, or\ninstrumentality of the United States or the state or territory. This rule does not require that\naddresses of municipalities or other local governmental units be included in the register, but the\nclerk may include them.\nAlthough it is important for the register to be kept current, debtors, their attorneys, and\nother parties should be able to rely on mailing addresses listed in the register without the need to\ncontinuously inquire as to new or amended addresses. Therefore, the clerk must update the\nregister, but only once each year.\nTo avoid unnecessary cost and burden on the clerk and to keep the register a reasonable\nlength, the clerk is not required to include more than one mailing address for a particular agency,\n196\n\n\x0cdepartment, or instrumentality of the United States or the state or territory. But if more than one\naddress is included, the clerk is required to include information so that a person using the register\ncould determine when each address should be used. In any event, the inclusion of more than one\naddress for a particular department, agency, or instrumentality does not impose on a person\nsending a notice the duty to send it to more than one address.\nGAP Report on Rule 5003. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to implement \xc2\xa7505(b)(1) of the Code added by the 2005 amendments,\nwhich allows a taxing authority to designate an address to use for the service of requests under that\nsubsection. Under the amendment, the clerk is directed to maintain a separate register for mailing\naddresses of governmental units solely for the service of requests under \xc2\xa7505(b). This register is in\naddition to the register of addresses of governmental units already maintained by the clerk. The\nclerk is required to keep only one address for a governmental unit in each register.\nChanges Made After Publication. Subdivision (e) was amended to clarify that the clerk\nmust maintain a separate mailing address register that contains the addresses to which notices\npertaining to actions under \xc2\xa7505 of the Code are to be sent.\n\nRule 5004. Disqualification\n(a) Disqualification of Judge. A bankruptcy judge shall be governed by 28 U.S.C. \xc2\xa7455,\nand disqualified from presiding over the proceeding or contested matter in which the disqualifying\ncircumstances 1 arises or, if appropriate, shall be disqualified from presiding over the case.\n(b) Disqualification of Judge from Allowing Compensation. A bankruptcy judge shall be\ndisqualified from allowing compensation to a person who is a relative of the bankruptcy judge or\nwith whom the judge is so connected as to render it improper for the judge to authorize such\ncompensation.\n(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a). Disqualification of a bankruptcy judge is governed by 28 U.S.C. \xc2\xa7455.\nThat section provides that the judge "shall disqualify himself in any proceeding in which his\nimpartiality might reasonably be questioned" or under certain other circumstances. In a case under\nthe Code it is possible that the disqualifying circumstance will be isolated to an adversary\nproceeding or contested matter. The rule makes it clear that when the disqualifying circumstance is\nlimited in that way the judge need only disqualify himself from presiding over that adversary\nproceeding or contested matter.\nIt is possible, however, that even if the disqualifying circumstance arises in connection\nwith an adversary proceeding, the effect will be so pervasive that disqualification from presiding\nover the case is appropriate. This distinction is consistent with the definition of "proceeding" in 28\nU.S.C. \xc2\xa7455(d)(1).\nSubdivision (b) precludes a bankruptcy judge from allowing compensation from the estate\nto a relative or other person closely associated with the judge. The subdivision applies where the\njudge has not appointed or approved the employment of the person requesting compensation.\n197\n\n\x0cPerhaps the most frequent application of the subdivision will be in the allowance of administrative\nexpenses under \xc2\xa7503(b)(3)\xe2\x80\x93(5) of the Code. For example, if an attorney or accountant is retained\nby an indenture trustee who thereafter makes a substantial contribution in a chapter 11 case, the\nattorney or accountant may seek compensation under \xc2\xa7503(b)(4). If the attorney or accountant is a\nrelative of or associated with the bankruptcy judge, the judge may not allow compensation to the\nattorney or accountant. Section 101(34) defines relative and Rule 9001 incorporates the definitions\nof the Code. See the Advisory Committee\'s Note to Rule 5002.\nNotes of Advisory Committee on Rules\xe2\x80\x941985 Amendment\nSubdivision (a) was affected by the Bankruptcy Amendments and Federal Judgeship Act\nof 1984, P.L. 98\xe2\x80\x93353, 98 Stat. 333. The 1978 Bankruptcy Reform Act, P.L. 95\xe2\x80\x93598, included\nbankruptcy judges in the definition of United States judges in 28 U.S.C. \xc2\xa7451 and they were\ntherefore subject to the provisions of 28 U.S.C. \xc2\xa7455. This was to become effective on April 1,\n1984, P.L. 95\xe2\x80\x93598, \xc2\xa7404(b). Section 113 of P.L. 98\xe2\x80\x93353, however, appears to have rendered the\namendment to 28 U.S.C. \xc2\xa7451 ineffective. Subdivision (a) of the rule retains the substance and\nintent of the earlier draft by making bankruptcy judges subject to 28 U.S.C. \xc2\xa7455.\nThe word "associated" in subdivision (b) has been changed to "connected" in order to\nconform with Rule 5002(b).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe rule is amended to be gender neutral. The bankruptcy judge before whom the matter is\npending determines whether disqualification is required.\n1\nSo in original. Probably should be "circumstance".\n\nRule 5005. Filing and Transmittal of Papers\n(a) Filing.\n(1) Place of Filing. The lists, schedules, statements, proofs of claim or interest, complaints,\nmotions, applications, objections and other papers required to be filed by these rules, except as\nprovided in 28 U.S.C. \xc2\xa71409, shall be filed with the clerk in the district where the case under the\nCode is pending. The judge of that court may permit the papers to be filed with the judge, in which\nevent the filing date shall be noted thereon, and they shall be forthwith transmitted to the clerk. The\nclerk shall not refuse to accept for filing any petition or other paper presented for the purpose of\nfiling solely because it is not presented in proper form as required by these rules or any local rules\nor practices.\n(2) Filing by Electronic Means. A court may by local rule permit or require documents to\nbe filed, signed, or verified by electronic means that are consistent with technical standards, if any,\nthat the Judicial Conference of the United States establishes. A local rule may require filing by\nelectronic means only if reasonable exceptions are allowed. A document filed by electronic means\nin compliance with a local rule constitutes a written paper for the purpose of applying these rules,\nthe Federal Rules of Civil Procedure made applicable by these rules, and \xc2\xa7107 of the Code.\n(b) Transmittal to the United States Trustee.\n198\n\n\x0c(1) The complaints, motions, applications, objections and other papers required to be\ntransmitted to the United States trustee by these rules shall be mailed or delivered to an office of\nthe United States trustee, or to another place designated by the United States trustee, in the district\nwhere the case under the Code is pending.\n(2) The entity, other than the clerk, transmitting a paper to the United States trustee shall\npromptly file as proof of such transmittal a verified statement identifying the paper and stating the\ndate on which it was transmitted to the United States trustee.\n(3) Nothing in these rules shall require the clerk to transmit any paper to the United States\ntrustee if the United States trustee requests in writing that the paper not be transmitted.\n(c) Error in Filing or Transmittal. A paper intended to be filed with the clerk but\nerroneously delivered to the United States trustee, the trustee, the attorney for the trustee, a\nbankruptcy judge, a district judge, the clerk of the bankruptcy appellate panel, or the clerk of the\ndistrict court shall, after the date of its receipt has been noted thereon, be transmitted forthwith to\nthe clerk of the bankruptcy court. A paper intended to be transmitted to the United States trustee\nbut erroneously delivered to the clerk, the trustee, the attorney for the trustee, a bankruptcy judge,\na district judge, the clerk of the bankruptcy appellate panel, or the clerk of the district court shall,\nafter the date of its receipt has been noted thereon, be transmitted forthwith to the United States\ntrustee. In the interest of justice, the court may order that a paper erroneously delivered shall be\ndeemed filed with the clerk or transmitted to the United States trustee as of the date of its original\ndelivery.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 12, 2006, eff. Dec. 1, 2006.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) is an adaptation of Rule 5(e) F.R.Civ.P. Sections 301\xe2\x80\x93304 of the Code and\nRules 1002 and 1003 require that cases under the Code be commenced by filing a petition "with\nthe bankruptcy court." Other sections of the Code and other rules refer to or contemplate filing but\nthere is no specific reference to filing with the bankruptcy court. For example, \xc2\xa7501 of the Code\nrequires filing of proofs of claim and Rule 3016(c) requires the filing of a disclosure statement.\nThis subdivision applies to all situations in which filing is required. Except when filing in another\ndistrict is authorized by 28 U.S.C. \xc2\xa71473, all papers, including complaints commencing adversary\nproceedings, must be filed in the court where the case under the Code is pending.\nSubdivision (b) is the same as former Bankruptcy Rule 509(c).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended to conform with the 1984 amendments.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (b)(1) is flexible in that it permits the United States trustee to designate a place\nor places for receiving papers within the district in which the case is pending. Transmittal of papers\nto the United States trustee may be accomplished by mail or delivery, including delivery by\ncourier, and the technical requirements for service of process are not applicable. Although papers\nrelating to a proceeding commenced in another district pursuant to 28 U.S.C. \xc2\xa71409 must be filed\n199\n\n\x0cwith the clerk in that district, the papers required to be transmitted to the United States trustee must\nbe mailed or delivered to the United States trustee in the district in which the case under the Code\nis pending. The United States trustee in the district in which the case is pending monitors the\nprogress of the case and should be informed of all developments in the case wherever the\ndevelopments take place.\nSubdivision (b)(2) requires that proof of transmittal to the United States trustee be filed\nwith the clerk. If papers are served on the United States trustee by mail or otherwise, the filing of\nproof of service would satisfy the requirements of this subdivision. This requirement enables the\ncourt to assure that papers are actually transmitted to the United States trustee in compliance with\nthe rules. When the rules require that a paper be transmitted to the United States trustee and proof\nof transmittal has not been filed with the clerk, the court should not schedule a hearing or should\ntake other appropriate action to assure that the paper is transmitted to the United States trustee. The\nfiling of the verified statement with the clerk also enables other parties in interest to determine\nwhether a paper has been transmitted to the United States trustee.\nSubdivision (b)(3) is designed to relieve the clerk of any obligation under these rules to\ntransmit any paper to the United States trustee if the United States trustee does not wish to receive\nit.\nSubdivision (c) is amended to include the erroneous delivery of papers intended to be\ntransmitted to the United States trustee.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nSubdivision (a) is amended to conform to the 1991 amendment to Rule 5(e) F.R.Civ.P. It is\nnot a suitable role for the office of the clerk to refuse to accept for filing papers not conforming to\nrequirements of form imposed by these rules or by local rules or practices. The enforcement of\nthese rules and local rules is a role for a judge. This amendment does not require the clerk to accept\nfor filing papers sent to the clerk\'s office by facsimile transmission.\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nThe rule is amended to permit, but not require, courts to adopt local rules that allow filing,\nsigning, or verifying of documents by electronic means. However, such local rules must be\nconsistent with technical standards, if any, promulgated by the Judicial Conference of the United\nStates.\nAn important benefit to be derived by permitting filing by electronic means is that the\nextensive volume of paper received and maintained as records in the clerk\'s office will be reduced\nsubstantially. With the receipt of electronic data transmissions by computer, the clerk may\nmaintain records electronically without the need to reproduce them in tangible paper form.\nJudicial Conference standards governing the technological aspects of electronic filing will\nresult in uniformity among judicial districts to accommodate an increasingly national bar. By\ndelegating to the Judicial Conference the establishment and future amendment of national\nstandards for electronic filing, the Supreme Court and Congress will be relieved of the burden of\nreviewing and promulgating detailed rules dealing with complex technological standards. Another\nreason for leaving to the Judicial Conference the formulation of technological standards for\nelectronic filing is that advances in computer technology occur often, and changes in the\ntechnological standards may have to be implemented more frequently than would be feasible by\nrule amendment under the Rules Enabling Act process.\n200\n\n\x0cIt is anticipated that standards established by the Judicial Conference will govern technical\nspecifications for electronic data transmission, such as requirements relating to the formatting of\ndata, speed of transmission, means to transmit copies of supporting documentation, and security of\ncommunication procedures. In addition, before procedures for electronic filing are implemented,\nstandards must be established to assure the proper maintenance and integrity of the record and to\nprovide appropriate access and retrieval mechanisms. These matters will be governed by local\nrules until system-wide standards are adopted by the Judicial Conference.\nRule 9009 requires that the Official Forms shall be observed and used "with alterations as\nmay be appropriate." Compliance with local rules and any Judicial Conference standards with\nrespect to the formatting or presentation of electronically transmitted data, to the extent that they\ndo not conform to the Official Forms, would be an appropriate alteration within the meaning of\nRule 9009.\nThese rules require that certain documents be in writing. For example, Rule 3001 states\nthat a proof of claim is a "written statement." Similarly, Rule 3007 provides that an objection to a\nclaim "shall be in writing." Pursuant to the new subdivision (a)(2), any requirement under these\nrules that a paper be written may be satisfied by filing the document by electronic means,\nnotwithstanding the fact that the clerk neither receives nor prints a paper reproduction of the\nelectronic data.\nSection 107(a) of the Code provides that a "paper" filed in a case is a public record open to\nexamination by an entity at reasonable times without charge, except as provided in \xc2\xa7107(b). The\namendment to subdivision (a)(2) provides that an electronically filed document is to be treated as\nsuch a public record.\nAlthough under subdivision (a)(2) electronically filed documents may be treated as written\npapers or as signed or verified writings, it is important to emphasize that such treatment is only for\nthe purpose of applying these rules. In addition, local rules and Judicial Conference standards\nregarding verification must satisfy the requirements of 28 U.S.C. \xc2\xa71746.\nGAP Report on Rule 5005. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942006 Amendment\nSubdivision (a). Amended Rule 5005(a)(2) acknowledges that many courts have required\nelectronic filing by means of a standing order, procedures manual, or local rule. These local\npractices reflect the advantages that courts and most litigants realize from electronic filings. Courts\nrequiring electronic filing must make reasonable exceptions for persons for whom electronic filing\nof documents constitutes an unreasonable denial of access to the courts. Experience with the rule\nwill facilitate convergence on uniform exceptions in an amended Rule 5005(a)(2).\nSubdivision (c). The rule is amended to include the clerk of the bankruptcy appellate panel\namong the list of persons required to transmit to the proper person erroneously filed or transmitted\npapers. The amendment is necessary because the bankruptcy appellate panels were not in\nexistence at the time of the original promulgation of the rule. The amendment also inserts the\ndistrict judge on the list of persons required to transmit papers intended for the United States\ntrustee but erroneously sent to another person. The district judge is included in the list of persons\nwho must transmit papers to the clerk of the bankruptcy court in the first part of the rule, and there\nis no reason to exclude the district judge from the list of persons who must transmit erroneously\nfiled papers to the United States trustee.\nChanges Made After Publication. The published version of the Rule did not include the\nsentence set out on lines 7\xe2\x80\x9310 above [sic]. The Advisory Committee concluded, based on the\n201\n\n\x0cwritten comments received and additional Advisory Committee consideration, that the text of the\nrule should include a statement regarding the need for courts to protect access to the courts for\nthose whose status might not allow for electronic participation in cases. The published version had\nrelegated this notion to the Committee Note, but further deliberations led to the conclusion that this\nmatter is too important to leave to the Committee Note and instead should be included in the text of\nthe rule.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subd. (a)(2), are set out in the\nAppendix to Title 28, Judiciary and Judicial Procedure.\n\nRule 5006. Certification of Copies of Papers\nThe clerk shall issue a certified copy of the record of any proceeding in a case under the\nCode or of any paper filed with the clerk on payment of any prescribed fee.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nFees for certification and copying are fixed by the Judicial Conference under 28 U.S.C.\n\xc2\xa71930(b).\nRule 1101 F. R. Evid. makes the Federal Rules of Evidence applicable to cases under the\nCode. Rule 1005 F. R. Evid. allows the contents of an official record or of a paper filed with the\ncourt to be proved by a duly certified copy. A copy certified and issued in accordance with Rule\n5006 is accorded authenticity by Rule 902(4) F. R. Evid.\n\nRule 5007. Record of Proceedings and Transcripts\n(a) Filing of Record or Transcript. The reporter or operator of a recording device shall\ncertify the original notes of testimony, tape recording, or other original record of the proceeding\nand promptly file them with the clerk. The person preparing any transcript shall promptly file a\ncertified copy.\n(b) Transcript Fees. The fees for copies of transcripts shall be charged at rates prescribed\nby the Judicial Conference of the United States. No fee may be charged for the certified copy filed\nwith the clerk.\n(c) Admissibility of Record in Evidence. A certified sound recording or a transcript of a\nproceeding shall be admissible as prima facie evidence to establish the record.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule supplements 28 U.S.C. \xc2\xa7773. A record of proceedings before the bankruptcy\njudge is to be made whenever practicable. By whatever means the record is made, subdivision (a)\nrequires that the preparer of the record certify and file the original notes, tape recording, or other\nform of sound recording of the proceedings. Similarly, if a transcript is requested, the preparer is to\n202\n\n\x0cfile a certified copy with the clerk.\nSubdivision (b) is derived from 28 U.S.C. \xc2\xa7753(f).\nSubdivision (c) is derived from former Bankruptcy Rule 511(c). This subdivision extends\nto a sound recording the same evidentiary status as a transcript under 28 U.S.C. \xc2\xa7773(b).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe words "with the clerk" in the final sentence of subdivision (a) are deleted as\nunnecessary. See Rules 5005(a) and 9001(3).\n\nRule 5008. Notice Regarding Presumption of Abuse in Chapter 7 Cases of\nIndividual Debtors\nIf a presumption of abuse has arisen under \xc2\xa7707(b) in a chapter 7 case of an individual with\nprimarily consumer debts, the clerk shall within 10 days after the date of the filing of the petition\nnotify creditors of the presumption of abuse in accordance with Rule 2002. If the debtor has not\nfiled a statement indicating whether a presumption of abuse has arisen, the clerk shall within 10\ndays after the date of the filing of the petition notify creditors that the debtor has not filed the\nstatement and that further notice will be given if a later filed statement indicates that a presumption\nof abuse has arisen. If a debtor later files a statement indicating that a presumption of abuse has\narisen, the clerk shall notify creditors of the presumption of abuse as promptly as practicable.\n(Added Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941991\nThis rule [Rule 5008. Funds of the Estate; abrogated Apr. 30, 1991, eff. Aug. 1, 1991] is\nabrogated in view of the amendments to \xc2\xa7345(b) of the Code and the role of the United States\ntrustee in approving bonds and supervising trustees.\nCommittee Notes on Rules\xe2\x80\x942008\nThis rule is new. The 2005 amendments to \xc2\xa7342 of the Code require that clerks give written\nnotice to all creditors not later than 10 days after the date of the filing of the petition that a\npresumption of abuse has arisen under \xc2\xa7707(b). A statement filed by the debtor will be the source\nof the clerk\'s information about the presumption of abuse. This rule enables the clerk to meet its\nobligation to send the notice within the statutory time period set forth in \xc2\xa7342. In the event that the\ncourt receives the debtor\'s statement after the clerk has sent the first notice, and the debtor\'s\nstatement indicates a presumption of abuse, the rule requires that the clerk send a second notice.\nChanges Made After Publication. No changes were made after publication.\n\nRule 5009. Closing Chapter 7 Liquidation, Chapter 12 Family Farmer\'s Debt\nAdjustment, Chapter 13 Individual\'s Debt Adjustment, and Chapter 15\nAncillary and Cross-Border Cases\n(a) Cases Under Chapters 7, 12, and 13. If in a chapter 7, chapter 12, or chapter 13 case the\n203\n\n\x0ctrustee has filed a final report and final account and has certified that the estate has been fully\nadministered, and if within 30 days no objection has been filed by the United States trustee or a\nparty in interest, there shall be a presumption that the estate has been fully administered.\n(b) Notice of Failure To File Rule 1007(b)(7) Statement. If an individual debtor in a\nchapter 7 or 13 case is required to file a statement under Rule 1007(b)(7) and fails to do so within\n45 days after the first date set for the meeting of creditors under \xc2\xa7341(a) of the Code, the clerk shall\npromptly notify the debtor that the case will be closed without entry of a discharge unless the\nrequired statement is filed within the applicable time limit under Rule 1007(c).\n(c) Cases Under Chapter 15. A foreign representative in a proceeding recognized under\n\xc2\xa71517 of the Code shall file a final report when the purpose of the representative\'s appearance in\nthe court is completed. The report shall describe the nature and results of the representative\'s\nactivities in the court. The foreign representative shall transmit the report to the United States\ntrustee, and give notice of its filing to the debtor, all persons or bodies authorized to administer\nforeign proceedings of the debtor, all parties to litigation pending in the United States in which the\ndebtor was a party at the time of the filing of the petition, and such other entities as the court may\ndirect. The foreign representative shall file a certificate with the court that notice has been given. If\nno objection has been filed by the United States trustee or a party in interest within 30 days after\nthe certificate is filed, there shall be a presumption that the case has been fully administered.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 28, 2010, eff. Dec. 1, 2010; Apr. 16,\n2013, eff. Dec. 1, 2013.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is the same as \xc2\xa7350(a) of the Code. An estate may be closed even though the\nperiod allowed by Rule 3002(c) for filing claims has not expired. The closing of a case may be\nexpedited when a notice of no dividends is given under Rule 2002(e). Dismissal of a case for want\nof prosecution or failure to pay filing fees is governed by Rule 1017.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe final report and account of the trustee is required to be filed with the court and the\nUnited States trustee under \xc2\xa7\xc2\xa7704(9), 1202(b)(1), and 1302(b)(1) of the Code. This amendment\nfacilitates the United States trustee\'s performance of statutory duties to supervise trustees and\nadminister cases under chapters 7, 12, and 13 pursuant to 28 U.S.C. \xc2\xa7586. In the absence of a\ntimely objection by the United States trustee or a party in interest, the court may discharge the\ntrustee and close the case pursuant to \xc2\xa7350(a) without the need to review the final report and\naccount or to determine the merits of the trustee\'s certification that the estate has been fully\nadministered.\nRule 3022 governs the closing of chapter 11 cases.\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nSubdivisions (a) and (b). The rule is amended to redesignate the former rule as subdivision\n(a) and to add new subdivisions (b) and (c) to the rule. Subdivision (b) requires the clerk to provide\nnotice to an individual debtor in a chapter 7 or 13 case that the case may be closed without the entry\nof a discharge due to the failure of the debtor to file a timely statement of completion of a personal\nfinancial management course. The purpose of the notice is to provide the debtor with an\n204\n\n\x0copportunity to complete the course and file the appropriate document prior to the filing deadline.\nTimely filing of the document avoids the need for a motion to extend the time retroactively. It also\navoids the potential for closing the case without discharge, and the possible need to pay an\nadditional fee in connection with reopening. Timely filing also benefits the clerk\'s office by\nreducing the number of instances in which cases must be reopened.\nSubdivision (c). Subdivision (c) requires a foreign representative in a chapter 15 case to file\na final report setting out the foreign representative\'s actions and results obtained in the United\nStates court. It also requires the foreign representative to give notice of the filing of the report, and\nprovides interested parties with 30 days to object to the report after the foreign representative has\ncertified that notice has been given. In the absence of a timely objection, a presumption arises that\nthe case is fully administered, and the case may be closed.\nChanges Made After Publication. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942013 Amendment\nSubdivision (b) is amended to conform to the amendment of Rule 1007(b)(7). Rule\n1007(b)(7) relieves an individual debtor of the obligation to file a statement of completion of a\npersonal financial management course if the course provider notifies the court that the debtor has\ncompleted the course. The clerk\'s duty under subdivision (b) to notify the debtor of the possible\nclosure of the case without discharge if the statement is not timely filed therefore applies only if\nthe course provider has not already notified the court of the debtor\'s completion of the course.\nChanges Made After Publication and Comment. No changes were made after publication\nand comment.\n\nRule 5010. Reopening Cases\nA case may be reopened on motion of the debtor or other party in interest pursuant to\n\xc2\xa7350(b) of the Code. In a chapter 7, 12, or 13 case a trustee shall not be appointed by the United\nStates trustee unless the court determines that a trustee is necessary to protect the interests of\ncreditors and the debtor or to insure efficient administration of the case.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSection 350(b) of the Code provides: "A case may be reopened in the court in which such\ncase was closed to administer assets, to accord relief to the debtor, or for other cause."\nRule 9024, which incorporates Rule 60 F.R.Civ.P., exempts motions to reopen cases under\nthe Code from the one year limitation of Rule 60(b).\nAlthough a case has been closed the court may sometimes act without reopening the case.\nUnder Rule 9024, clerical errors in judgments, orders, or other parts of the record or errors therein\ncaused by oversight or omission may be corrected. A judgment determined to be\nnon-dischargeable pursuant to Rule 4007 may be enforced after a case is closed by a writ of\nexecution obtained pursuant to Rule 7069.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\n\n205\n\n\x0cIn order to avoid unnecessary cost and delay, the rule is amended to permit reopening of a\ncase without the appointment of a trustee when the services of a trustee are not needed.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to conform to the 1986 amendments to the Code that give the United\nStates trustee the duty to appoint trustees in chapter 7, 12 and 13 cases. See \xc2\xa7\xc2\xa7701, 702(d),\n1202(a), and 1302(a) of the Code. In most reopened cases, a trustee is not needed because there are\nno assets to be administered. Therefore, in the interest of judicial economy, this rule is amended so\nthat a motion will not be necessary unless the United States trustee or a party in interest seeks the\nappointment of a trustee in the reopened case.\n\nRule 5011. Withdrawal and Abstention from Hearing a Proceeding\n(a) Withdrawal. A motion for withdrawal of a case or proceeding shall be heard by a\ndistrict judge.\n(b) Abstention From Hearing a Proceeding. A motion for abstention pursuant to 28 U.S.C.\n\xc2\xa71334(c) shall be governed by Rule 9014 and shall be served on the parties to the proceeding.\n(c) Effect of Filing of Motion for Withdrawal or Abstention. The filing of a motion for\nwithdrawal of a case or proceeding or for abstention pursuant to 28 U.S.C. \xc2\xa71334(c) shall not stay\nthe administration of the case or any proceeding therein before the bankruptcy judge except that\nthe bankruptcy judge may stay, on such terms and conditions as are proper, proceedings pending\ndisposition of the motion. A motion for a stay ordinarily shall be presented first to the bankruptcy\njudge. A motion for a stay or relief from a stay filed in the district court shall state why it has not\nbeen presented to or obtained from the bankruptcy judge. Relief granted by the district judge shall\nbe on such terms and conditions as the judge deems proper.\n(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941987\nMotions for withdrawal pursuant to 28 U.S.C. \xc2\xa7157(d) or abstention pursuant to 28 U.S.C.\n\xc2\xa71334(c), like all other motions, are to be filed with the clerk as required by Rule 5005(a). If a\nbankruptcy clerk has been appointed for the district, all motions are filed with the bankruptcy\nclerk. The method for forwarding withdrawal motions to the district court will be established by\nadministrative procedures.\nSubdivision (a). Section 157(d) permits the district court to order withdrawal on its own\nmotion or the motion of a party. Subdivision (a) of this rule makes it clear that the bankruptcy\njudge will not conduct hearings on a withdrawal motion. The withdrawal decision is committed\nexclusively to the district court.\nSubdivision (b). A decision to abstain under 28 U.S.C. \xc2\xa71334(c) is not appealable. The\ndistrict court is vested originally with jurisdiction and the decision to relinquish that jurisdiction\nmust ultimately be a matter for the district court. The bankruptcy judge ordinarily will be in the\nbest position to evaluate the grounds asserted for abstention. This subdivision (b) provides that the\ninitial hearing on the motion is before the bankruptcy judge. The procedure for review of the report\nand recommendation are governed by Rule 9033.\nThis rule does not apply to motions under \xc2\xa7305 of the Code for abstention from hearing a\n206\n\n\x0ccase. Judicial decisions will determine the scope of the bankruptcy judge\'s authority under \xc2\xa7305.\nSubdivision (c). Unless the court so orders, proceedings are not stayed when motions are\nfiled for withdrawal or for abstention from hearing a proceeding. Because of the district court\'s\nauthority over cases and proceedings, the subdivision authorizes the district court to order a stay or\nmodify a stay ordered by the bankruptcy judge.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (b) is amended to delete the restriction that limits the role of the bankruptcy\ncourt to the filing of a report and recommendation for disposition of a motion for abstention under\n28 U.S.C. \xc2\xa71334(c)(2). This amendment is consistent with \xc2\xa7309(b) of the Judicial Improvements\nAct of 1990 which amended \xc2\xa71334(c)(2) so that it allows an appeal to the district court of a\nbankruptcy court\'s order determining an abstention motion. This subdivision is also amended to\nclarify that the motion is a contested matter governed by Rule 9014 and that it must be served on\nall parties to the proceeding which is the subject of the motion.\n\nRule 5012. Agreements Concerning Coordination of Proceedings in Chapter\n15 Cases\nApproval of an agreement under \xc2\xa71527(4) of the Code shall be sought by motion. The\nmovant shall attach to the motion a copy of the proposed agreement or protocol and, unless the\ncourt directs otherwise, give at least 30 days\' notice of any hearing on the motion by transmitting\nthe motion to the United States trustee, and serving it on the debtor, all persons or bodies\nauthorized to administer foreign proceedings of the debtor, all entities against whom provisional\nrelief is being sought under \xc2\xa71519, all parties to litigation pending in the United States in which the\ndebtor was a party at the time of the filing of the petition, and such other entities as the court may\ndirect.\n(Added Apr. 28, 2010, eff. Dec. 1, 2010.)\nCommittee Notes on Rules\xe2\x80\x942010\nThis rule is new. In chapter 15 cases, any party in interest may seek approval of an\nagreement, frequently referred to as a "protocol," that will assist with the conduct of the case.\nBecause the needs of the courts and the parties may vary greatly from case to case, the rule does\nnot attempt to limit the form or scope of a protocol. Rather, the rule simply requires that approval\nof a particular protocol be sought by motion, and designates the persons entitled to notice of the\nhearing on the motion. These agreements, or protocols, drafted entirely by parties in interest in the\ncase, are intended to provide valuable assistance to the court in the management of the case.\nInterested parties may find guidelines published by organizations, such as the American Law\nInstitute and the International Insolvency Institute, helpful in crafting agreements or protocols to\napply in a particular case.\nChanges Made After Publication. No changes since publication.\n\n207\n\n\x0cPART VI\xe2\x80\x94COLLECTION AND LIQUIDATION OF THE ESTATE\nRule 6001. Burden of Proof As to Validity of Postpetition Transfer\nAny entity asserting the validity of a transfer under \xc2\xa7549 of the Code shall have the burden\nof proof.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 603. The Act contained, in \xc2\xa770d, a\nprovision placing the burden of proof on the same person as did Rule 603. The Code does not\ncontain any directive with respect to the burden of proof. This omission, in all probability, resulted\nfrom the intention to leave matters affecting evidence to these rules. See H. Rep. No. 95\xe2\x80\x93595, 95th\nCong. 1st Sess. (1977) 293.\n\nRule 6002. Accounting by Prior Custodian of Property of the Estate\n(a) Accounting Required. Any custodian required by the Code to deliver property in the\ncustodian\'s possession or control to the trustee shall promptly file and transmit to the United States\ntrustee a report and account with respect to the property of the estate and the administration\nthereof.\n(b) Examination of Administration. On the filing and transmittal of the report and account\nrequired by subdivision (a) of this rule and after an examination has been made into the superseded\nadministration, after notice and a hearing, the court shall determine the propriety of the\nadministration, including the reasonableness of all disbursements.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n"Custodian" is defined in \xc2\xa7101(10) of the Code. The definition includes a trustee or\nreceiver appointed in proceedings not under the Code, as well as an assignee for the benefit of\ncreditors.\nThis rule prescribes the procedure to be followed by a custodian who under \xc2\xa7543 of the\nCode is required to deliver property to the trustee and to account for its disposition. The\nexamination under subdivision (b) may be initiated (1) on the motion of the custodian required to\naccount under subdivision (a) for an approval of his account and discharge thereon, (2) on the\nmotion of, or the filing of an objection to the custodian\'s account by, the trustee or any other party\nin interest, or (3) on the court\'s own initiative. Rule 9014 applies to any contested matter arising\nunder this rule.\nSection 543(d) is similar to an abstention provision. It grants the bankruptcy court\ndiscretion to permit the custodian to remain in possession and control of the property. In that event,\nthe custodian is excused from complying with \xc2\xa7543(a)\xe2\x80\x93(c) and thus would not be required to turn\n208\n\n\x0cover the property to the trustee. When there is no duty to turn over to the trustee, Rule 6002 would\nnot be applicable.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to enable the United States trustee to review, object to, or to otherwise\nbe heard regarding the custodian\'s report and accounting. See \xc2\xa7\xc2\xa7307 and 543 of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nSubdivision (b) is amended to conform to the language of \xc2\xa7102(1) of the Code.\n\nRule 6003. Interim and Final Relief Immediately Following the\nCommencement of the Case\xe2\x80\x94Applications for Employment; Motions for Use,\nSale, or Lease of Property; and Motions for Assumption or Assignment of\nExecutory Contracts\nExcept to the extent that relief is necessary to avoid immediate and irreparable harm, the\ncourt shall not, within 21 days after the filing of the petition, issue an order granting the following:\n(a) an application under Rule 2014;\n(b) a motion to use, sell, lease, or otherwise incur an obligation regarding property of the\nestate, including a motion to pay all or part of a claim that arose before the filing of the petition, but\nnot a motion under Rule 4001; or\n(c) a motion to assume or assign an executory contract or unexpired lease in accordance\nwith \xc2\xa7365.\n(Added Apr. 30, 2007, eff. Dec. 1, 2007; amended Mar. 26, 2009, eff. Dec. 1, 2009; Apr.\n26, 2011, eff. Dec. 1, 2011.)\nNotes of Advisory Committee on Rules\xe2\x80\x941991\nThis rule [Former Rule 6003\xe2\x80\x94Disbursement of Money of the Estate (Abrogated Apr. 30,\n1991, eff. Aug. 1, 1991)] is abrogated in view of the role of the United States trustee in supervising\ntrustees. Use of estate funds by a trustee or debtor in possession is governed by \xc2\xa7363 of the Code.\nCommittee Notes on Rules\xe2\x80\x942007\nThere can be a flurry of activity during the first days of a bankruptcy case. This activity\nfrequently takes place prior to the formation of a creditors\' committee, and it also can include\nsubstantial amounts of materials for the court and parties in interest to review and evaluate. This\nrule is intended to alleviate some of the time pressures present at the start of a case so that full and\nclose consideration can be given to matters that may have a fundamental impact on the case.\nThe rule provides that the court cannot grant relief on applications for the employment of\nprofessional persons, motions for the use, sale, or lease of property of the estate other than such a\nmotion under Rule 4001, and motions to assume or assign executory contracts and unexpired\nleases for the first 20 days of the case, unless granting relief is necessary to avoid immediate and\nirreparable harm. This standard is taken from Rule 4001(b)(2) and (c)(2), and decisions under\n209\n\n\x0cthose provisions should provide guidance for the application of this provision.\nThis rule does not govern motions and applications made more than 20 days after the filing\nof the petition.\nChanges After Publication. Subdivision (c) was amended by deleting the reference to the\nrejection of executory contracts or unexpired leases. The rule, as revised, now limits only the\nassumption or assignment of executory contracts or unexpired leases in that subdivision.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nCommittee Notes on Rules\xe2\x80\x942011 Amendment\nThe rule is amended to clarify that it limits the timing of the entry of certain orders, but\ndoes not prevent the court from providing an effective date for such an order that may relate back\nto the time of the filing of the application or motion, or to some other date. For example, while the\nrule prohibits, absent immediate and irreparable harm, the court from authorizing the employment\nof counsel during the first 21 days of a case, it does not prevent the court from providing in an\norder entered after expiration of the 21-day period that the relief requested in the motion or\napplication is effective as of a date earlier than the issuance of the order. Nor does it prohibit the\nfiling of an application or motion for relief prior to expiration of the 21-day period. Nothing in the\nrule prevents a professional from representing the trustee or a debtor in possession pending the\napproval of an application for the approval of the employment under Rule 2014.\nThe amendment also clarifies that the scope of the rule is limited to granting the\nspecifically identified relief set out in the subdivisions of the rule. Deleting "regarding" from the\nrule clarifies that the rule does not prohibit the court from entering orders in the first 21 days of the\ncase that may relate to the motions and applications set out in (a), (b), and (c); it is only prohibited\nfrom granting the relief requested by those motions or applications. For example, in the first 21\ndays of the case, the court could grant the relief requested in a motion to establish bidding\nprocedures for the sale of property of the estate, but it could not, absent immediate and irreparable\nharm, grant a motion to approve the sale of property.\nChanges Made After Publication. Minor stylistic changes were made to the Committee\nNote following publication.\n\nRule 6004. Use, Sale, or Lease of Property\n(a) Notice of Proposed Use, Sale, or Lease of Property. Notice of a proposed use, sale, or\nlease of property, other than cash collateral, not in the ordinary course of business shall be given\n210\n\n\x0cpursuant to Rule 2002(a)(2), (c)(1), (i), and (k) and, if applicable, in accordance with \xc2\xa7363(b)(2) of\nthe Code.\n(b) Objection to Proposal. Except as provided in subdivisions (c) and (d) of this rule, an\nobjection to a proposed use, sale, or lease of property shall be filed and served not less than seven\ndays before the date set for the proposed action or within the time fixed by the court. An objection\nto the proposed use, sale, or lease of property is governed by Rule 9014.\n(c) Sale Free and Clear of Liens and Other Interests. A motion for authority to sell property\nfree and clear of liens or other interests shall be made in accordance with Rule 9014 and shall be\nserved on the parties who have liens or other interests in the property to be sold. The notice\nrequired by subdivision (a) of this rule shall include the date of the hearing on the motion and the\ntime within which objections may be filed and served on the debtor in possession or trustee.\n(d) Sale of Property Under $2,500. Notwithstanding subdivision (a) of this rule, when all of\nthe nonexempt property of the estate has an aggregate gross value less than $2,500, it shall be\nsufficient to give a general notice of intent to sell such property other than in the ordinary course of\nbusiness to all creditors, indenture trustees, committees appointed or elected pursuant to the Code,\nthe United States trustee and other persons as the court may direct. An objection to any such sale\nmay be filed and served by a party in interest within 14 days of the mailing of the notice, or within\nthe time fixed by the court. An objection is governed by Rule 9014.\n(e) Hearing. If a timely objection is made pursuant to subdivision (b) or (d) of this rule, the\ndate of the hearing thereon may be set in the notice given pursuant to subdivision (a) of this rule.\n(f) Conduct of Sale Not in the Ordinary Course of Business.\n(1) Public or Private Sale. All sales not in the ordinary course of business may be by\nprivate sale or by public auction. Unless it is impracticable, an itemized statement of the property\nsold, the name of each purchaser, and the price received for each item or lot or for the property as\na whole if sold in bulk shall be filed on completion of a sale. If the property is sold by an\nauctioneer, the auctioneer shall file the statement, transmit a copy thereof to the United States\ntrustee, and furnish a copy to the trustee, debtor in possession, or chapter 13 debtor. If the property\nis not sold by an auctioneer, the trustee, debtor in possession, or chapter 13 debtor shall file the\nstatement and transmit a copy thereof to the United States trustee.\n(2) Execution of Instruments. After a sale in accordance with this rule the debtor, the\ntrustee, or debtor in possession, as the case may be, shall execute any instrument necessary or\nordered by the court to effectuate the transfer to the purchaser.\n(g) Sale of Personally Identifiable Information.\n(1) Motion. A motion for authority to sell or lease personally identifiable information under\n\xc2\xa7363(b)(1)(B) shall include a request for an order directing the United States trustee to appoint a\nconsumer privacy ombudsman under \xc2\xa7332. Rule 9014 governs the motion which shall be served\non: any committee elected under \xc2\xa7705 or appointed under \xc2\xa71102 of the Code, or if the case is a\nchapter 11 reorganization case and no committee of unsecured creditors has been appointed under\n\xc2\xa71102, on the creditors included on the list of creditors filed under Rule 1007(d); and on such other\nentities as the court may direct. The motion shall be transmitted to the United States trustee.\n(2) Appointment. If a consumer privacy ombudsman is appointed under \xc2\xa7332, no later than\nseven days before the hearing on the motion under \xc2\xa7363(b)(1)(B), the United States trustee shall\nfile a notice of the appointment, including the name and address of the person appointed. The\nUnited States trustee\'s notice shall be accompanied by a verified statement of the person appointed\nsetting forth the person\'s connections with the debtor, creditors, any other party in interest, their\n211\n\n\x0crespective attorneys and accountants, the United States trustee, or any person employed in the\noffice of the United States trustee.\n(h) Stay of Order Authorizing Use, Sale, or Lease of Property. An order authorizing the\nuse, sale, or lease of property other than cash collateral is stayed until the expiration of 14 days\nafter entry of the order, unless the court orders otherwise.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26,\n1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivisions (a) and (b). Pursuant to \xc2\xa7363(b) of the Code, a trustee or debtor in possession\nmay use, sell, or lease property other than in the ordinary course of business only after notice and\nhearing. Rule 2002(a), (c) and (i) specifies the time when notice of sale is to be given, the contents\nof the notice and the persons to whom notice is to be given of sales of property. Subdivision (a)\nmakes those provisions applicable as well to notices for proposed use and lease of property.\nThe Code does not provide the time within which parties may file objections to a proposed\nsale. Subdivision (b) of the rule requires the objection to be in writing and filed not less than five\ndays before the proposed action is to take place. The objection should also be served within that\ntime on the person who is proposing to take the action which would be either the trustee or debtor\nin possession. This time period is subject to change by the court. In some instances there is a need\nto conduct a sale in a short period of time and the court is given discretion to tailor the\nrequirements to the circumstances.\nSubdivision (c). In some situations a notice of sale for different pieces of property to all\npersons specified in Rule 2002(a) may be uneconomic and inefficient. This is particularly true in\nsome chapter 7 liquidation cases when there is property of relatively little value which must be\nsold by the trustee. Subdivision (c) allows a general notice of intent to sell when the aggregate\nvalue of the estate\'s property is less than $2,500. The gross value is the value of the property\nwithout regard to the amount of any debt secured by a lien on the property. It is not necessary to\ngive a detailed notice specifying the time and place of a particular sale. Thus, the requirements of\nRule 2002(c) need not be met. If this method of providing notice of sales is used, the subdivision\nspecifies that parties in interest may serve and file objections to the proposed sale of any property\nwithin the class and the time for service and filing is fixed at not later than 15 days after mailing the\nnotice. The court may fix a different time. Subdivision (c) would have little utility in chapter 11\ncases. Pursuant to Rule 2002(i), the court can limit notices of sale to the creditors\' committee\nappointed under \xc2\xa71102 of the Code and the same burdens present in a small chapter 7 case would\nnot exist.\nSubdivision (d). If a timely objection is filed, a hearing is required with respect to the use,\nsale, or lease of property. Subdivision (d) renders the filing of an objection tantamount to\nrequesting a hearing so as to require a hearing pursuant to \xc2\xa7\xc2\xa7363(b) and 102(l)(B)(i).\nSubdivision (e) is derived in part from former Bankruptcy Rule 606(b) but does not carry\nforward the requirement of that rule that court approval be obtained for sales of property. Pursuant\nto \xc2\xa7363(b) court approval is not required unless timely objection is made to the proposed sale. The\nitemized statement or information required by the subdivision is not necessary when it would be\nimpracticable to prepare it or set forth the information. For example, a liquidation sale of retail\ngoods although not in the ordinary course of business may be on a daily ongoing basis and only\nsummaries may be available.\n212\n\n\x0cThe duty imposed by paragraph (2) does not affect the power of the bankruptcy court to\norder third persons to execute instruments transferring property purchased at a sale under this\nsubdivision. See, e.g., In re Rosenberg, 138 F.2d 409 (7th Cir. 1943).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended to conform to the 1984 amendments to \xc2\xa7363(b)(2) of the Code.\nSubdivision (b) is amended to provide that an objection to a proposed use, sale, or lease of\nproperty creates a contested matter governed by Rule 9014. A similar amendment is made to\nsubdivision (d), which was formerly subdivision (c).\nSubdivision (c) is new. Section 363(f) provides that sales free and clear of liens or other\ninterests are only permitted if one of the five statutory requirements is satisfied. Rule 9013 requires\nthat a motion state with particularity the grounds relied upon by the movant. A motion for approval\nof a sale free and clear of liens or other interests is subject to Rule 9014, service must be made on\nthe parties holding liens or other interests in the property, and notice of the hearing on the motion\nand the time for filing objections must be included in the notice given under subdivision (a).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to provide notice to the United States trustee of a proposed use, sale or\nlease of property not in the ordinary course of business. See Rule 2002(k). Subdivision (f)(1) is\namended to enable the United States trustee to monitor the progress of the case in accordance with\n28 U.S.C. \xc2\xa7586(a)(3)(G).\nThe words "with the clerk" in subdivision (f)(1) are deleted as unnecessary. See Rules\n5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nSubdivision (g) is added to provide sufficient time for a party to request a stay pending\nappeal of an order authorizing the use, sale, or lease of property under \xc2\xa7363(b) of the Code before\nthe order is implemented. It does not affect the time for filing a notice of appeal in accordance with\nRule 8002.\nRule 6004(g) does not apply to orders regarding the use of cash collateral and does not\naffect the trustee\'s right to use, sell, or lease property without a court order to the extent permitted\nunder \xc2\xa7363 of the Code.\nThe court may, in its discretion, order that Rule 6004(g) is not applicable so that the\nproperty may be used, sold, or leased immediately in accordance with the order entered by the\ncourt. Alternatively, the court may order that the stay under Rule 6004(g) is for a fixed period less\nthan 10 days.\nGAP Report on Rule 6004. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended by inserting a new subdivision (g) to implement \xc2\xa7\xc2\xa7332 and\n363(b)(1)(B) of the Code, added by the 2005 amendments. This rule governs the proposed transfer\nof personally identifiable information in a manner inconsistent with any policy covering the\ntransfer of the information. Rule 2002(c)(1) requires the seller to state in the notice of the sale or\n213\n\n\x0clease whether the transfer is consistent with and policy governing the transfer of the information.\nUnder \xc2\xa7332 of the Code, the consumer privacy ombudsman must be appointed at least five\ndays prior to the hearing on a sale or lease of personally identifiable information. In an appropriate\ncase, the consumer privacy ombudsman may seek a continuance of the hearing on the proposed\nsale to perform the tasks required of the ombudsman by \xc2\xa7332 of the Code.\nFormer subdivision (g) is redesignated as subdivision (h).\nChanges Made After Publication. The Committee Note was amended to highlight the\nconnection between this rule and Rule 2002 with regard to the obligation to provide notice of\nproposed transactions. It was also amended to recognize the ability of the consumer privacy\nombudsman to seek a continuance of a hearing on the proposed sale of personally identifiable\ninformation.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 6005. Appraisers and Auctioneers\nThe order of the court approving the employment of an appraiser or auctioneer shall fix the\namount or rate of compensation. No officer or employee of the Judicial Branch of the United States\nor the United States Department of Justice shall be eligible to act as appraiser or auctioneer. No\nresidence or licensing requirement shall disqualify an appraiser or auctioneer from employment.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 606(c) and implements \xc2\xa7327 of the\nCode. Pursuant to \xc2\xa7327, the trustee or debtor in possession may employ one or more appraisers or\nauctioneers, subject to court approval. This rule requires the court order approving such\nemployment to fix the amount or rate of compensation. The second sentence of the former rule is\nretained to continue to safeguard against imputations of favoritism which detract from public\nconfidence in bankruptcy administration. The final sentence is to guard against imposition of\nparochial requirements not warranted by any consideration having to do with sound bankruptcy\nadministration.\nReference should also be made to Rule 2013(a) regarding the limitation on employment of\nappraisers and auctioneers, and Rule 2014(a) regarding the application for appointment of an\nappraiser or auctioneer.\n\nRule 6006. Assumption, Rejection or Assignment of an Executory Contract or\n214\n\n\x0cUnexpired Lease\n(a) Proceeding To Assume, Reject, or Assign. A proceeding to assume, reject, or assign an\nexecutory contract or unexpired lease, other than as part of a plan, is governed by Rule 9014.\n(b) Proceeding To Require Trustee To Act. A proceeding by a party to an executory\ncontract or unexpired lease in a chapter 9 municipality case, chapter 11 reorganization case,\nchapter 12 family farmer\'s debt adjustment case, or chapter 13 individual\'s debt adjustment case, to\nrequire the trustee, debtor in possession, or debtor to determine whether to assume or reject the\ncontract or lease is governed by Rule 9014.\n(c) Notice. Notice of a motion made pursuant to subdivision (a) or (b) of this rule shall be\ngiven to the other party to the contract or lease, to other parties in interest as the court may direct,\nand, except in a chapter 9 municipality case, to the United States trustee.\n(d) Stay of Order Authorizing Assignment. An order authorizing the trustee to assign an\nexecutory contract or unexpired lease under \xc2\xa7365(f) is stayed until the expiration of 14 days after\nthe entry of the order, unless the court orders otherwise.\n(e) Limitations. The trustee shall not seek authority to assume or assign multiple executory\ncontracts or unexpired leases in one motion unless: (1) all executory contracts or unexpired leases\nto be assumed or assigned are between the same parties or are to be assigned to the same assignee;\n(2) the trustee seeks to assume, but not assign to more than one assignee, unexpired leases of real\nproperty; or (3) the court otherwise authorizes the motion to be filed. Subject to subdivision (f), the\ntrustee may join requests for authority to reject multiple executory contracts or unexpired leases in\none motion.\n(f) Omnibus Motions. A motion to reject or, if permitted under subdivision (e), a motion to\nassume or assign multiple executory contracts or unexpired leases that are not between the same\nparties shall:\n(1) state in a conspicuous place that parties receiving the omnibus motion should locate\ntheir names and their contracts or leases listed in the motion;\n(2) list parties alphabetically and identify the corresponding contract or lease;\n(3) specify the terms, including the curing of defaults, for each requested assumption or\nassignment;\n(4) specify the terms, including the identity of each assignee and the adequate assurance of\nfuture performance by each assignee, for each requested assignment;\n(5) be numbered consecutively with other omnibus motions to assume, assign, or reject\nexecutory contracts or unexpired leases; and\n(6) be limited to no more than 100 executory contracts or unexpired leases.\n(g) Finality of Determination. The finality of any order respecting an executory contract or\nunexpired lease included in an omnibus motion shall be determined as though such contract or\nlease had been the subject of a separate motion.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 30 2007, eff. Dec. 1, 2007; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n\n215\n\n\x0cSection 365(a) of the Code requires court approval for the assumption or rejection of an\nexecutory contract by the trustee or debtor in possession. The trustee or debtor in possession may\nalso assign an executory contract, \xc2\xa7365(f)(1), but must first assume the contract, \xc2\xa7365(f)(2). Rule\n6006 provides a procedure for obtaining court approval. It does not apply to the automatic\nrejection of contracts which are not assumed in chapter 7 liquidation cases within 60 days after the\norder for relief, or to the assumption or rejection of contracts in a plan pursuant to \xc2\xa71123(b)(2) or\n\xc2\xa71322(b)(7).\nSubdivision (a) by referring to Rule 9014 requires a motion to be brought for the\nassumption, rejection, or assignment of an executory contract. Normally, the motion will be\nbrought by the trustee, debtor in possession or debtor in a chapter 9 or chapter 13 case. The\nauthorization to assume a contract and to assign it may be sought in a single motion and\ndetermined by a single order.\nSubdivision (b) makes applicable the same motion procedure when the other party to the\ncontract seeks to require the chapter officer to take some action. Section 365(d)(2) recognizes that\nthis procedure is available to these contractual parties. This provision of the Code and subdivision\nof the rule apply only in chapter 9, 11 and 13 cases. A motion is not necessary in chapter 7 cases\nbecause in those cases a contract is deemed rejected if the trustee does not timely assume it.\nSubdivision (c) provides for the court to set a hearing on a motion made under subdivision\n(a) or (b). The other party to the contract should be given appropriate notice of the hearing and the\ncourt may order that other parties in interest, such as a creditors\' committee, also be given notice.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivisions (a) and (b) are amended to conform to the 1984 amendment to \xc2\xa7365 of the\nCode, which governs assumption or rejection of time share interests.\nSection 1113, governing collective bargaining agreements, was added to the Code in 1984.\nIt sets out requirements that must be met before a collective bargaining agreement may be rejected.\nThe application to reject a collective bargaining agreement referred to in \xc2\xa71113 shall be made by\nmotion. The motion to reject creates a contested matter under Rule 9014, and service is made\npursuant to Rule 7004 on the representative of the employees. The time periods set forth in\n\xc2\xa71113(d) govern the scheduling of the hearing and disposition of a motion to reject the agreement.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nReferences to time share interests are deleted as unnecessary. Time share interests are\nwithin the scope of this rule to the extent that they are governed by \xc2\xa7365 of the Code.\nSubdivision (b) is amended to include chapter 12 cases.\nSubdivision (c) is amended to enable the United States trustee to appear and be heard on the\nissues relating to the assumption or rejection of executory contracts and unexpired leases. See\n\xc2\xa7\xc2\xa7307, 365, and 1113 of the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nThis rule is amended to delete the requirement for an actual hearing when no request for a\nhearing is made. See Rule 9014.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\n216\n\n\x0cSubdivision (d) is added to provide sufficient time for a party to request a stay pending\nappeal of an order authorizing the assignment of an executory contract or unexpired lease under\n\xc2\xa7365(f) of the Code before the assignment is consummated. The stay under subdivision (d) does\nnot affect the time for filing a notice of appeal in accordance with Rule 8002.\nThe court may, in its discretion, order that Rule 6006(d) is not applicable so that the\nexecutory contract or unexpired lease may be assigned immediately in accordance with the order\nentered by the court. Alternatively, the court may order that the stay under Rule 6006(d) is for a\nfixed period less than 10 days.\nGAP Report on Rule 6006. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942007 Amendment\nThe rule is amended to authorize the use of omnibus motions to reject multiple executory\ncontracts and unexpired leases. In some cases there may be numerous executory contracts and\nunexpired leases, and this rule permits the combining of up to one hundred of these contracts and\nleases in a single motion to initiate the contested matter.\nThe rule also is amended to authorize the use of a single motion to assume or assign\nexecutory contracts and unexpired leases (i) when such contracts and leases are with a single\nnondebtor party, (ii) when such contracts and leases are being assigned to the same assignee, (iii)\nwhen the trustee proposes to assume, but not assign to more than one assignee, real property\nleases, or (iv) the court authorizes the filing of a joint motion to assume or to assume and assign\nexecutory contracts and unexpired leases under other circumstances that are not specifically\nrecognized in the rule.\nAn omnibus motion to assume, assign, or reject multiple executory contracts and\nunexpired leases must comply with the procedural requirements set forth in subdivision (f) of the\nrule, unless the court orders otherwise. These requirements are intended to ensure that the\nnondebtor parties to the contracts and leases receive effective notice of the motion. Among those\nrequirements is the requirement in subdivision (f)(5) that these motions be consecutively\nnumbered (e.g., Debtor in Possession\'s First Omnibus Motion for Authority to Assume Executory\nContracts and Unexpired Leases, Debtor in Possession\'s Second Omnibus Motion for Authority to\nAssume Executory Contracts and Unexpired Leases, etc.). There may be a need for several of\nthese motions in a particular case. Numbering the motions consecutively is essential to keep track\nof these motions on the court\'s docket and should avoid confusion that might otherwise result from\nsimilar or identically-titled motions.\nSubdivision (g) of the rule provides that the finality of any order respecting an executory\ncontract or unexpired lease included in an omnibus motion shall be determined as though such\ncontract or lease had been the subject of a separate motion. A party seeking to appeal any such\norder is neither required, nor permitted, to await the court\'s resolution of all other contracts or\nleases included in the omnibus motion to obtain appellate review of the order. The rule permits the\nlisting of multiple contracts or leases for convenience, and that convenience should not impede\ntimely review of the court\'s decision with respect to each contract or lease.\nChanges After Publication. Subdivision (e) of the proposed rule was amended as suggested\nby the NBC to insert a third category of requests that the trustee may make under an omnibus\nmotion. The list of categories was numbered, and the new category is set out in (e)(2).\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\n217\n\n\x0cThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 6007. Abandonment or Disposition of Property\n(a) Notice of Proposed Abandonment or Disposition; Objections; Hearing. Unless\notherwise directed by the court, the trustee or debtor in possession shall give notice of a proposed\nabandonment or disposition of property to the United States trustee, all creditors, indenture\ntrustees, and committees elected pursuant to \xc2\xa7705 or appointed pursuant to \xc2\xa71102 of the Code. A\nparty in interest may file and serve an objection within 14 days of the mailing of the notice, or\nwithin the time fixed by the court. If a timely objection is made, the court shall set a hearing on\nnotice to the United States trustee and to other entities as the court may direct.\n(b) Motion by Party in Interest. A party in interest may file and serve a motion requiring the\ntrustee or debtor in possession to abandon property of the estate.\n[(c) Hearing] (Abrogated Apr. 22, 1993, eff. Aug. 1, 1993)\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSections 554 and 725 of the Code permit and require abandonment and disposition of\nproperty of the estate. Pursuant to \xc2\xa7554, the trustee may abandon property but only after notice and\nhearing. This section is applicable in chapter 7, 11 and 13 cases. Section 725 requires the trustee to\ndispose of property in which someone other than the estate has an interest, prior to final\ndistribution. It applies only in chapter 7 cases. Notice and hearing are also required conditions.\nSection 102(1) provides that "notice and hearing" is construed to mean appropriate notice and an\nopportunity for a hearing. Neither \xc2\xa7554 nor \xc2\xa7725 specify to whom the notices are to be sent. This\nrule does not apply to \xc2\xa7554(c). Pursuant to that subsection, property is deemed abandoned if it is\nnot administered. A hearing is not required by the statute.\nSubdivision (a) requires the notices to be sent to all creditors, indenture trustees, and\ncommittees elected under \xc2\xa7705 or appointed under \xc2\xa71102 of the Code. This may appear\nburdensome, expensive and inefficient but the subdivision is in keeping with the Code\'s\nrequirement for notice and the Code\'s intent to remove the bankruptcy judge from undisputed\nmatters. The burden, expense and inefficiency can be alleviated in large measure by incorporating\nthe notice into or together with the notice of the meeting of creditors so that separate notices would\nnot be required.\nSubdivision (b) implements \xc2\xa7554(b) which specifies that a party in interest may request an\norder that the trustee abandon property. The rule specifies that the request be by motion and,\n218\n\n\x0cpursuant to the Code, lists the parties who should receive notice.\nSubdivision (c) requires a hearing when an objection under subdivision (a) is filed or a\nmotion under subdivision (b) is made. Filing of an objection is sufficient to require a hearing; a\nseparate or joined request for a hearing is unnecessary since the objection itself is tantamount to\nsuch a request.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to conform to the 1986 amendments to 28 U.S.C. \xc2\xa7586(a) and to the\nCode. The United States trustee monitors the progress of the case and has standing to raise, appear\nand be heard on the issues relating to the abandonment or other disposition of property. See \xc2\xa7\xc2\xa7307\nand 554 of the Code. Committees of retired employees appointed under \xc2\xa71114 are not entitled to\nnotice under subdivision (a) of this rule.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nThis rule is amended to clarify that when a motion is made pursuant to subdivision (b), a\nhearing is not required if a hearing is not requested or if there is no opposition to the motion. See\nRule 9014. Other amendments are stylistic and make no substantive change.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 6008. Redemption of Property from Lien or Sale\nOn motion by the debtor, trustee, or debtor in possession and after hearing on notice as the\ncourt may direct, the court may authorize the redemption of property from a lien or from a sale to\nenforce a lien in accordance with applicable law.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 609. No provision in the Code addresses\nthe trustee\'s right of redemption. Ordinarily the secured creditor should be given notice of the\ntrustee\'s motion so that any objection may be raised to the proposed redemption.\nThe rule applies also to a debtor exercising a right of redemption pursuant to \xc2\xa7722. A\nproceeding under that section is governed by Rule 9014.\n\nRule 6009. Prosecution and Defense of Proceedings by Trustee or Debtor in\n219\n\n\x0cPossession\nWith or without court approval, the trustee or debtor in possession may prosecute or may\nenter an appearance and defend any pending action or proceeding by or against the debtor, or\ncommence and prosecute any action or proceeding in behalf of the estate before any tribunal.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 610.\n\nRule 6010. Proceeding to Avoid Indemnifying Lien or Transfer to Surety\nIf a lien voidable under \xc2\xa7547 of the Code has been dissolved by the furnishing of a bond or\nother obligation and the surety thereon has been indemnified by the transfer of, or the creation of a\nlien upon, nonexempt property of the debtor, the surety shall be joined as a defendant in any\nproceeding to avoid the indemnifying transfer or lien. Such proceeding is governed by the rules in\nPart VII.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from former Bankruptcy Rule 612.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to conform to \xc2\xa7550(a) of the Code which provides that the trustee\nmay recover the property transferred in a voidable transfer. The value of the property may be\nrecovered in lieu of the property itself only if the court so orders.\n\nRule 6011. Disposal of Patient Records in Health Care Business Case\n(a) Notice by Publication Under \xc2\xa7351(1)(A). A notice regarding the claiming or disposing\nof patient records under \xc2\xa7351(1)(A) shall not identify any patient by name or other identifying\ninformation, but shall:\n(1) identify with particularity the health care facility whose patient records the trustee\nproposes to destroy;\n(2) state the name, address, telephone number, email address, and website, if any, of a\nperson from whom information about the patient records may be obtained;\n(3) state how to claim the patient records; and\n(4) state the date by which patient records must be claimed, and that if they are not so\nclaimed the records will be destroyed.\n(b) Notice by Mail Under \xc2\xa7351(1)(B). Subject to applicable nonbankruptcy law relating to\npatient privacy, a notice regarding the claiming or disposing of patient records under \xc2\xa7351(1)(B)\n220\n\n\x0cshall, in addition to including the information in subdivision (a), direct that a patient\'s family\nmember or other representative who receives the notice inform the patient of the notice. Any\nnotice under this subdivision shall be mailed to the patient and any family member or other contact\nperson whose name and address have been given to the trustee or the debtor for the purpose of\nproviding information regarding the patient\'s health care, to the Attorney General of the State\nwhere the health care facility is located, and to any insurance company known to have provided\nhealth care insurance to the patient.\n(c) Proof of Compliance With Notice Requirement. Unless the court orders the trustee to\nfile proof of compliance with \xc2\xa7351(1)(B) under seal, the trustee shall not file, but shall maintain,\nthe proof of compliance for a reasonable time.\n(d) Report of Destruction of Records. The trustee shall file, no later than 30 days after the\ndestruction of patient records under \xc2\xa7351(3), a report certifying that the unclaimed records have\nbeen destroyed and explaining the method used to effect the destruction. The report shall not\nidentify any patient by name or other identifying information.\n(Added Apr. 23, 2008, eff. Dec. 1, 2008.)\nCommittee Notes on Rules\xe2\x80\x942008\nThis rule is new. It implements \xc2\xa7351(1), which was added to the Code by the 2005\namendments. That provision requires the trustee to notify patients that their patient records will be\ndestroyed if they remain unclaimed for one year after the publication of a notice in an appropriate\nnewspaper. The Code provision also requires that individualized notice be sent to each patient and\nto the patient\'s family member or other contact person.\nThe variety of health care businesses and the range of current and former patients present\nthe need for flexibility in the creation and publication of the notices that will be given.\nNevertheless, there are some matters that must be included in any notice being given to patients,\ntheir family members, and contact persons to ensure that sufficient information is provided to these\npersons regarding the trustee\'s intent to dispose of patient records. Subdivision (a) of this rule lists\nthe minimum requirements for notices given under \xc2\xa7351(1)(A), and subdivision (b) governs the\nform of notices under \xc2\xa7351(1)(B). Notices given under this rule are subject to provisions under\napplicable federal and state law that relate to the protection of patients\' privacy, such as the Health\nInsurance Portability and Accountability Act of 1996, Pub. L. No. 104\xe2\x80\x93191 (HIPAA).\nSubdivision (c) directs the trustee to maintain proof of compliance with \xc2\xa7351(1)(B), but\nbecause the proof of compliance may contain patient names that should or must remain\nconfidential, it prohibits filing the proof of compliance unless the court orders the trustee to file it\nunder seal.\nSubdivision (d) requires the trustee to file a report with the court regarding the destruction\nof patient records. This certification is intended to ensure that the trustee properly completed the\ndestruction process. However, because the report will be filed with the court and ordinarily will be\navailable to the public under \xc2\xa7107, the names, addresses, and other identifying information of\npatients are not to be included in the report to protect patient privacy.\nChanges Made After Publication. Subdivision (b)(2) was amended to add the Attorney\nGeneral of the State where a health care facility is located to the list of entities entitled to notice of\nthe disposal of patient records.\n\n221\n\n\x0cPART VII\xe2\x80\x94ADVERSARY PROCEEDINGS\nRule 7001. Scope of Rules of Part VII\nAn adversary proceeding is governed by the rules of this Part VII. The following are\nadversary proceedings:\n(1) a proceeding to recover money or property, other than a proceeding to compel the\ndebtor to deliver property to the trustee, or a proceeding under \xc2\xa7554(b) or \xc2\xa7725 of the Code, Rule\n2017, or Rule 6002;\n(2) a proceeding to determine the validity, priority, or extent of a lien or other interest in\nproperty, other than a proceeding under Rule 4003(d);\n(3) a proceeding to obtain approval under \xc2\xa7363(h) for the sale of both the interest of the\nestate and of a co-owner in property;\n(4) a proceeding to object to or revoke a discharge, other than an objection to discharge\nunder \xc2\xa7\xc2\xa7727(a)(8), 1 (a)(9), or 1328(f);\n(5) a proceeding to revoke an order of confirmation of a chapter 11, chapter 12, or chapter\n13 plan;\n(6) a proceeding to determine the dischargeability of a debt;\n(7) a proceeding to obtain an injunction or other equitable relief, except when a chapter 9,\nchapter 11, chapter 12, or chapter 13 plan provides for the relief;\n(8) a proceeding to subordinate any allowed claim or interest, except when a chapter 9,\nchapter 11, chapter 12, or chapter 13 plan provides for subordination;\n(9) a proceeding to obtain a declaratory judgment relating to any of the foregoing; or\n(10) a proceeding to determine a claim or cause of action removed under 28 U.S.C. \xc2\xa71452.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26,\n1999, eff. Dec. 1, 1999; Apr. 28, 2010, eff. Dec. 1, 2010.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThe rules in Part VII govern the procedural aspects of litigation involving the matters\nreferred to in this Rule 7001. Under Rule 9014 some of the Part VII rules also apply to contested\nmatters.\nThese Part VII rules are based on the premise that to the extent possible practice before the\nbankruptcy courts and the district courts should be the same. These rules either incorporate or are\nadaptations of most of the Federal Rules of Civil Procedure. Although the Part VII rules of the\nformer Bankruptcy Rules also relied heavily on the F.R.Civ.P., the former Part VII rules departed\nfrom the civil practice in two significant ways: a trial or pretrial conference had to be scheduled as\nsoon as the adversary proceeding was filed and pleadings had to be filed within periods shorter\nthan those established by the F.R.Civ.P. These departures from the civil practice have been\neliminated.\nThe content and numbering of these Part VII rules correlates to the content and numbering\nof the F.R.Civ.P. Most, but not all, of the F.R.Civ.P. have a comparable Part VII rule. When there\nis no Part VII rule with a number corresponding to a particular F.R.Civ.P., Parts V and IX of these\nrules must be consulted to determine if one of the rules in those parts deals with the subject. The\n222\n\n\x0clist below indicates the F.R.Civ.P., or subdivision thereof, covered by a rule in either Part V or Part\nIX.\nF.R.Civ.P. Rule in Part V or IX 6 9006 7(b) 9013 10(a) 9004(b) 11 9011 38,39 9015(a)\xe2\x80\x93(e) 47\xe2\x80\x9351\n9015(f) 43,44,44.1 9017 45 9016 58 9021 59 9023 60 9024 61 9005 63 9028 77(a),(b),(c) 5001\n77(d) 9022(d) 79(a)\xe2\x80\x93(d) 5003 81(c) 9027 83 9029 92 9030\nProceedings to which the rules in Part VII apply directly include those brought to avoid\ntransfers by the debtor under \xc2\xa7\xc2\xa7544, 545, 547, 548 and 549 of the Code; subject to important\nexceptions, proceedings to recover money or property; proceedings on bonds under Rules 5008(d)\nand 9025; proceedings under Rule 4004 to determine whether a discharge in a chapter 7 or 11 case\nshould be denied because of an objection grounded on \xc2\xa7727 and proceedings in a chapter 7 or 13\ncase to revoke a discharge as provided in \xc2\xa7\xc2\xa7727(d) or 1328(e); and proceedings initiated pursuant\nto \xc2\xa7523(c) of the Code to determine the dischargeability of a particular debt. Those proceedings\nwere classified as adversary proceedings under former Bankruptcy Rule 701.\nAlso included as adversary proceedings are proceedings to revoke an order of confirmation\nof a plan in a chapter 11 or 13 case as provided in \xc2\xa7\xc2\xa71144 and 1330, to subordinate under \xc2\xa7510(c),\nother than as part of a plan, an allowed claim or interest, and to sell under \xc2\xa7363(h) both the interest\nof the estate and a co-owner in property.\nDeclaratory judgments with respect to the subject matter of the various adversary\nproceedings are also adversary proceedings.\nAny claim or cause of action removed to a bankruptcy court pursuant to 28 U.S.C. \xc2\xa71478 is\nalso an adversary proceeding.\nUnlike former Bankruptcy Rule 701, requests for relief from an automatic stay do not\ncommence an adversary proceeding. Section 362(e) of the Code and Rule 4001 establish an\nexpedited schedule for judicial disposition of requests for relief from the automatic stay. The\nformalities of the adversary proceeding process and the time for serving pleadings are not well\nsuited to the expedited schedule. The motion practice prescribed in Rule 4001 is best suited to such\nrequests because the court has the flexibility to fix hearing dates and other deadlines appropriate to\nthe particular situation.\nClause (1) contains important exceptions. A person with an interest in property in the\npossession of the trustee or debtor in possession may seek to recover or reclaim that property under\n\xc2\xa7554(b) or \xc2\xa7725 of the Code. Since many attempts to recover or reclaim property under these two\nsections do not generate disputes, application of the formalities of the Part VII Rules is not\nappropriate. Also excluded from adversary proceedings is litigation arising from an examination\nunder Rule 2017 of a debtor\'s payments of money or transfers of property to an attorney\nrepresenting the debtor in a case under the Code or an examination of a superseded administration\nunder Rule 6002.\nExemptions and objections thereto are governed by Rule 4003. Filing of proofs of claim\nand the allowances thereof are governed by Rules 3001\xe2\x80\x933005, and objections to claims are\ngoverned by Rule 3007. When an objection to a claim is joined with a demand for relief of the kind\nspecified in this Rule 7001, the matter becomes an adversary proceeding. See Rule 3007.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nAnother exception is added to clause (1). A trustee may proceed by motion to recover\nproperty from the debtor.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n223\n\n\x0cClauses (5) and (8) are amended to include chapter 12 plans.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nThis rule is amended to recognize that an adversary proceeding is not necessary to obtain\ninjunctive or other equitable relief that is provided for in a plan under circumstances in which\nsubstantive law permits the relief. Other amendments are stylistic.\nGAP Report on Rule 7001. No changes since publication, except for stylistic changes.\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nParagraph (4) of the rule is amended to create an exception for objections to discharge\nunder \xc2\xa7\xc2\xa7727(a)(8), (a)(9), and 1328(f) of the Code. Because objections to discharge on these\ngrounds typically present issues more easily resolved than other objections to discharge, the more\nformal procedures applicable to adversary proceedings, such as commencement by a complaint,\nare not required. Instead, objections on these three grounds are governed by Rule 4004(d). In an\nappropriate case, however, Rule 9014(c) allows the court to order that additional provisions of Part\nVII of the rules apply to these matters.\nChanges Made After Publication. The proposed addition of subsection (b) was deleted, and\nthe content of that provision was moved to Rule 4004(d). The exception in paragraph (4) of the\nrule was revised to refer to objections to discharge under \xc2\xa7\xc2\xa7727(a)(8), (a)(9), and 1328(f) of the\nCode. The redesignation of the existing rule as subdivision (a) was also deleted. The Committee\nNote was revised to reflect these changes.\n1\nSo in original. Probably should be only one section symbol.\n\nRule 7002. References to Federal Rules of Civil Procedure\nWhenever a Federal Rule of Civil Procedure applicable to adversary proceedings makes\nreference to another Federal Rule of Civil Procedure, the reference shall be read as a reference to\nthe Federal Rule of Civil Procedure as modified in this Part VII.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRules 5, 12, 13, 14, 25, 27, 30, 41 and 52 F.R.Civ.P. are made applicable to adversary\nproceedings by Part VII. Each of those rules contains a cross reference to another Federal Rule;\nhowever, the Part VII rule which incorporates the cross-referenced Federal Rule modifies the\nFederal Rule in some way. Under this Rule 7002 the cross reference is to the Federal Rule as\nmodified by Part VII. For example, Rule 5 F.R.Civ.P., which is made applicable to adversary\nproceedings by Rule 7005, contains a reference to Rule 4 F.R.Civ.P. Under this Rule 7002, the\ncross reference is to Rule 4 F.R.Civ.P. as modified by Rule 7004.\nRules 7, 10, 12, 13, 14, 19, 22, 23.2, 24\xe2\x80\x9337, 41, 45, 49, 50, 52, 55, 59, 60, 62 F.R.Civ.P. are\nmade applicable to adversary proceedings by Part VII or generally to cases under the Code by Part\nIX. Each of those Federal Rules contains a cross reference to another Federal Rule which is not\n224\n\n\x0cmodified by the Part VII or Part IX rule which makes the cross-referenced Federal Rule applicable.\nSince the cross-referenced rule is not modified by a Part VII rule this Rule 7002 does not apply.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7003. Commencement of Adversary Proceeding\nRule 3 F.R.Civ.P. applies in adversary proceedings.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRule 5005(a) requires that a complaint commencing an adversary proceeding be filed with\nthe court in which the case under the Code is pending unless 28 U.S.C. \xc2\xa71473 authorizes the filing\nof the complaint in another district.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7004. Process; Service of Summons, Complaint\n(a) Summons; Service; Proof of Service.\n(1) Except as provided in Rule 7004(a)(2), Rule 4(a), (b), (c)(1), (d)(1), (e)\xe2\x80\x93(j), (l), and (m)\nF.R.Civ.P. applies in adversary proceedings. Personal service under Rule 4(e)\xe2\x80\x93(j) F.R.Civ.P. may\nbe made by any person at least 18 years of age who is not a party, and the summons may be\ndelivered by the clerk to any such person.\n(2) The clerk may sign, seal, and issue a summons electronically by putting an "s/" before\nthe clerk\'s name and including the court\'s seal on the summons.\n(b) Service by First Class Mail. Except as provided in subdivision (h), in addition to the\nmethods of service authorized by Rule 4(e)\xe2\x80\x93(j) F.R.Civ.P., service may be made within the United\nStates by first class mail postage prepaid as follows:\n(1) Upon an individual other than an infant or incompetent, by mailing a copy of the\nsummons and complaint to the individual\'s dwelling house or usual place of abode or to the place\nwhere the individual regularly conducts a business or profession.\n(2) Upon an infant or an incompetent person, by mailing a copy of the summons and\ncomplaint to the person upon whom process is prescribed to be served by the law of the state in\nwhich service is made when an action is brought against such a defendant in the courts of general\njurisdiction of that state. The summons and complaint in that case shall be addressed to the person\nrequired to be served at that person\'s dwelling house or usual place of abode or at the place where\nthe person regularly conducts a business or profession.\n(3) Upon a domestic or foreign corporation or upon a partnership or other unincorporated\n225\n\n\x0cassociation, by mailing a copy of the summons and complaint to the attention of an officer, a\nmanaging or general agent, or to any other agent authorized by appointment or by law to receive\nservice of process and, if the agent is one authorized by statute to receive service and the statute so\nrequires, by also mailing a copy to the defendant.\n(4) Upon the United States, by mailing a copy of the summons and complaint addressed to\nthe civil process clerk at the office of the United States attorney for the district in which the action\nis brought and by mailing a copy of the summons and complaint to the Attorney General of the\nUnited States at Washington, District of Columbia, and in any action attacking the validity of an\norder of an officer or an agency of the United States not made a party, by also mailing a copy of the\nsummons and complaint to that officer or agency. The court shall allow a reasonable time for\nservice pursuant to this subdivision for the purpose of curing the failure to mail a copy of the\nsummons and complaint to multiple officers, agencies, or corporations of the United States if the\nplaintiff has mailed a copy of the summons and complaint either to the civil process clerk at the\noffice of the United States attorney or to the Attorney General of the United States.\n(5) Upon any officer or agency of the United States, by mailing a copy of the summons and\ncomplaint to the United States as prescribed in paragraph (4) of this subdivision and also to the\nofficer or agency. If the agency is a corporation, the mailing shall be as prescribed in paragraph (3)\nof this subdivision of this rule. The court shall allow a reasonable time for service pursuant to this\nsubdivision for the purpose of curing the failure to mail a copy of the summons and complaint to\nmultiple officers, agencies, or corporations of the United States if the plaintiff has mailed a copy of\nthe summons and complaint either to the civil process clerk at the office of the United States\nattorney or to the Attorney General of the United States. If the United States trustee is the trustee in\nthe case and service is made upon the United States trustee solely as trustee, service may be made\nas prescribed in paragraph (10) of this subdivision of this rule.\n(6) Upon a state or municipal corporation or other governmental organization thereof\nsubject to suit, by mailing a copy of the summons and complaint to the person or office upon\nwhom process is prescribed to be served by the law of the state in which service is made when an\naction is brought against such a defendant in the courts of general jurisdiction of that state, or in the\nabsence of the designation of any such person or office by state law, then to the chief executive\nofficer thereof.\n(7) Upon a defendant of any class referred to in paragraph (1) or (3) of this subdivision of\nthis rule, it is also sufficient if a copy of the summons and complaint is mailed to the entity upon\nwhom service is prescribed to be served by any statute of the United States or by the law of the\nstate in which service is made when an action is brought against such a defendant in the court of\ngeneral jurisdiction of that state.\n(8) Upon any defendant, it is also sufficient if a copy of the summons and complaint is\nmailed to an agent of such defendant authorized by appointment or by law to receive service of\nprocess, at the agent\'s dwelling house or usual place of abode or at the place where the agent\nregularly carries on a business or profession and, if the authorization so requires, by mailing also a\ncopy of the summons and complaint to the defendant as provided in this subdivision.\n(9) Upon the debtor, after a petition has been filed by or served upon the debtor and until\nthe case is dismissed or closed, by mailing a copy of the summons and complaint to the debtor at\nthe address shown in the petition or to such other address as the debtor may designate in a filed\nwriting.\n(10) Upon the United States trustee, when the United States trustee is the trustee in the case\nand service is made upon the United States trustee solely as trustee, by mailing a copy of the\n226\n\n\x0csummons and complaint to an office of the United States trustee or another place designated by the\nUnited States trustee in the district where the case under the Code is pending.\n(c) Service by Publication. If a party to an adversary proceeding to determine or protect\nrights in property in the custody of the court cannot be served as provided in Rule 4(e)\xe2\x80\x93(j)\nF.R.Civ.P. or subdivision (b) of this rule, the court may order the summons and complaint to be\nserved by mailing copies thereof by first class mail, postage prepaid, to the party\'s last known\naddress, and by at least one publication in such manner and form as the court may direct.\n(d) Nationwide Service of Process. The summons and complaint and all other process\nexcept a subpoena may be served anywhere in the United States.\n(e) Summons: Time Limit for Service Within the United States. Service made under Rule\n4(e), (g), (h)(1), (i), or (j)(2) F.R.Civ.P. shall be by delivery of the summons and complaint within\n14 days after the summons is issued. If service is by any authorized form of mail, the summons and\ncomplaint shall be deposited in the mail within 14 days after the summons is issued. If a summons\nis not timely delivered or mailed, another summons shall be issued and served. This subdivision\ndoes not apply to service in a foreign country.\n(f) Personal Jurisdiction. If the exercise of jurisdiction is consistent with the Constitution\nand laws of the United States, serving a summons or filing a waiver of service in accordance with\nthis rule or the subdivisions of Rule 4 F.R.Civ.P. made applicable by these rules is effective to\nestablish personal jurisdiction over the person of any defendant with respect to a case under the\nCode or a civil proceeding arising under the Code, or arising in or related to a case under the Code.\n(g) Service on Debtor\'s Attorney. If the debtor is represented by an attorney, whenever\nservice is made upon the debtor under this Rule, service shall also be made upon the debtor\'s\nattorney by any means authorized under Rule 5(b) F.R.Civ.P.\n(h) Service of Process on an Insured Depository Institution. Service on an insured\ndepository institution (as defined in section 3 of the Federal Deposit Insurance Act) in a contested\nmatter or adversary proceeding shall be made by certified mail addressed to an officer of the\ninstitution unless\xe2\x80\x94\n(1) the institution has appeared by its attorney, in which case the attorney shall be served by\nfirst class mail;\n(2) the court orders otherwise after service upon the institution by certified mail of notice of\nan application to permit service on the institution by first class mail sent to an officer of the\ninstitution designated by the institution; or\n(3) the institution has waived in writing its entitlement to service by certified mail by\ndesignating an officer to receive service.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Pub. L.\n103\xe2\x80\x93394, title I, \xc2\xa7114, Oct. 22, 1994, 108 Stat. 4118; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 26,\n1999, eff. Dec. 1, 1999; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 12, 2006, eff. Dec. 1, 2006; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) of the rule, by incorporation of Rule 4(a), (b), (d), (e) and (g)\xe2\x80\x93(i)\nF.R.Civ.P., governs the mechanics of issuance of a summons and its form, the manner of service\non parties and their representatives, and service in foreign countries.\nSubdivision (b), which is the same as former Rule 704(c), authorizes service of process by\nfirst class mail postage prepaid. This rule retains the modes of service contained in former\n227\n\n\x0cBankruptcy Rule 704. The former practice, in effect since 1976, has proven satisfactory.\nSubdivision (c) is derived from former Bankruptcy Rule 704(d)(2).\nSubdivision (d). Nationwide service of process is authorized by subdivision (d).\nSubdivision (e) authorizes service by delivery on individuals and corporations in foreign\ncountries if the party to be served is the debtor or any person required to perform the duties of the\ndebtor and certain other persons, the adversary proceeding involves property in the custody of the\nbankruptcy court, or if federal or state law authorizes such service in a foreign country.\nSubdivision (f). The requirement of former Bankruptcy Rule 704 that the summons be\nserved within 10 days is carried over into these rules by subdivision (f).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended to make Rule 4(j) F.R.Civ.P. applicable to service of the\nsummons. If service is not completed within 120 days of the filing of the complaint, the complaint\nmay be dismissed.\nTechnical amendments are made to subdivisions (a), (b), (e), and (f) to conform to recent\namendments to Rule 4 F.R.Civ.P.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe United States trustee may serve as trustee in a case pursuant to 28 U.S.C. \xc2\xa7586(a)(2)\nand \xc2\xa7\xc2\xa7701(a)(2), 1202(a), and 1302(a) of the Code. This rule is amended to avoid the necessity of\nmailing copies of a summons and complaint or other pleadings to the Attorney General and to the\nUnited States attorney when service on the United States trustee is required only because the\nUnited States trustee is acting as a case trustee. For example, a proceeding commenced by a\ncreditor to dismiss a case for unreasonable delay under \xc2\xa7707(a) is governed by Rule 9014 which\nrequires service on the trustee pursuant to the requirements of Rule 7004 for the service of a\nsummons and complaint. The Attorney General and the United States attorney would have no\ninterest in receiving a copy of the motion to dismiss. Mailing to the office of the United States\ntrustee when acting as the case trustee is sufficient in such cases.\nThe words "with the court" in subdivision (b)(9) are deleted as unnecessary. See Rules\n5005(a) and 9001(3).\nThe new paragraph (10) of subdivision (b) does not affect requirements for service of\nprocess on the United States trustee when sued or otherwise a party to a litigation unrelated to its\ncapacity as a trustee. If a proceeding is commenced against the United States trustee which is\nunrelated to the United States trustee\'s role as trustee, the requirements of paragraph (5) of\nsubdivision (b) of this rule would apply.\nSubdivision (g) is added in anticipation of substantial amendment to, and restructuring of\nsubdivisions of, Rule 4 F.R.Civ.P. Any amendment to Rule 4 will not affect service in bankruptcy\ncases and proceedings until further amendment to the Bankruptcy Rules. On January 1, 1990, Rule\n4 F.R.Civ.P. read as follows:\nRule 4 F.R.Civ.P.\nProcess\n\n228\n\n\x0c(a) Summons: Issuance. Upon the filing of the complaint the clerk shall forthwith issue a\nsummons and deliver the summons to the plaintiff or the plaintiff\'s attorney, who shall be\nresponsible for prompt service of the summons and a copy of the complaint. Upon request of the\nplaintiff separate or additional summons shall issue against any defendants.\n(b) Same: Form. The summons shall be signed by the clerk, be under the seal of the court,\ncontain the name of the court and the names of the parties, be directed to the defendant, state the\nname and address of the plaintiff\'s attorney, if any, otherwise the plaintiff\'s address, and the time\nwithin which these rules require the defendant to appear and defend, and shall notify the defendant\nthat in case of the defendant\'s failure to do so judgment by default will be rendered against the\ndefendant for the relief demanded in the complaint. When, under Rule 4(e), service is made\npursuant to a statute or rule of court of a state, the summons, or notice, or order in lieu of summons\nshall correspond as nearly as may be to that required by the statute or rule.\n(c) Service.\n(1) [Not applicable.]\n(2)(A) [Not applicable.]\n(B) [Not applicable.]\n(C) A summons and complaint may be served upon a defendant of any class referred to in\nparagraph (1) or (3) of subdivision (d) of this rule\xe2\x80\x94\n(i) pursuant to the law of the State in which the district court is held for the service of\nsummons or other like process upon such defendant in an action brought in the courts of general\njurisdiction of that State, or\n(ii) [Not applicable.]\n(D) [Not applicable.]\n(E) [Not applicable.]\n(3) [Not applicable.]\n(d) Summons and Complaint: Person To Be Served. The summons and complaint shall be\nserved together. The plaintiff shall furnish the person making service with such copies as are\nnecessary. Service shall be made as follows:\n(1) Upon an individual other than an infant or an incompetent person, by delivering a copy\nof the summons and of the complaint to the individual personally or by leaving copies thereof at\nthe individual\'s dwelling house or usual place of abode with some person of suitable age and\ndiscretion then residing therein or by delivering a copy of the summons and of the complaint to an\nagent authorized by appointment or by law to receive service of process.\n(2) Upon an infant or an incompetent person, by serving the summons and complaint in the\nmanner prescribed by the law of the state in which the service is made for the service of summons\nor other like process upon any such defendant in an action brought in the courts of general\njurisdiction of that state.\n(3) Upon a domestic or foreign corporation or upon a partnership or other unincorporated\nassociation which is subject to suit under a common name, by delivering a copy of the summons\nand of the complaint to an officer, a managing or general agent, or to any other agent authorized by\nappointment or by law to receive service of process and, if the agent is one authorized by statute to\nreceive service and the statute so requires, by also mailing a copy to the defendant.\n(4) Upon the United States, by delivering a copy of the summons and of the complaint to\nthe United States attorney for the district in which the action is brought or to an assistant United\nStates attorney or clerical employee designated by the United States attorney in a writing filed with\nthe clerk of the court and by sending a copy of the summons and of the complaint by registered or\n229\n\n\x0ccertified mail to the Attorney General of the United States at Washington, District of Columbia,\nand in any action attacking the validity of an order of an officer or agency of the United States not\nmade a party, by also sending a copy of the summons and of the complaint by registered or\ncertified mail to such officer or agency.\n(5) Upon an officer or agency of the United States, by serving the United States and by\nsending a copy of the summons and of the complaint by registered or certified mail to such officer\nor agency. If the agency is a corporation the copy shall be delivered as provided in paragraph (3) of\nthis subdivision of this rule.\n(6) Upon a state or municipal corporation or other governmental organization thereof\nsubject to suit, by delivering a copy of the summons and of the complaint to the chief executive\nofficer thereof or by serving the summons and complaint in the manner prescribed by the law of\nthat state for the service of summons or other like process upon any such defendant.\n(e) Summons: Service Upon Party Not Inhabitant of or Found Within State. Whenever a\nstatute of the United States or an order of court thereunder provides for service of a summons, or of\na notice, or of an order in lieu of summons upon a party not an inhabitant of or found within the\nstate in which the district court is held, service may be made under the circumstances and in the\nmanner prescribed by the statute or order, or, if there is no provision therein prescribing the\nmanner of service, in a manner stated in this rule. Whenever a statute or rule of court of the state in\nwhich the district court is held provides (1) for service of a summons, or of a notice, or of an order\nin lieu of summons upon a party not an inhabitant of or found within the state, or (2) for service\nupon or notice to such a party to appear and respond or defend in an action by reason of the\nattachment or garnishment or similar seizure of the party\'s property located within the state,\nservice may in either case be made under the circumstances and in the manner prescribed in the\nstatute or rule.\n(f) [Not applicable.]\n(g) Return. The person serving the process shall make proof of service thereof to the court\npromptly and in any event within the time during which the person served must respond to the\nprocess. If service is made by a person other than a United States marshal or deputy United States\nmarshal, such person shall make affidavit thereof. If service is made under subdivision\n(c)(2)(C)(ii) of this rule, return shall be made by the sender\'s filing with the court the\nacknowledgment received pursuant to such subdivision. Failure to make proof of service does not\naffect the validity of the service.\n(h) Amendment. At any time in its discretion and upon such terms as it deems just, the\ncourt may allow any process or proof of service thereof to be amended, unless it clearly appears\nthat material prejudice would result to the substantial rights of the party against whom the process\nissued.\n(i) Alternative Provisions for Service in a Foreign Country.\n(1) Manner. When the federal or state law referred to in subdivision (e) of this rule\nauthorizes service upon a party not an inhabitant of or found within the state in which the district\ncourt is held, and service is to be effected upon the party in a foreign country, it is also sufficient if\nservice of the summons and complaint is made: (A) in the manner prescribed by the law of the\nforeign country for service in that country in an action in any of its courts of general jurisdiction; or\n(B) as directed by the foreign authority in response to a letter rogatory, when service in either case\nis reasonably calculated to give actual notice; or (C) upon an individual, by delivery to the\nindividual personally, and upon a corporation or partnership or association, by delivery to an\nofficer, a managing or general agent; or (D) by any form of mail, requiring a signed receipt, to be\n230\n\n\x0caddressed and dispatched by the clerk of the court to the party to be served; or (E) as directed by\norder of the court. Service under (C) or (E) above may be made by any person who is not a party\nand is not less than 18 years of age or who is designated by order of the district court or by the\nforeign court. On request, the clerk shall deliver the summons to the plaintiff for transmission to\nthe person or the foreign court or officer who will make the service.\n(2) Return. Proof of service may be made as prescribed by subdivision (g) of this rule, or by\nthe law of the foreign country, or by order of the court. When service is made pursuant to\nsubparagraph (1)(D) of this subdivision, proof of service shall include a receipt signed by the\naddressee or other evidence of delivery to the addressee satisfactory to the court.\n(j) Summons: Time Limit for Service. If a service of the summons and complaint is not\nmade upon a defendant within 120 days after the filing of the complaint and the party on whose\nbehalf such service was required cannot show good cause why such service was not made within\nthat period, the action shall be dismissed as to that defendant without prejudice upon the court\'s\nown initiative with notice to such party or upon motion. This subdivision shall not apply to service\nin a foreign country pursuant to subdivision (i) of this rule.\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nThe purpose of these amendments is to conform the rule to the 1993 revisions of Rule 4\nF.R.Civ.P. and to make stylistic improvements. Rule 7004, as amended, continues to provide for\nservice by first class mail as an alternative to the methods of personal service provided in Rule 4\nF.R.Civ.P., except as provided in the new subdivision (h).\nRule 4(d)(2) F.R.Civ.P. provides a procedure by which the plaintiff may request by first\nclass mail that the defendant waive service of the summons. This procedure is not applicable in\nadversary proceedings because it is not necessary in view of the availability of service by mail\npursuant to Rule 7004(b). However, if a written waiver of service of a summons is made in an\nadversary proceeding, Rule 4(d)(1) F.R.Civ.P. applies so that the defendant does not thereby\nwaive any objection to the venue or the jurisdiction of the court over the person of the defendant.\nSubdivisions (b)(4) and (b)(5) are amended to conform to the 1993 amendments to Rule\n4(i)(3) F.R.Civ.P., which protect the plaintiff from the hazard of losing a substantive right because\nof failure to comply with the requirements of multiple service when the United States or an officer,\nagency, or corporation of the United States is a defendant. These subdivisions also are amended to\nrequire that the summons and complaint be addressed to the civil process clerk at the office of the\nUnited States attorney.\nSubdivision (e), which has governed service in a foreign country, is abrogated and Rule\n4(f) and (h)(2) F.R.Civ.P., as substantially revised in 1993, are made applicable in adversary\nproceedings.\nThe new subdivision (f) is consistent with the 1993 amendments to F.R.Civ.P. 4(k)(2). It\nclarifies that service or filing a waiver of service in accordance with this rule or the applicable\nsubdivisions of F.R.Civ.P. 4 is sufficient to establish personal jurisdiction over the defendant. See\nthe committee note to the 1993 amendments to Rule 4 F.R.Civ.P.\nSubdivision (g) is abrogated. This subdivision was promulgated in 1991 so that anticipated\nrevisions to Rule 4 F.R.Civ.P. would not affect service of process in adversary proceedings until\nfurther amendment to Rule 7004.\nSubdivision (h) and the first phrase of subdivision (b) were added by \xc2\xa7114 of the\nBankruptcy Reform Act of 1994, Pub. L. No. 103\xe2\x80\x93394, 108 Stat. 4106.\nGAP Report on Rule 7004. After publication of the proposed amendments, Rule 7004(b)\n231\n\n\x0cwas amended and Rule 7004(h) was added by the Bankruptcy Reform Act of 1994 to provide for\nservice by certified mail on an insured depository institution. The above draft includes those\nstatutory amendments (without underlining new language or striking former language). No other\nchanges have been made since publication, except for stylistic changes.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nSubdivision (e) is amended so that the ten-day time limit for service of a summons does not\napply if the summons is served in a foreign country.\nGAP Report on Rule 7004. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942005 Amendment\nThis amendment specifically authorizes the clerk to issue a summons electronically. In\nsome bankruptcy cases the trustee or debtor in possession may commence hundreds of adversary\nproceedings simultaneously, and permitting the electronic signing and sealing of the summonses\nfor those proceedings increases the efficiency of the clerk\'s office without any negative impact on\nany party. The rule only authorizes electronic issuance of the summons. It does not address the\nservice requirements for the summons. Those requirements are set out elsewhere in Rule 7004, and\nnothing in Rule 7004(a)(2) should be construed as authorizing electronic service of a summons.\nChanges Made After Publication and Comment. No changes were made after publication.\nCommittee Notes on Rules\xe2\x80\x942006 Amendment\nUnder current Rule 7004, an entity may serve a summons and complaint upon the debtor\nby personal service or by mail. If the entity chooses to serve the debtor by mail, it must also serve\na copy of the summons and complaint on the debtor\'s attorney by mail. If the entity effects personal\nservice on the debtor, there is no requirement that the debtor\'s attorney also be served.\nSubdivision (b)(9). The rule is amended to delete the reference in subdivision (b)(9) to the\ndebtor\'s address as set forth in the statement of financial affairs. In 1991, the Official Form of the\nstatement of financial affairs was revised and no longer includes a question regarding the debtor\'s\ncurrent residence. Since that time, Official Form 1, the petition, has required the debtor to list both\nthe debtor\'s residence and mailing address. Therefore, the subdivision is amended to delete the\nstatement of financial affairs as a document that might contain an address at which the debtor can\nbe served.\nSubdivision (g). The rule is amended to require service on the debtor\'s attorney whenever\nthe debtor is served with a summons and complaint. The amendment makes this change by\ndeleting that portion of Rule 7004(b)(9) that requires service on the debtor\'s attorney when the\ndebtor is served by mail, and relocates the obligation to serve the debtor\'s attorney into new\nsubdivision (g). Service on the debtor\'s attorney is not limited to mail service, but may be\naccomplished by any means permitted under Rule 5(b) F.R.Civ.P.\nChanges Made After Publication. The Committee Note was amended to add the final\n[second] paragraph of the Note. The new paragraph describes the reason for the deletion of the\nreference in the rule to the statement of affairs as a source for the debtor\'s address. This was a\nsecondary reason for amending the rule, and even in the absence of public comment on the\nproposed amendment, the Advisory Committee believes that the additional explanation in the\nCommittee Note is appropriate.\n232\n\n\x0cCommittee Notes on Rules\xe2\x80\x942009 Amendment\n\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\nSection 3 of the Federal Deposit Insurance Act, referred to in subd. (h), is classified to\nsection 1813 of Title 12, Banks and Banking.\nAmendment by Public Law\n1994\xe2\x80\x94Subd. (b). Pub. L. 103\xe2\x80\x93394, \xc2\xa7114(1), substituted "Except as provided in\nsubdivision (h), in addition" for "In addition".\nSubd. (h). Pub. L. 103\xe2\x80\x93394, \xc2\xa7114(2), added subd. (h).\nEffective Date of 1994 Amendment\nAmendment by Pub. L. 103\xe2\x80\x93394 effective Oct. 22, 1994, and not applicable with respect to\ncases commenced under this title before Oct. 22, 1994, see section 702 of Pub. L. 103\xe2\x80\x93394, set out\nas a note under section 101 of this title.\n\nRule 7005. Service and Filing of Pleadings and Other Papers\nRule 5 F.R.Civ.P. applies in adversary proceedings.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRule 5 F.R.Civ.P. refers to Rule 4 F.R.Civ.P. Pursuant to Rule 7002 this reference is to\nRule 4 F.R.Civ.P. as incorporated and modified by Rule 7004.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7007. Pleadings Allowed\n233\n\n\x0cRule 7 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7007.1. Corporate Ownership Statement\n(a) Required Disclosure. Any corporation that is a party to an adversary proceeding, other\nthan the debtor or a governmental unit, shall file two copies of a statement that identifies any\ncorporation, other than a governmental unit, that directly or indirectly owns 10% or more of any\nclass of the corporation\'s equity interests, or states that there are no entities to report under this\nsubdivision.\n(b) Time for Filing. A party shall file the statement required under Rule 7007.1(a) with its\nfirst appearance, pleading, motion, response, or other request addressed to the court. A party shall\nfile a supplemental statement promptly upon any change in circumstances that this rule requires\nthe party to identify or disclose.\n(Added Mar. 27, 2003, eff. Dec. 1, 2003; amended Apr. 30, 2007, eff. Dec. 1, 2007.)\nCommittee Notes on Rules\xe2\x80\x942003\nThis rule is derived from Rule 26.1 of the Federal Rules of Appellate Procedure. The\ninformation that parties shall supply will support properly informed disqualification decisions in\nsituations that call for automatic disqualification under Canon 3C(1)(c) of the Code of Conduct for\nUnited States Judges. This rule does not cover all of the circumstances that may call for\ndisqualification under the subjective financial interest standard of Canon 3C, and does not deal at\nall with other circumstances that may call for disqualification. Nevertheless, the required\ndisclosures are calculated to reach the majority of circumstances that are likely to call for\ndisqualification under Canon 3C(1)(c).\nThe rule directs nongovernmental corporate parties to list those corporations that hold\nsignificant ownership interests in them. This includes listing membership interests in limited\nliability companies and similar entities that fall under the definition of a corporation in Bankruptcy\nCode \xc2\xa7101.\nUnder subdivision (b), parties must file the statement with the first document that they file\nin any adversary proceeding. The rule also requires parties and other persons to file supplemental\nstatements promptly whenever changed circumstances require disclosure of new or additional\ninformation.\nThe rule does not prohibit the adoption of local rules requiring disclosures beyond those\ncalled for in Rule 7007.1.\nChanges Made After Publication and Comments. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942007 Amendment\n\n234\n\n\x0cThe rule is amended to clarify that a party must file a corporate ownership statement with\nits initial paper filed with the court in an adversary proceeding. The party\'s initial filing may be a\ndocument that is not a "pleading" as defined in Rule 7 F. R. Civ. P., which is made applicable in\nadversary proceedings by Rule 7007. The amendment also brings Rule 7007.1 more closely in line\nwith Rule 7.1 F. R. Civ. P.\nChanges After Publication. No changes were made after publication.\n\nRule 7008. General Rules of Pleading\n(a) Applicability of Rule 8 F.R.Civ.P. Rule 8 F.R.Civ.P. applies in adversary proceedings.\nThe allegation of jurisdiction required by Rule 8(a) shall also contain a reference to the name,\nnumber, and chapter of the case under the Code to which the adversary proceeding relates and to\nthe district and division where the case under the Code is pending. In an adversary proceeding\nbefore a bankruptcy judge, the complaint, counterclaim, cross-claim, or third-party complaint shall\ncontain a statement that the proceeding is core or non-core and, if non-core, that the pleader does\nor does not consent to entry of final orders or judgment by the bankruptcy judge.\n(b) Attorney\'s Fees. A request for an award of attorney\'s fees shall be pleaded as a claim in\na complaint, cross-claim, third-party complaint, answer, or reply as may be appropriate.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nProceedings before a bankruptcy judge are either core or non-core. 28 U.S.C. \xc2\xa7157. A\nbankruptcy judge may enter a final order or judgment in a core proceeding. In a non-core\nproceeding, absent consent of the parties, the bankruptcy judge may not enter a final order or\njudgment but may only submit proposed findings of fact and conclusions of law to the district\njudge who will enter the final order or judgment. 28 U.S.C. \xc2\xa7157(c)(1). The amendment to\nsubdivision (a) of this rule requires an allegation as to whether a proceeding is core or non-core. A\nparty who alleges that the proceeding is non-core shall state whether the party does or does not\nconsent to the entry of a final order or judgment by the bankruptcy judge. Failure to include the\nstatement of consent does not constitute consent. Only express consent in the pleadings or\notherwise is effective to authorize entry of a final order or judgment by the bankruptcy judge in a\nnon-core proceeding. Amendments to Rule 7012 require that the defendant admit or deny the\nallegation as to whether the proceeding is core or non-core.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subd. (a), are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7009. Pleading Special Matters\nRule 9 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\n\n235\n\n\x0cThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7010. Form of Pleadings\nRule 10 F.R.Civ.P. applies in adversary proceedings, except that the caption of each\npleading in such a proceeding shall conform substantially to the appropriate Official Form.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nReference to the Official Form number is deleted in anticipation of future revision and\nrenumbering of the Official Forms.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7012. Defenses and Objections\xe2\x80\x94When and How Presented\xe2\x80\x94By\nPleading or Motion\xe2\x80\x94Motion for Judgment on the Pleadings\n(a) When Presented. If a complaint is duly served, the defendant shall serve an answer\nwithin 30 days after the issuance of the summons, except when a different time is prescribed by the\ncourt. The court shall prescribe the time for service of the answer when service of a complaint is\nmade by publication or upon a party in a foreign country. A party served with a pleading stating a\ncross-claim shall serve an answer thereto within 21 days after service. The plaintiff shall serve a\nreply to a counterclaim in the answer within 21 days after service of the answer or, if a reply is\nordered by the court, within 21 days after service of the order, unless the order otherwise directs.\nThe United States or an officer or agency thereof shall serve an answer to a complaint within 35\ndays after the issuance of the summons, and shall serve an answer to a cross-claim, or a reply to a\ncounterclaim, within 35 days after service upon the United States attorney of the pleading in which\nthe claim is asserted. The service of a motion permitted under this rule alters these periods of time\nas follows, unless a different time is fixed by order of the court: (1) if the court denies the motion or\npostpones its disposition until the trial on the merits, the responsive pleading shall be served within\n14 days after notice of the court\'s action; (2) if the court grants a motion for a more definite\nstatement, the responsive pleading shall be served within 14 days after the service of a more\ndefinite statement.\n(b) Applicability of Rule 12(b)\xe2\x80\x93(i) F.R.Civ.P. Rule 12(b)\xe2\x80\x93(i) F.R.Civ.P. applies in\nadversary proceedings. A responsive pleading shall admit or deny an allegation that the\nproceeding is core or non-core. If the response is that the proceeding is non-core, it shall include a\nstatement that the party does or does not consent to entry of final orders or judgment by the\nbankruptcy judge. In non-core proceedings final orders and judgments shall not be entered on the\nbankruptcy judge\'s order except with the express consent of the parties.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26,\n2009, eff. Dec. 1, 2009.)\n236\n\n\x0cNotes of Advisory Committee on Rules\xe2\x80\x941983\n\nSubdivision (a) continues the practice of former Bankruptcy Rule 712(a) by requiring that\nthe answer to a complaint be filed within 30 days after the issuance of the summons. Under Rule\n7004(f), the summons must be served within 10 days of issuance. The other pleading periods in\nadversary proceedings are the same as those in civil actions before the district courts, except that\nthe United States is allowed 35 rather than 60 days to respond.\nRule 12(b)(7) and (h)(2) F.R.Civ.P. refers to Rule 19 F.R.Civ.P. Pursuant to Rule 7002\nthese references are to Rule 19 F.R.Civ.P. as incorporated and modified by Rule 7019.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe amendment to subdivision (b) requires a response to the allegation that the proceeding\nis core or non-core. A final order of judgment may not be entered in a non-core proceeding heard\nby a bankruptcy judge unless all parties expressly consent. 28 U.S.C. \xc2\xa7157(c).\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to conform to the changes made to the Federal Rules of Civil\nProcedure through the restyling of those rules effective on December 1, 2007.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subd. (b), are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7013. Counterclaim and Cross-Claim\nRule 13 F.R.Civ.P. applies in adversary proceedings, except that a party sued by a trustee\nor debtor in possession need not state as a counterclaim any claim that the party has against the\ndebtor, the debtor\'s property, or the estate, unless the claim arose after the entry of an order for\nrelief. A trustee or debtor in possession who fails to plead a counterclaim through oversight,\ninadvertence, or excusable neglect, or when justice so requires, may by leave of court amend the\npleading, or commence a new adversary proceeding or separate action.\n237\n\n\x0c(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRule 13(h) F.R.Civ.P. refers to Rule 19 F.R.Civ.P. Pursuant to Rule 7002 this reference is\nto Rule 19 F.R.Civ.P. as incorporated and modified by Rule 7019.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7014. Third-Party Practice\nRule 14 F.R.Civ.P. applies in adversary proceedings.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule does not purport to deal with questions of jurisdiction. The scope of the\njurisdictional grant under 28 U.S.C. \xc2\xa71471 and whether the doctrines of pendent or ancillary\njurisdiction are applicable to adversary proceedings will be determined by the courts.\nRule 14 F.R.Civ.P. refers to Rules 12 and 13 F.R.Civ.P. Pursuant to Rule 7002 those\nreferences are to Rules 12 and 13 as incorporated and modified by Rules 7012 and 7013.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7015. Amended and Supplemental Pleadings\nRule 15 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7016. Pre-Trial Procedure; Formulating Issues\nRule 16 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n238\n\n\x0cRule 7017. Parties Plaintiff and Defendant; Capacity\nRule 17 F.R.Civ.P. applies in adversary proceedings, except as provided in Rule 2010(b).\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRules 2010(d) and 5008(d), which implement \xc2\xa7\xc2\xa7322 and 345 of the Code, authorize a party\nin interest to prosecute a claim on the bond of a trustee or depository in the name of the United\nStates.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nReference to Rule 5008(d) is deleted because of the abrogation of Rule 5008.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7018. Joinder of Claims and Remedies\nRule 18 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7019. Joinder of Persons Needed for Just Determination\nRule 19 F.R.Civ.P. applies in adversary proceedings, except that (1) if an entity joined as a\nparty raises the defense that the court lacks jurisdiction over the subject matter and the defense is\nsustained, the court shall dismiss such entity from the adversary proceedings and (2) if an entity\njoined as a party properly and timely raises the defense of improper venue, the court shall\ndetermine, as provided in 28 U.S.C. \xc2\xa71412, whether that part of the proceeding involving the\njoined party shall be transferred to another district, or whether the entire adversary proceeding\nshall be transferred to another district.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule addresses a situation different from that encountered by the district court when its\njurisdiction is based on diversity of citizenship under 28 U.S.C. \xc2\xa71332. Joining of a party whose\ncitizenship is the same as that of an adversary destroys the district court\'s jurisdiction over the\n239\n\n\x0centire civil action but under 28 U.S.C. \xc2\xa71471 the attempted joinder of such a person would not\naffect the bankruptcy court\'s jurisdiction over the original adversary proceeding.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe rule is amended to delete the reference to retention of the adversary proceeding if\nvenue is improper. See 28 U.S.C. \xc2\xa71412.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7020. Permissive Joinder of Parties\nRule 20 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7021. Misjoinder and Non-Joinder of Parties\nRule 21 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7022. Interpleader\nRule 22(a) F.R.Civ.P. applies in adversary proceedings. This rule supplements\xe2\x80\x94and does\nnot limit\xe2\x80\x94the joinder of parties allowed by Rule 7020.\n(As amended Apr. 23, 2008, eff. Dec. 1, 2008.)\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to conform to the changes made to the Federal Rules of Civil\nProcedure through the restyling of those rules effective on December 1, 2007.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n240\n\n\x0cRule 7023. Class Proceedings\nRule 23 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7023.1. Derivative Actions\nRule 23.1 F.R.Civ.P. applies in adversary proceedings.\n(As amended Apr. 23, 2008, eff. Dec. 1, 2008.)\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to conform to the changes made to the Federal Rules of Civil\nProcedure through the restyling of those rules effective on December 1, 2007.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7023.2. Adversary Proceedings Relating to Unincorporated Associations\nRule 23.2 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7024. Intervention\nRule 24 F.R.Civ.P. applies in adversary proceedings.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nA person may seek to intervene in the case under the Code or in an adversary proceeding\nrelating to the case under the Code. Intervention in a case under the Code is governed by Rule 2018\nand intervention in an adversary proceeding is governed by this rule. Intervention in a case and\nintervention in an adversary proceeding must be sought separately.\nReferences in Text\n241\n\n\x0cThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7025. Substitution of Parties\nSubject to the provisions of Rule 2012, Rule 25 F.R.Civ.P. applies in adversary\nproceedings.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRule 25 F.R.Civ.P. refers to Rule 4 F.R.Civ.P. Pursuant to Rule 7002 that reference is to\nRule 4 as incorporated and modified by Rule 7004.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7026. General Provisions Governing Discovery\nRule 26 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7027. Depositions Before Adversary Proceedings or Pending Appeal\nRule 27 F.R.Civ.P. applies to adversary proceedings.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRule 27(a)(2) F.R.Civ.P. refers to Rule 4 F.R.Civ.P. Pursuant to Rule 7002 the reference is\nto Rule 4 F.R.Civ.P. as incorporated and modified by Rule 7004.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7028. Persons Before Whom Depositions May Be Taken\n\n242\n\n\x0cRule 28 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7029. Stipulations Regarding Discovery Procedure\nRule 29 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7030. Depositions Upon Oral Examination\nRule 30 F.R.Civ.P. applies in adversary proceedings.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRule 30 F.R.Civ.P. refers to Rule 4 F.R.Civ.P. Pursuant to Rule 7002 that reference is a\nreference to Rule 4 F.R.Civ.P. as incorporated and modified by Rule 7004.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7031. Deposition Upon Written Questions\nRule 31 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7032. Use of Depositions in Adversary Proceedings\nRule 32 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\n\n243\n\n\x0cThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7033. Interrogatories to Parties\nRule 33 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7034. Production of Documents and Things and Entry Upon Land for\nInspection and Other Purposes\nRule 34 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7035. Physical and Mental Examination of Persons\nRule 35 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7036. Requests for Admission\nRule 36 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7037. Failure to Make Discovery: Sanctions\nRule 37 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\n244\n\n\x0cThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7040. Assignment of Cases for Trial\nRule 40 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7041. Dismissal of Adversary Proceedings\nRule 41 F.R.Civ.P. applies in adversary proceedings, except that a complaint objecting to\nthe debtor\'s discharge shall not be dismissed at the plaintiff\'s instance without notice to the trustee,\nthe United States trustee, and such other persons as the court may direct, and only on order of the\ncourt containing terms and conditions which the court deems proper.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nDismissal of a complaint objecting to a discharge raises special concerns because the\nplaintiff may have been induced to dismiss by an advantage given or promised by the debtor or\nsomeone acting in his interest. Some courts by local rule or order have required the debtor and his\nattorney or the plaintiff to file an affidavit that nothing has been promised to the plaintiff in\nconsideration of the withdrawal of the objection. By specifically authorizing the court to impose\nconditions in the order of dismissal this rule permits the continuation of this salutary practice.\nRule 41 F.R.Civ.P. refers to Rule 19 F.R.Civ.P. Pursuant to Rule 7002 that reference is to\nRule 19 F.R.Civ.P. as incorporated and modified by Rule 7019.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe United States trustee has standing to object to the debtor\'s discharge pursuant to\n\xc2\xa7727(c) and may have refrained from commencing an adversary proceeding objecting to discharge\nwithin the time limits provided in Rule 4004 only because another party commenced such a\nproceeding. The United States trustee may oppose dismissal of the original proceeding.\nThe rule is also amended to clarify that the court may direct that other persons receive\nnotice of a plaintiff\'s motion to dismiss a complaint objecting to discharge.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n245\n\n\x0cRule 7042. Consolidation of Adversary Proceedings; Separate Trials\nRule 42 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7052. Findings by the Court\nRule 52 F.R.Civ.P. applies in adversary proceedings, except that any motion under\nsubdivision (b) of that rule for amended or additional findings shall be filed no later than 14 days\nafter entry of judgment. In these proceedings, the reference in Rule 52 F.R.Civ.P. to the entry of\njudgment under Rule 58 F.R.Civ.P. shall be read as a reference to the entry of a judgment or order\nunder Rule 5003(a).\n(As amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRule 52(a) F.R.Civ.P. refers to Rule 12 F.R.Civ.P. Pursuant to Rule 7002 this reference is\nto Rule 12 F.R.Civ.P. as incorporated and modified by Rule 7012.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended by limiting the time for filing post judgment motions for amended or\nadditional findings. In 2009, Rule 52 F. R. Civ. P. was amended to extend the deadline for filing\nthose post judgment motions to no later than 28 days after entry of the judgment. That deadline\ncorresponds to the 30-day deadline for filing a notice of appeal in a civil case under Rule\n4(a)(1)(A) F. R. App. P. In a bankruptcy case, the deadline for filing a notice of appeal is 14 days.\nTherefore, the 28-day deadline for filing a motion for amended or additional findings would\neffectively override the notice of appeal deadline under Rule 8002(a) but for this amendment.\nThe rule is amended to clarify that the reference in Rule 52 F. R. Civ. P. to Rule 58 F. R.\nCiv. P. and its provisions is construed as a reference to the entry of a judgment or order under Rule\n5003(a).\nChanges Made After Publication. No changes since publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7054. Judgments; Costs\n\n246\n\n\x0c(a) Judgments. Rule 54(a)\xe2\x80\x93(c) F.R.Civ.P. applies in adversary proceedings.\n(b) Costs. The court may allow costs to the prevailing party except when a statute of the\nUnited States or these rules otherwise provides. Costs against the United States, its officers and\nagencies shall be imposed only to the extent permitted by law. Costs may be taxed by the clerk on\n14 days\' notice; on motion served within seven days thereafter, the action of the clerk may be\nreviewed by the court.\n(As amended Apr. 23, 2012, eff. Dec. 1, 2012.)\nCommittee Notes on Rules\xe2\x80\x942012 Amendment\nSubdivision (b). Subdivision (b) is amended to provide more time for a party to respond to\nthe prevailing party\'s bill of costs. The former rule\'s provision of one day\'s notice was\nunrealistically short. The change to 14 days conforms to the change made to Civil Rule 54(d).\nExtension from five to seven days of the time for serving a motion for court review of the clerk\'s\naction implements changes in connection with the December 1, 2009, amendment to Rule 9006(a)\nand the manner by which time is computed under the rules. Throughout the rules, deadlines have\nbeen amended in the following manner:\n\xe2\x80\xa2 5-day periods became 7-day periods.\n\xe2\x80\xa2 10-day periods became 14-day periods.\n\xe2\x80\xa2 15-day periods became 14-day periods.\n\xe2\x80\xa2 20-day periods became 21-day periods.\n\xe2\x80\xa2 25-day periods became 28-day periods.\nChanges Made After Publication. No changes were made after publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subd. (a), are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7055. Default\nRule 55 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7056. Summary Judgment\nRule 56 F.R.Civ.P. applies in adversary proceedings, except that any motion for summary\njudgment must be made at least 30 days before the initial date set for an evidentiary hearing on any\nissue for which summary judgment is sought, unless a different time is set by local rule or the court\norders otherwise.\n(As amended Apr. 23, 2012, eff. Dec. 1 2012.)\nCommittee Notes on Rules\xe2\x80\x942012 Amendment\n247\n\n\x0cThe only exception to complete adoption of Rule 56 F.R.Civ.P. involves the default\ndeadline for filing a summary judgment motion. Rule 56(c)(1)(A) makes the default deadline 30\ndays after the close of all discovery. Because in bankruptcy cases hearings can occur shortly after\nthe close of discovery, a default deadline based on the scheduled hearing date, rather than the close\nof discovery, is adopted. As with Rule 56(c)(1), the deadline can be altered either by local rule or\ncourt order.\nChanges Made After Publication. No changes were made after publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7058. Entering Judgment in Adversary Proceeding\nRule 58 F.R.Civ.P. applies in adversary proceedings. In these proceedings, the reference in\nRule 58 F.R.Civ.P. to the civil docket shall be read as a reference to the docket maintained by the\nclerk under Rule 5003(a).\n(Added Mar. 26, 2009, eff. Dec. 1, 2009.)\nCommittee Notes on Rules\xe2\x80\x942009\nThis rule makes Rule 58 F.R.Civ.P. applicable in adversary proceedings and is added in\nconnection with the amendments to Rule 9021.\nChanges Made After Publication. No changes since publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7062. Stay of Proceedings to Enforce a Judgment\nRule 62 F.R.Civ.P. applies in adversary proceedings.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThe additional exceptions set forth in this rule make applicable to those matters the\nconsequences contained in Rule 62(c) and (d) with respect to orders in actions for injunctions.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to include as additional exceptions to Rule 62(a) an order granting\n248\n\n\x0crelief from the automatic stay of actions against codebtors provided by \xc2\xa71201 of the Code, the sale\nor lease of property of the estate under \xc2\xa7363, and the assumption or assignment of an executory\ncontract under \xc2\xa7365.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nThe additional exceptions to Rule 62(a) consist of orders that are issued in contested\nmatters. These exceptions are deleted from this rule because of the amendment to Rule 9014 that\nrenders this rule inapplicable in contested matters unless the court orders otherwise. See also the\namendments to Rules 3020, 3021, 4001, 6004, and 6006 that delay the implementation of certain\ntypes of orders for a period of ten days unless the court otherwise directs.\nGAP Report on Rule 7062. No changes since publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7064. Seizure of Person or Property\nRule 62 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7065. Injunctions\nRule 65 F.R.Civ.P. applies in adversary proceedings, except that a temporary restraining\norder or preliminary injunction may be issued on application of a debtor, trustee, or debtor in\npossession without compliance with Rule 65(c).\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7067. Deposit in Court\nRule 67 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n249\n\n\x0cRule 7068. Offer of Judgment\nRule 68 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7069. Execution\nRule 69 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7070. Judgment for Specific Acts; Vesting Title\nRule 70 F.R.Civ.P. applies in adversary proceedings and the court may enter a judgment\ndivesting the title of any party and vesting title in others whenever the real or personal property\ninvolved is within the jurisdiction of the court.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe reference to court is used in the amendment because the district court may preside over\nan adversary proceeding.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7071. Process in Behalf of and Against Persons Not Parties\nRule 71 F.R.Civ.P. applies in adversary proceedings.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 7087. Transfer of Adversary Proceeding\n250\n\n\x0cOn motion and after a hearing, the court may transfer an adversary proceeding or any part\nthereof to another district pursuant to 28 U.S.C. \xc2\xa71412, except as provided in Rule 7019(2).\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe reference to the venue section of title 28 is amended to conform to the 1984\namendments to title 28.\n\n251\n\n\x0cPART VIII\xe2\x80\x94APPEALS TO DISTRICT COURT OR BANKRUPTCY\nAPPELLATE PANEL\nRule 8001. Manner of Taking Appeal; Voluntary Dismissal; Certification to\nCourt of Appeals\n(a) Appeal as of Right; How Taken. An appeal from a judgment, order, or decree of a\nbankruptcy judge to a district court or bankruptcy appellate panel as permitted by 28 U.S.C.\n\xc2\xa7158(a)(1) or (a)(2) shall be taken by filing a notice of appeal with the clerk within the time\nallowed by Rule 8002. An appellant\'s failure to take any step other than timely filing a notice of\nappeal does not affect the validity of the appeal, but is ground only for such action as the district\ncourt or bankruptcy appellate panel deems appropriate, which may include dismissal of the appeal.\nThe notice of appeal shall (1) conform substantially to the appropriate Official Form, (2) contain\nthe names of all parties to the judgment, order, or decree appealed from and the names, addresses,\nand telephone numbers of their respective attorneys, and (3) be accompanied by the prescribed fee.\nEach appellant shall file a sufficient number of copies of the notice of appeal to enable the clerk to\ncomply promptly with Rule 8004.\n(b) Appeal by Leave; How Taken. An appeal from an interlocutory judgment, order, or\ndecree of a bankruptcy judge as permitted by 28 U.S.C. \xc2\xa7158(a)(3) shall be taken by filing a notice\nof appeal, as prescribed in subdivision (a) of this rule, accompanied by a motion for leave to appeal\nprepared in accordance with Rule 8003 and with proof of service in accordance with Rule 8008.\n(c) Voluntary Dismissal.\n(1) Before Docketing. If an appeal has not been docketed, the appeal may be dismissed by\nthe bankruptcy judge on the filing of a stipulation for dismissal signed by all the parties, or on\nmotion and notice by the appellant.\n(2) After Docketing. If an appeal has been docketed and the parties to the appeal sign and\nfile with the clerk of the district court or the clerk of the bankruptcy appellate panel an agreement\nthat the appeal be dismissed and pay any court costs or fees that may be due, the clerk of the district\ncourt or the clerk of the bankruptcy appellate panel shall enter an order dismissing the appeal. An\nappeal may also be dismissed on motion of the appellant on terms and conditions fixed by the\ndistrict court or bankruptcy appellate panel.\n[(d) Effect of Taking a Direct Appeal to the Court of Appeals] (Abrogated Mar. 30, 1987,\neff. Aug. 1, 1987)\n(e) Election To Have Appeal Heard by District Court Instead of Bankruptcy Appellate\nPanel; Withdrawal of Election.\n(1) Separate Writing for Election. An election to have an appeal heard by the district court\nunder 28 U.S.C. \xc2\xa7158(c)(1) may be made only by a statement of election contained in a separate\nwriting filed within the time prescribed by 28 U.S.C. \xc2\xa7158(c)(1).\n(2) Withdrawal of Election. A request to withdraw the election may be filed only by written\nstipulation of all the parties to the appeal or their attorneys of record. Upon such a stipulation, the\ndistrict court may either transfer the appeal to the bankruptcy appellate panel or retain the appeal in\nthe district court.\n252\n\n\x0c(f) Certification for Direct Appeal to Court of Appeals.\n(1) Timely Appeal Required. A certification of a judgment, order, or decree of a bankruptcy\ncourt to a court of appeals under 28 U.S.C. \xc2\xa7158(d)(2) shall not be effective until a timely appeal\nhas been taken in the manner required by subdivisions (a) or (b) of this rule and the notice of\nappeal has become effective under Rule 8002.\n(2) Court Where Certification Made and Filed. A certification that a circumstance\nspecified in 28 U.S.C. \xc2\xa7158(d)(2)(A)(i)\xe2\x80\x93(iii) exists shall be filed in the court in which a matter is\npending for purposes of 28 U.S.C. \xc2\xa7158(d)(2) and this rule. A matter is pending in a bankruptcy\ncourt until the docketing, in accordance with Rule 8007(b), of an appeal taken under 28 U.S.C.\n\xc2\xa7158(a)(1) or (2), or the grant of leave to appeal under 28 U.S.C. \xc2\xa7158(a)(3). A matter is pending\nin a district court or bankruptcy appellate panel after the docketing, in accordance with Rule\n8007(b), of an appeal taken under 28 U.S.C. \xc2\xa7158(a)(1) or (2), or the grant of leave to appeal under\n28 U.S.C. \xc2\xa7158(a)(3).\n(A) Certification by Court on Request or Court\'s Own Initiative.\n(i) Before Docketing or Grant of Leave to Appeal. Only a bankruptcy court may make a\ncertification on request or on its own initiative while the matter is pending in the bankruptcy court.\n(ii) After Docketing or Grant of Leave to Appeal. Only the district court or bankruptcy\nappellate panel involved may make a certification on request of the parties or on its own initiative\nwhile the matter is pending in the district court or bankruptcy appellate panel.\n(B) Certification by All Appellants and Appellees Acting Jointly. A certification by all the\nappellants and appellees, if any, acting jointly may be made by filing the appropriate Official Form\nwith the clerk of the court in which the matter is pending. The certification may be accompanied by\na short statement of the basis for the certification, which may include the information listed in\nsubdivision (f)(3)(C) of this rule.\n(3) Request for Certification; Filing; Service; Contents.\n(A) A request for certification shall be filed, within the time specified by 28 U.S.C.\n\xc2\xa7158(d)(2), with the clerk of the court in which the matter is pending.\n(B) Notice of the filing of a request for certification shall be served in the manner required\nfor service of a notice of appeal under Rule 8004.\n(C) A request for certification shall include the following:\n(i) the facts necessary to understand the question presented;\n(ii) the question itself;\n(iii) the relief sought;\n(iv) the reasons why the appeal should be allowed and is authorized by statute or rule,\nincluding why a circumstance specified in 28 U.S.C. \xc2\xa7158(d)(2)(A)(i)\xe2\x80\x93(iii) exists; and\n(v) an attached copy of the judgment, order, or decree complained of and any related\nopinion or memorandum.\n(D) A party may file a response to a request for certification or a cross request within 14\ndays after the notice of the request is served, or another time fixed by the court.\n(E) Rule 9014 does not govern a request, cross request, or any response. The matter shall\nbe submitted without oral argument unless the court otherwise directs.\n(F) A certification of an appeal under 28 U.S.C. \xc2\xa7158(d)(2) shall be made in a separate\n253\n\n\x0cdocument served on the parties.\n(4) Certification on Court\'s Own Initiative.\n(A) A certification of an appeal on the court\'s own initiative under 28 U.S.C. \xc2\xa7158(d)(2)\nshall be made in a separate document served on the parties in the manner required for service of a\nnotice of appeal under Rule 8004. The certification shall be accompanied by an opinion or\nmemorandum that contains the information required by subdivision (f)(3)(C)(i)\xe2\x80\x93(iv) of this rule.\n(B) A party may file a supplementary short statement of the basis for certification within 14\ndays after the certification.\n(5) Duties of Parties After Certification. A petition for permission to appeal in accordance\nwith F.R.App.P. 5 shall be filed no later than 30 days after a certification has become effective as\nprovided in subdivision (f)(1).\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 11,\n1997, eff. Dec. 1, 1997; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThese rules in Part VIII apply only to appeals to the district courts or bankruptcy appellate\npanels. Subsequent appeals to the courts of appeals, or direct appeals by agreement of the parties\nunder 28 U.S.C. \xc2\xa71293(b), are governed by the Federal Rules of Appellate Procedure.\nSubdivisions (a) and (b) require that a notice of appeal be filed whenever a litigant seeks to\nsecure appellate review by the district court or bankruptcy appellate panel. An appeal from an\ninterlocutory order which will be heard only if leave is granted under 28 U.S.C. \xc2\xa7\xc2\xa71334(b) or\n1482(b) is taken by filing a notice of appeal accompanied by a motion for leave to appeal which\ncomplies with the requirements set forth in Rule 8003. Rule 8003 also governs other aspects of\ninterlocutory appeals.\nSubdivision (c) is an adaptation of Rule 42 F.R.App.P.\nSubdivision (d) deals with the situation in which an appellant perfects an appeal to the\ndistrict court or a bankruptcy appellate panel and also a direct appeal pursuant to 28 U.S.C.\n\xc2\xa71293(b) to the court of appeals. This subdivision provides that once the appeal to the court of\nappeals is taken, a notice of appeal to the district court or bankruptcy appellate panel shall be\ndismissed and, if the first appeal is to the district court or bankruptcy appellate panel, the first\nappeal shall be dismissed. Paragraph (3) gives an appellant or cross appellant an opportunity to file\nan appeal to the district court or bankruptcy appellate panel if the court of appeals dismisses the\ndirect appeal because the judgment, order, or decree appealed from is not final. Since the court of\nappeals has determined the judgment, order, or decree is not final, the new appeal is an appeal for\nwhich leave is necessary.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivisions (a) and (b) are amended to conform to the 1984 amendments.\nSubdivision (d) is abrogated because there is no direct appeal to the court of appeals under\n28 U.S.C. \xc2\xa7158, as enacted by the 1984 amendments.\nSubdivision (e) is new. Section 158(b)(1) of title 28 authorizes the circuit councils to\nestablish bankruptcy appellate panels. Appeals may not be heard by these panels unless the district\ncourt authorizes the referral and all parties to the appeal consent. This rule requires that the parties\n254\n\n\x0cconsent to such an appeal; however, the method of consenting to an appeal may be the subject of a\nrule promulgated by a circuit council under Rule 8018.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nReference to the Official Form number is deleted in anticipation of future revision and\nrenumbering of the Official Forms.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nThis rule is amended to conform to the Bankruptcy Reform Act of 1994 which amended 28\nU.S.C. \xc2\xa7158. As amended, a party may\xe2\x80\x94without obtaining leave of the court\xe2\x80\x94appeal from an\ninterlocutory order or decree of the bankruptcy court issued under \xc2\xa71121(d) of the Code increasing\nor reducing the time periods referred to in \xc2\xa71121.\nSubdivision (e) is amended to provide the procedure for electing under 28 U.S.C.\n\xc2\xa7158(c)(1) to have an appeal heard by the district court instead of the bankruptcy appellate panel\nservice. This subdivision is applicable only if a bankruptcy appellate panel service is authorized\nunder 28 U.S.C. \xc2\xa7158(b) to hear the appeal.\nGAP Report on Rule 8001. The heading of subdivision (e) is amended to clarify that it\napplies to the election to have an appeal heard by the district court instead of the BAP. The final\nparagraph of the Committee Note is revised to clarify that subdivision (e) is applicable only if a\nBAP is authorized to hear the appeal.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (e) is amended by redesignating the subdivision as (e)(1) and adding new\nsubdivision (e)(2). Subdivision (e)(2) explicitly recognizes the district court\'s authority to transfer\nan appeal to the bankruptcy appellate panel on two conditions: first, all of the parties to the appeal\nmust have agreed to request the withdrawal of the election to have the district court hear the\nappeal; and, second, the district court must decide whether to grant the request for withdrawal. The\ndistrict court has discretion either to keep the case or transfer it to the bankruptcy appellate panel,\nwhich will prevent strategic behavior by parties and avoid the wasting of judicial resources.\nSubdivision (f) is added to the rule to implement the 2005 amendments to 28 U.S.C.\n\xc2\xa7158(d). That section authorizes appeals directly to the court of appeals, with that court\'s consent,\nupon certification that a ground for the appeal exists under \xc2\xa7158(d)(2)(A)(i)\xe2\x80\x93(iii). Certification can\nbe made by the court on its own initiative under subdivision (f)(4), or in response to a request of a\nparty or a majority of the appellants and appellees (if any) under subdivision (f)(3). Certification\nalso can be made by all of the appellants and appellees under subdivision (f)(2)(B). Under\nsubdivision (f)(1), certification is effective only when a timely appeal is commenced under\nsubdivision (a) or (b), and a notice of appeal has been timely filed under Rule 8002. These actions\nwill provide sufficient notice of the appeal to the circuit clerk, so the rule dispenses with the\nuncodified temporary procedural requirements set out in \xc2\xa71233(b)(4) of the Bankruptcy Abuse\nPrevention and Consumer Protection Act of 2005, Pub. L. No. 109\xe2\x80\x938.\nThe rule adopts a bright-line test for identifying the court in which a matter is pending.\nUnder subdivision (f)(2), the bright-line chosen is the "docketing" under Rule 8007(b) of an appeal\nof an interlocutory order or decree under 28 U.S.C. \xc2\xa7158(a)(2) or a final judgment, order or decree\nunder 28 U.S.C. \xc2\xa7158(a)(1), or the granting of leave to appeal any other interlocutory judgment,\n255\n\n\x0corder or decree under 28 U.S.C. \xc2\xa7158(a)(3), whichever is earlier.\nTo ensure that parties are aware of a certification, the rule requires either that it be made on\nthe Official Form (if being made by all of the parties to the appeal) or on a separate document\n(whether the certification is made on the court\'s own initiative or in response to a request by a\nparty). This is particularly important because the rule adopts the bankruptcy practice established\nby Rule 8001(a) and (b) of requiring a notice of appeal in every instance, including interlocutory\norders, of appeals from bankruptcy court orders, judgments, and decrees. Because this requirement\nis satisfied by filing the notice of appeal that takes the appeal to the district court or bankruptcy\nappellate panel in the first instance, the rule does not require a separate notice of appeal if a\ncertification occurs after a district court or bankruptcy appellate panel decision.\nA certification under subdivision (f)(1) does not place the appeal in the circuit court.\nRather, the court of appeals must first authorize the direct appeal. Subdivision (f)(5) therefore\nprovides that any party intending to pursue the appeal in the court of appeals must seek that\npermission under Rule 5 of the Federal Rules of Appellate Procedure. Subdivision (f)(5) requires\nthat the petition for permission to appeal be filed within 30 days after an effective certification.\nChanges Made After Publication. The second paragraph of the Committee Note was\namended to identify more specifically the different ways in which the certification of a direct\nappeal to the court of appeals.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nReferences in Text\nThe Federal Rules of Appellate Procedure, referred to in subd. (f)(5), are set out in the\nAppendix to Title 28, Judiciary and Judicial Procedure.\n\nRule 8002. Time for Filing Notice of Appeal\n(a) Fourteen-Day Period. The notice of appeal shall be filed with the clerk within 14 days\nof the date of the entry of the judgment, order, or decree appealed from. If a timely notice of appeal\nis filed by a party, any other party may file a notice of appeal within 14 days of the date on which\nthe first notice of appeal was filed, or within the time otherwise prescribed by this rule, whichever\nperiod last expires. A notice of appeal filed after the announcement of a decision or order but\nbefore entry of the judgment, order, or decree shall be treated as filed after such entry and on the\nday thereof. If a notice of appeal is mistakenly filed with the district court or the bankruptcy\nappellate panel, the clerk of the district court or the clerk of the bankruptcy appellate panel shall\n256\n\n\x0cnote thereon the date on which it was received and transmit it to the clerk and it shall be deemed\nfiled with the clerk on the date so noted.\n(b) Effect of Motion on Time for Appeal. If any party makes a timely motion of a type\nspecified immediately below, the time for appeal for all parties runs from the entry of the order\ndisposing of the last such motion outstanding. This provision applies to a timely motion:\n(1) to amend or make additional findings of fact under Rule 7052, whether or not granting\nthe motion would alter the judgment;\n(2) to alter or amend the judgment under Rule 9023;\n(3) for a new trial under Rule 9023; or\n(4) for relief under Rule 9024 if the motion is filed no later than 14 days after the entry of\njudgment. A notice of appeal filed after announcement or entry of the judgment, order, or decree\nbut before disposition of any of the above motions is ineffective to appeal from the judgment,\norder, or decree, or part thereof, specified in the notice of appeal, until the entry of the order\ndisposing of the last such motion outstanding. Appellate review of an order disposing of any of the\nabove motions requires the party, in compliance with Rule 8001, to amend a previously filed\nnotice of appeal. A party intending to challenge an alteration or amendment of the judgment, order,\nor decree shall file a notice, or an amended notice, of appeal within the time prescribed by this Rule\n8002 measured from the entry of the order disposing of the last such motion outstanding. No\nadditional fees will be required for filing an amended notice.\n(c) Extension of Time for Appeal.\n(1) The bankruptcy judge may extend the time for filing the notice of appeal by any party,\nunless the judgment, order, or decree appealed from:\n(A) grants relief from an automatic stay under \xc2\xa7362, \xc2\xa7922, \xc2\xa71201, or \xc2\xa71301;\n(B) authorizes the sale or lease of property or the use of cash collateral under \xc2\xa7363;\n(C) authorizes the obtaining of credit under \xc2\xa7364;\n(D) authorizes the assumption or assignment of an executory contract or unexpired lease\nunder \xc2\xa7365;\n(E) approves a disclosure statement under \xc2\xa71125; or\n(F) confirms a plan under \xc2\xa7943, \xc2\xa71129, \xc2\xa71225, or \xc2\xa71325 of the Code.\n(2) A request to extend the time for filing a notice of appeal must be made by written\nmotion filed before the time for filing a notice of appeal has expired, except that such a motion\nfiled not later than 21 days after the expiration of the time for filing a notice of appeal may be\ngranted upon a showing of excusable neglect. An extension of time for filing a notice of appeal\nmay not exceed 21 days from the expiration of the time for filing a notice of appeal otherwise\nprescribed by this rule or 14 days from the date of entry of the order granting the motion,\nwhichever is later.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 29,\n1994, eff. Aug. 1, 1994; Apr. 11, 1997, eff. Dec. 1, 1997; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is an adaptation of Rule 4(a) F.R.App.P. The time to appeal from a judgment,\norder, or decree of a bankruptcy judge is 10 days, rather than the 30 days provided for in the civil\npractice. The shortened time is specified in order to obtain prompt appellate review, often\nimportant to the administration of a case under the Code. If a timely notice of appeal is filed, other\n257\n\n\x0cparties have an additional 10 days within which to file a notice of appeal. A notice of appeal filed\nwithin the additional 10 day period by an appellee is a cross appeal, but there is a separate appeal if\na non-appellee files a notice of appeal within that 10 day period. The district courts and bankruptcy\nappellate panels have inherent authority to consolidate appeals.\nSubdivision (b) is essentially the same as Rule 4(a)(4) of the F.R.App.P.\nSubdivision (c) is similar to former Bankruptcy Rule 802(c). To expedite the disposition of\nappeals the maximum extension of time is 20 days instead of the 30 days provided by Rule 4(a)(5)\nof the F.R.App.P. Subject to the exceptions set forth in subdivision (c), the court may extend the\ntime for taking an appeal when a motion for extension is filed after the expiration of the original 10\nday period but no later than 20 days after the expiration of the original 10 day period. Orders of the\nbankruptcy court relating to the sale of property, extension of credit, confirmation of a plan,\ndismissal or conversion of the case, and approval of the disclosure statement are of such\nsignificance to the administration of the case, the parties in interest, and third parties that this\nsubdivision requires that either an appeal or a motion for extension be filed within the original 10\nday period.\nIf a timely notice of appeal is not filed, no appeal may be taken later. Former Bankruptcy\nRule 803, which provided that a referee\'s judgment became final when the appeal period expired,\nhas been omitted as unnecessary.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to conform to F.R.App.P. 4(a)(2) which is designed to avoid\nthe loss of the right to appeal when a notice of appeal is filed prematurely.\nSubdivision (b)(1) is deleted because Rule 9015 was abrogated in 1987.\nNotes of Advisory Committee on Rules\xe2\x80\x941994 Amendment\nThese amendments are intended to conform to the 1993 amendments to F.R.App.P. 4(a)(4)\nand 6(b)(2)(i).\nThis rule as amended provides that a notice of appeal filed before the disposition of a\nspecified postjudgment motion will become effective upon disposition of the motion. A notice\nfiled before the filing of one of the specified motions or after the filing of a motion but before\ndisposition of the motion is, in effect, suspended until the motion is disposed of, whereupon, the\npreviously filed notice effectively places jurisdiction in the district court or bankruptcy appellate\npanel.\nBecause a notice of appeal will ripen into an effective appeal upon disposition of a\npostjudgment motion, in some instances there will be an appeal from a judgment that has been\naltered substantially because the motion was granted in whole or in part. The appeal may be\ndismissed for want of prosecution when the appellant fails to meet the briefing schedule. But, the\nappellee may also move to strike the appeal. When responding to such a motion, the appellant\nwould have an opportunity to state that, even though some relief sought in a postjudgment motion\nwas granted, the appellant still plans to pursue the appeal. Because the appellant\'s response would\nprovide the appellee with sufficient notice of the appellant\'s intentions, the rule does not require an\nadditional notice of appeal in that situation.\nThe amendment provides that a notice of appeal filed before the disposition of a\npostjudgment tolling motion is sufficient to bring the judgment, order, or decree specified in the\noriginal notice of appeal to the district court or bankruptcy appellate panel. If the judgment is\n258\n\n\x0caltered upon disposition of a postjudgment motion, however, and if a party who has previously\nfiled a notice of appeal wishes to appeal from the disposition of the motion, the party must amend\nthe notice to so indicate. When a party files an amended notice, no additional fees are required\nbecause the notice is an amendment of the original and not a new notice of appeal.\nSubdivision (b) is also amended to include, among motions that extend the time for filing a\nnotice of appeal, a motion under Rule 9024 that is filed within 10 days after entry of judgment. The\naddition of this motion conforms to a similar amendment to F.R.App.P. 4(a)(4) made in 1993,\nexcept that a Rule 9024 motion does not toll the time to appeal unless it is filed within the 10-day\nperiod. The reason for providing that the motion extends the time to appeal only if it is filed within\nthe 10-day period is to enable the court and the parties in interest to determine solely from the court\nrecords whether the time to appeal has been extended by a motion for relief under Rule 9024.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nSubdivision (c) is amended to provide that a request for an extension of time to file a notice\nof appeal must be filed within the applicable time period. This amendment will avoid uncertainty\nas to whether the mailing of a motion or an oral request in court is sufficient to request an extension\nof time, and will enable the court and the parties in interest to determine solely from the court\nrecords whether a timely request for an extension has been made.\nThe amendments also give the court discretion to permit a party to file a notice of appeal\nmore than 20 days after expiration of the time to appeal otherwise prescribed, but only if the\nmotion was timely filed and the notice of appeal is filed within a period not exceeding 10 days after\nentry of the order extending the time. This amendment is designed to protect parties that file timely\nmotions to extend the time to appeal from the harshness of the present rule as demonstrated in In re\nMouradick, 13 F.3d 326 (9th Cir. 1994), where the court held that a notice of appeal filed within\nthe 3-day period expressly prescribed by an order granting a timely motion for an extension of time\ndid not confer jurisdiction on the appellate court because the notice of appeal was not filed within\nthe 20-day period specified in subdivision (c).\nThe subdivision is amended further to prohibit any extension of time to file a notice of\nappeal\xe2\x80\x94even if the motion for an extension is filed before the expiration of the original time to\nappeal\xe2\x80\x94if the order appealed from grants relief from the automatic stay, authorizes the sale or\nlease of property, use of cash collateral, obtaining of credit, or assumption or assignment of an\nexecutory contract or unexpired lease under \xc2\xa7365, or approves a disclosure statement or confirms a\nplan. These types of orders are often relied upon immediately after they are entered and should not\nbe reviewable on appeal after the expiration of the original appeal period under Rule 8002(a) and\n(b).\nGAP Report on Rule 8002. No changes to the published draft.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n259\n\n\x0c\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 8003. Leave to Appeal\n(a) Content of Motion; Answer. A motion for leave to appeal under 28 U.S.C. \xc2\xa7158(a) shall\ncontain: (1) a statement of the facts necessary to an understanding of the questions to be presented\nby the appeal; (2) a statement of those questions and of the relief sought; (3) a statement of the\nreasons why an appeal should be granted; and (4) a copy of the judgment, order, or decree\ncomplained of and of any opinion or memorandum relating thereto. Within 14 days after service of\nthe motion, an adverse party may file with the clerk an answer in opposition.\n(b) Transmittal; Determination of Motion. The clerk shall transmit the notice of appeal, the\nmotion for leave to appeal and any answer thereto to the clerk of the district court or the clerk of the\nbankruptcy appellate panel as soon as all parties have filed answers or the time for filing an answer\nhas expired. The motion and answer shall be submitted without oral argument unless otherwise\nordered.\n(c) Appeal Improperly Taken Regarded as a Motion for Leave to Appeal. If a required\nmotion for leave to appeal is not filed, but a notice of appeal is timely filed, the district court or\nbankruptcy appellate panel may grant leave to appeal or direct that a motion for leave to appeal be\nfiled. The district court or the bankruptcy appellate panel may also deny leave to appeal but in so\ndoing shall consider the notice of appeal as a motion for leave to appeal. Unless an order directing\nthat a motion for leave to appeal be filed provides otherwise, the motion shall be filed within 14\ndays of entry of the order.\n(d) Requirement of Leave to Appeal. If leave to appeal is required by 28 U.S.C. \xc2\xa7158(a)\nand has not earlier been granted, the authorization of a direct appeal by a court of appeals under 28\nU.S.C. \xc2\xa7158(d)(2) shall be deemed to satisfy the requirement for leave to appeal.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26,\n2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivisions (a) and (b) of this rule are derived from Rules 5 and 6 F.R.App.P. The motion\nfor leave to appeal is addressed to the district court or the bankruptcy appellate panel, although\nfiled with the clerk of the bankruptcy court.\nSubdivision (c) provides that if a party mistakenly believes the order appealed from is final\nand files only a notice of appeal, the appeal is not automatically dismissed. The district court or\nbankruptcy appellate panel has the options to direct that a motion be filed, to decide exclusively on\nthe papers already filed to grant leave to appeal, or to deny leave to appeal. Cf. 28 U.S.C. \xc2\xa72103.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to add subdivision (d) to solve the jurisdictional problem that could\notherwise ensue when a district court or bankruptcy appellate panel has not granted leave to appeal\nunder 28 U.S.C. \xc2\xa7158(a)(3). If the court of appeals accepts the appeal, the requirement of leave to\nappeal is deemed satisfied. However, if the court of appeals does not authorize a direct appeal, the\nquestion of whether to grant leave to appeal remains a matter to be resolved by the district court or\n260\n\n\x0cthe bankruptcy appellate panel.\nChanges Made After Publication. No changes were made after publication.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 8004. Service of the Notice of Appeal\nThe clerk shall serve notice of the filing of a notice of appeal by mailing a copy thereof to\ncounsel of record of each party other than the appellant or, if a party is not represented by counsel,\nto the party\'s last known address. Failure to serve notice shall not affect the validity of the appeal.\nThe clerk shall note on each copy served the date of the filing of the notice of appeal and shall note\nin the docket the names of the parties to whom copies are mailed and the date of the mailing. The\nclerk shall forthwith transmit to the United States trustee a copy of the notice of appeal, but failure\nto transmit such notice shall not affect the validity of the appeal.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is an adaptation of Rule 3(d) F.R.App.P.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to keep the United States trustee informed of the progress of the case.\n\nRule 8005. Stay Pending Appeal\nA motion for a stay of the judgment, order, or decree of a bankruptcy judge, for approval of\na supersedeas bond, or for other relief pending appeal must ordinarily be presented to the\nbankruptcy judge in the first instance. Notwithstanding Rule 7062 but subject to the power of the\ndistrict court and the bankruptcy appellate panel reserved hereinafter, the bankruptcy judge may\nsuspend or order the continuation of other proceedings in the case under the Code or make any\nother appropriate order during the pendency of an appeal on such terms as will protect the rights of\nall parties in interest. A motion for such relief, or for modification or termination of relief granted\nby a bankruptcy judge, may be made to the district court or the bankruptcy appellate panel, but the\nmotion shall show why the relief, modification, or termination was not obtained from the\nbankruptcy judge. The district court or the bankruptcy appellate panel may condition the relief it\n261\n\n\x0cgrants under this rule on the filing of a bond or other appropriate security with the bankruptcy\ncourt. When an appeal is taken by a trustee, a bond or other appropriate security may be required,\nbut when an appeal is taken by the United States or an officer or agency thereof or by direction of\nany department of the Government of the United States a bond or other security shall not be\nrequired.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThe first, third, and fourth sentences of this rule are adaptations of Rule 8(a) and (b)\nF.R.App.P. The second sentence of the rule is derived from \xc2\xa739(c) of the Bankruptcy Act and\nconfers on the bankruptcy judge discretion respecting the stay or continuation of other proceedings\nin the case while an appeal is pending.\nThe last sentence of the rule, which specifically subjects a trustee to the same kind of\nsecurity requirements as other litigants, is derived from former Bankruptcy Rule 805. The\nexemption of the United States from the bond or security requirements is the same as the\nexemption contained in Rule 62(e) F.R.Civ.P.\nSections 363(m) and 364(e) of the Code provide that unless an order approving a sale of\nproperty, or authorizing the obtaining of credit or the incurring of debt is stayed pending appeal,\nthe sale of property to a good faith purchaser or a good faith extension of credit, with or without\nany priority or lien, shall not be affected by the reversal or modification of such order on appeal,\nwhether or not the purchaser or creditor knows of the pendency of the appeal.\n\nRule 8006. Record and Issues on Appeal\nWithin 14 days after filing the notice of appeal as provided by Rule 8001(a), entry of an\norder granting leave to appeal, or entry of an order disposing of the last timely motion outstanding\nof a type specified in Rule 8002(b), whichever is later, the appellant shall file with the clerk and\nserve on the appellee a designation of the items to be included in the record on appeal and a\nstatement of the issues to be presented. Within 14 days after the service of the appellant\'s statement\nthe appellee may file and serve on the appellant a designation of additional items to be included in\nthe record on appeal and, if the appellee has filed a cross appeal, the appellee as cross appellant\nshall file and serve a statement of the issues to be presented on the cross appeal and a designation\nof additional items to be included in the record. A cross appellee may, within 14 days of service of\nthe cross appellant\'s statement, file and serve on the cross appellant a designation of additional\nitems to be included in the record. The record on appeal shall include the items so designated by\nthe parties, the notice of appeal, the judgment, order, or decree appealed from, and any opinion,\nfindings of fact, and conclusions of law of the court. Any party filing a designation of the items to\nbe included in the record shall provide to the clerk a copy of the items designated or, if the party\nfails to provide the copy, the clerk shall prepare the copy at the party\'s expense. If the record\ndesignated by any party includes a transcript of any proceeding or a part thereof, the party shall,\nimmediately after filing the designation, deliver to the reporter and file with the clerk a written\nrequest for the transcript and make satisfactory arrangements for payment of its cost. All parties\nshall take any other action necessary to enable the clerk to assemble and transmit the record.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 29,\n1994, eff. Aug. 1, 1994; Mar. 26, 2009, eff. Dec. 1, 2009.)\n262\n\n\x0cNotes of Advisory Committee on Rules\xe2\x80\x941983\n\nThis rule is an adaptation of Rule 10(b) F.R.App.P. The last sentence of the rule is derived\nfrom Rule 11(a) F.R.App.P.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe seven-day time periods are changed to 10 days to conform to Rule 75(b)(2) F.R.Civ.P.\nand Rule 10(b)(3) F.R.App.P. The amendment requiring a party to provide a copy of the items\ndesignated for the record is to facilitate the amendments to Rule 8007 providing for retention by\nthe bankruptcy clerk of the original record.\nNotes of Advisory Committee on Rules\xe2\x80\x941994 Amendment\nThe amendment to the first sentence of this rule is made together with the amendment to\nRule 8002(b), which provides, in essence, that certain specified postjudgment motions suspend a\nfiled notice of appeal until the disposition of the last of such motions. The purpose of this\namendment is to suspend the 10-day period for filing and serving a designation of the record and\nstatement of the issues if a timely postjudgment motion is made and a notice of appeal is\nsuspended under Rule 8002(b). The 10-day period set forth in the first sentence of this rule begins\nto run when the order disposing of the last of such postjudgment motions outstanding is entered.\nThe other amendments to this rule are stylistic.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 8007. Completion and Transmission of the Record; Docketing of the\nAppeal\n(a) Duty of Reporter To Prepare and File Transcript. On receipt of a request for a transcript,\nthe reporter shall acknowledge on the request the date it was received and the date on which the\nreporter expects to have the transcript completed and shall transmit the request, so endorsed, to the\nclerk or the clerk of the bankruptcy appellate panel. On completion of the transcript the reporter\nshall file it with the clerk and, if appropriate, notify the clerk of the bankruptcy appellate panel. If\nthe transcript cannot be completed within 30 days of receipt of the request the reporter shall seek\nan extension of time from the clerk or the clerk of the bankruptcy appellate panel and the action of\n263\n\n\x0cthe clerk shall be entered in the docket and the parties notified. If the reporter does not file the\ntranscript within the time allowed, the clerk or the clerk of the bankruptcy appellate panel shall\nnotify the bankruptcy judge.\n(b) Duty of Clerk To Transmit Copy of Record; Docketing of Appeal. When the record is\ncomplete for purposes of appeal, the clerk shall transmit a copy thereof forthwith to the clerk of the\ndistrict court or the clerk of the bankruptcy appellate panel. On receipt of the transmission the clerk\nof the district court or the clerk of the bankruptcy appellate panel shall enter the appeal in the\ndocket and give notice promptly to all parties to the judgment, order, or decree appealed from of\nthe date on which the appeal was docketed. If the bankruptcy appellate panel directs that additional\ncopies of the record be furnished, the clerk of the bankruptcy appellate panel shall notify the\nappellant and, if the appellant fails to provide the copies, the clerk shall prepare the copies at the\nexpense of the appellant.\n(c) Record for Preliminary Hearing. If prior to the time the record is transmitted a party\nmoves in the district court or before the bankruptcy appellate panel for dismissal, for a stay\npending appeal, for additional security on the bond on appeal or on a supersedeas bond, or for any\nintermediate order, the clerk at the request of any party to the appeal shall transmit to the clerk of\nthe district court or the clerk of the bankruptcy appellate panel a copy of the parts of the record as\nany party to the appeal shall designate.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) is an adaptation of Rule 11(b) F.R.App.P.\nSubdivision (b) is similar to former Bankruptcy Rule 807. The duty of the clerk of the\nbankruptcy court to transmit the record as soon as the record is complete is derived from the\nsecond paragraph of Rule 11(b) F.R.App.P. The last sentence of the subdivision applies to appeals\nto bankruptcy appellate panels. Additional copies of the record may be needed when the appendix\nto the brief required under Rule 8009(b) is not adequate in the judgment of the bankruptcy\nappellate panel for disposition of the appeal. If additional copies are required, the appellant will\narrange for the production of the copies; if the appellant fails to do so, the clerk of the bankruptcy\nappellate panel shall prepare the copies at the expense of the appellant.\nSubdivision (c) is derived from subdivisions (c), (e) and (f) of Rule 11 F.R.App.P. and\nsubdivision (d) is essentially the same as Rule 11(b) F.R.App.P.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to require that the bankruptcy clerk retain the original record and\ntransmit a copy of the record to the clerk of the district court or bankruptcy appellate panel.\nTransmission of the original documents may cause disruption in the continuing administration of\nthe case in the bankruptcy court.\n\nRule 8008. Filing and Service\n(a) Filing. Papers required or permitted to be filed with the clerk of the district court or the\nclerk of the bankruptcy appellate panel may be filed by mail addressed to the clerk, but filing is not\ntimely unless the papers are received by the clerk within the time fixed for filing, except that briefs\n264\n\n\x0care deemed filed on the day of mailing. An original and one copy of all papers shall be filed when\nan appeal is to the district court; an original and three copies shall be filed when an appeal is to a\nbankruptcy appellate panel. The district court or bankruptcy appellate panel may require that\nadditional copies be furnished. Rule 5005(a)(2) applies to papers filed with the clerk of the district\ncourt or the clerk of the bankruptcy appellate panel if filing by electronic means is authorized by\nlocal rule promulgated pursuant to Rule 8018.\n(b) Service of All Papers Required. Copies of all papers filed by any party and not required\nby these rules to be served by the clerk of the district court or the clerk of the bankruptcy appellate\npanel shall, at or before the time of filing, be served by the party or a person acting for the party on\nall other parties to the appeal. Service on a party represented by counsel shall be made on counsel.\n(c) Manner of Service. Service may be personal or by mail. Personal service includes\ndelivery of the copy to a clerk or other responsible person at the office of counsel. Service by mail\nis complete on mailing.\n(d) Proof of Service. Papers presented for filing shall contain an acknowledgment of\nservice by the person served or proof of service in the form of a statement of the date and manner\nof service and of the names of the persons served, certified by the person who made service. The\nclerk of the district court or the clerk of the bankruptcy appellate panel may permit papers to be\nfiled without acknowledgment or proof of service but shall require the acknowledgment or proof\nof service to be filed promptly thereafter.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 1996, eff. Dec. 1, 1996.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is an adaptation of Rule 25 F.R.App.P. Motions, briefs, appendices when\nrequired, statements, and any other filed paper must be accompanied by the specified number of\ncopies. Rules 8001 and 8004 govern the number of copies of the notice of appeal which must be\nfiled.\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nThis rule is amended to permit, but not require, district courts and, where bankruptcy\nappellate panels have been authorized, circuit councils to adopt local rules that allow filing of\ndocuments by electronic means, subject to the limitations contained in Rule 5005(a)(2). See the\ncommittee note to the amendments to Rule 5005. Other amendments to this rule are stylistic.\nGAP Report on Rule 8008. No changes since publication, except for stylistic changes.\n\nRule 8009. Briefs and Appendix; Filing and Service\n(a) Briefs. Unless the district court or the bankruptcy appellate panel by local rule or by\norder excuses the filing of briefs or specifies different time limits:\n(1) The appellant shall serve and file a brief within 14 days after entry of the appeal on the\ndocket pursuant to Rule 8007.\n(2) The appellee shall serve and file a brief within 14 days after service of the brief of\nappellant. If the appellee has filed a cross appeal, the brief of the appellee shall contain the issues\nand argument pertinent to the cross appeal, denominated as such, and the response to the brief of\nthe appellant.\n265\n\n\x0c(3) The appellant may serve and file a reply brief within 14 days after service of the brief of\nthe appellee, and if the appellee has cross-appealed, the appellee may file and serve a reply brief to\nthe response of the appellant to the issues presented in the cross appeal within 14 days after service\nof the reply brief of the appellant. No further briefs may be filed except with leave of the district\ncourt or the bankruptcy appellate panel.\n(b) Appendix to Brief. If the appeal is to a bankruptcy appellate panel, the appellant shall\nserve and file with the appellant\'s brief excerpts of the record as an appendix, which shall include\nthe following:\n(1) The complaint and answer or other equivalent pleadings;\n(2) Any pretrial order;\n(3) The judgment, order, or decree from which the appeal is taken;\n(4) Any other orders relevant to the appeal;\n(5) The opinion, findings of fact, or conclusions of law filed or delivered orally by the court\nand citations of the opinion if published;\n(6) Any motion and response on which the court rendered decision;\n(7) The notice of appeal;\n(8) The relevant entries in the bankruptcy docket; and\n(9) The transcript or portion thereof, if so required by a rule of the bankruptcy appellate\npanel.\nAn appellee may also serve and file an appendix which contains material required to be\nincluded by the appellant but omitted by appellant.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) of this rule is adapted from Rules 28(a) and 31(a) F.R.App.P. The\nintroductory clause of the rule recognizes the desirability of allowing local and individual variation\nin the filing of briefs. The numbered paragraphs prescribe shorter periods than the corresponding\nperiods allowed by Rule 31(a) F.R.App.P.\nSubdivision (b), which is similar to an interim rule for bankruptcy appellate panels\npromulgated by the Ninth Circuit, applies only when an appeal is to an appellate panel. The\nappellant must prepare an appendix to the brief which contains the documents relevant to the\nappeal. With the appendix available to each member of the appellate panel, it is unlikely that\nmultiple copies of the record will be necessary. The last sentence of the subdivision enables the\nappellee to correct an omission of the appellant.\nRule 30 F.R.App.P., which governs the preparation of the appendix in appeals taken to the\ncourts of appeals, specifies fewer documents which must be included in the appendix but permits\nthe parties to include any other material.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe amendment to Rule 8007(c) permits a rule of the bankruptcy appellate panel to provide\nthat the record is to be retained rather than transmitted. The new paragraph (9) of subdivision (b) of\nthis rule complements Rule 8007(c) by authorizing a rule of the panel to require inclusion of the\ntranscript or a portion thereof in the appendix.\n266\n\n\x0cCommittee Notes on Rules\xe2\x80\x942009 Amendment\n\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 8010. Form of Briefs; Length\n(a) Form of Briefs. Unless the district court or the bankruptcy appellate panel by local rule\notherwise provides, the form of brief shall be as follows:\n(1) Brief of the Appellant. The brief of the appellant shall contain under appropriate\nheadings and in the order here indicated:\n(A) A table of contents, with page references, and a table of cases alphabetically arranged,\nstatutes and other authorities cited, with references to the pages of the brief where they are cited.\n(B) A statement of the basis of appellate jurisdiction.\n(C) A statement of the issues presented and the applicable standard of appellate review.\n(D) A statement of the case. The statement shall first indicate briefly the nature of the case,\nthe course of the proceedings, and the disposition in the court below. There shall follow a\nstatement of the facts relevant to the issues presented for review, with appropriate references to the\nrecord.\n(E) An argument. The argument may be preceded by a summary. The argument shall\ncontain the contentions of the appellant with respect to the issues presented, and the reasons\ntherefor, with citations to the authorities, statutes and parts of the record relied on.\n(F) A short conclusion stating the precise relief sought.\n(2) Brief of the Appellee. The brief of the appellee shall conform to the requirements of\nparagraph (1)(A)\xe2\x80\x93(E) of this subdivision, except that a statement of the basis of appellate\njurisdiction, of the issues, or of the case need not be made unless the appellee is dissatisfied with\nthe statement of the appellant.\n(b) Reproduction of Statutes, Rules, Regulations, or Similar Material. If determination of\nthe issues presented requires reference to the Code or other statutes, rules, regulations, or similar\nmaterial, relevant parts thereof shall be reproduced in the brief or in an addendum or they may be\nsupplied to the court in pamphlet form.\n(c) Length of Briefs. Unless the district court or the bankruptcy appellate panel by local\nrule or order otherwise provides, principal briefs shall not exceed 50 pages, and reply briefs shall\nnot exceed 25 pages, exclusive of pages containing the table of contents, tables of citations and any\naddendum containing statutes, rules, regulations, or similar material.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n267\n\n\x0cThis rule is derived from subdivisions (a), (b), (c), and (f) of Rule 28 F.R.App.P.\nWhen an appeal is to a bankruptcy appellate panel and an appendix is filed pursuant to Rule\n8009(b) and reference is made in a brief to parts of the record included in the appendix, the\nreference should be to the appropriate pages of the appendix at which those parts appear.\n\nRule 8011. Motions\n(a) Content of Motions; Response; Reply. A request for an order or other relief shall be\nmade by filing with the clerk of the district court or the clerk of the bankruptcy appellate panel a\nmotion for such order or relief with proof of service on all other parties to the appeal. The motion\nshall contain or be accompanied by any matter required by a specific provision of these rules\ngoverning such a motion, shall state with particularity the grounds on which it is based, and shall\nset forth the order or relief sought. If a motion is supported by briefs, affidavits or other papers,\nthey shall be served and filed with the motion. Any party may file a response in opposition to a\nmotion other than one for a procedural order within seven days after service of the motion, but the\ndistrict court or the bankruptcy appellate panel may shorten or extend the time for responding to\nany motion.\n(b) Determination of Motions for Procedural Orders. Notwithstanding subdivision (a) of\nthis rule, motions for procedural orders, including any motion under Rule 9006, may be acted on at\nany time, without awaiting a response thereto and without hearing. Any party adversely affected\nby such action may move for reconsideration, vacation, or modification of the action.\n(c) Determination of all Motions. All motions will be decided without oral argument unless\nthe court orders otherwise. A motion for a stay, or for other emergency relief may be denied if not\npresented promptly.\n(d) Emergency Motions. Whenever a movant requests expedited action on a motion on the\nground that, to avoid irreparable harm, relief is needed in less time than would normally be\nrequired for the district court or bankruptcy appellate panel to receive and consider a response, the\nword "Emergency" shall precede the title of the motion. The motion shall be accompanied by an\naffidavit setting forth the nature of the emergency. The motion shall state whether all grounds\nadvanced in support thereof were submitted to the bankruptcy judge and, if any grounds relied on\nwere not submitted, why the motion should not be remanded to the bankruptcy judge for\nreconsideration. The motion shall include the office addresses and telephone numbers of moving\nand opposing counsel and shall be served pursuant to Rule 8008. Prior to filing the motion, the\nmovant shall make every practicable effort to notify opposing counsel in time for counsel to\nrespond to the motion. The affidavit accompanying the motion shall also state when and how\nopposing counsel was notified or if opposing counsel was not notified why it was not practicable to\ndo so.\n(e) Power of a Single Judge To Entertain Motions. A single judge of a bankruptcy appellate\npanel may grant or deny any request for relief which under these rules may properly be sought by\nmotion, except that a single judge may not dismiss or otherwise decide an appeal or a motion for\nleave to appeal. The action of a single judge may be reviewed by the panel.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n\n268\n\n\x0cSubdivisions (a), (b) and (e) of this rule conform substantially to subdivisions (a), (b) and\n(c) of Rule 27 F.R.App.P. Subdivisions (c) and (d) are taken from Rule 13(c) and (d) of the Rules\nof the First Circuit governing appeals to bankruptcy appellate panels.\n\nRule 8012. Oral Argument\nOral argument shall be allowed in all cases unless the district judge or the judges of the\nbankruptcy appellate panel unanimously determine after examination of the briefs and record, or\nappendix to the brief, that oral argument is not needed. Any party shall have an opportunity to file\na statement setting forth the reason why oral argument should be allowed.\nOral argument will not be allowed if (1) the appeal is frivolous; (2) the dispositive issue or\nset of issues has been recently authoritatively decided; or (3) the facts and legal arguments are\nadequately presented in the briefs and record and the decisional process would not be significantly\naided by oral argument.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from Rule 34(a) F.R.App.P. The other details of oral argument which\nare covered by the remaining subdivisions of Rule 34 F.R.App.P are not in these rules and are left\nto local rule or order of the court.\n\nRule 8013. Disposition of Appeal; Weight Accorded Bankruptcy Judge\'s\nFindings of Fact\nOn an appeal the district court or bankruptcy appellate panel may affirm, modify, or\nreverse a bankruptcy judge\'s judgment, order, or decree or remand with instructions for further\nproceedings. Findings of fact, whether based on oral or documentary evidence, shall not be set\naside unless clearly erroneous, and due regard shall be given to the opportunity of the bankruptcy\ncourt to judge the credibility of the witnesses.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule accords to the findings of a bankruptcy judge the same weight given the findings\nof a district judge under Rule 52 F.R.Civ.P. See also Rules 7052(a) and 9014.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe amendment to this rule conforms the appellate review standard to Rule 52 F.R.Civ.P.,\nas amended in August 1985.\n\nRule 8014. Costs\nExcept as otherwise provided by law, agreed to by the parties, or ordered by the district\ncourt or the bankruptcy appellate panel, costs shall be taxed against the losing party on an appeal.\n269\n\n\x0cIf a judgment is affirmed or reversed in part, or is vacated, costs shall be allowed only as ordered\nby the court. Costs incurred in the production of copies of briefs, the appendices, and the record\nand in the preparation and transmission of the record, the cost of the reporter\'s transcript, if\nnecessary for the determination of the appeal, the premiums paid for cost of supersedeas bonds or\nother bonds to preserve rights pending appeal and the fee for filing the notice of appeal shall be\ntaxed by the clerk as costs of the appeal in favor of the party entitled to costs under this rule.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is an adaptation of Rule 39(a), (c) and (e) of the F.R.App.P. Under this rule all\ncosts are taxed by the clerk of the bankruptcy court.\n\nRule 8015. Motion for Rehearing\nUnless the district court or the bankruptcy appellate panel by local rule or by court order\notherwise provides, a motion for rehearing may be filed within 14 days after entry of the judgment\nof the district court or the bankruptcy appellate panel. If a timely motion for rehearing is filed, the\ntime for appeal to the court of appeals for all parties shall run from the entry of the order denying\nrehearing or the entry of subsequent judgment.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis is an adaptation of the first sentence of Rule 40(a) F.R.App.P. The filing of a motion\nfor rehearing does not toll the time for taking an appeal to the court of appeals from the district\ncourt or the bankruptcy appellate panel. Appeals from a district court or a bankruptcy appellate\npanel are to the appropriate court of appeals. Under Rule 4(a)(4) F.R.App.P. the filing of post-trial\nmotions in the district court has the effect of vitiating any prior notice of appeal and, on the district\ncourt\'s disposition of those post-trial motions, a new appeal period starts. Rule 4 F.R.App.P. does\nnot, however, contain any provision which stays or otherwise alters the time for taking an appeal to\nthe court of appeals when a motion for rehearing is filed under Rule 8015 with the district court or\nbankruptcy appellate panel.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe amendment, which is derived from Rule 8002(b), Rule 4(a)(4) F.R.App.P., and Rule\n11.1 Sup.Ct.R., clarifies the effect of the filing of a timely motion for rehearing. If a timely motion\nis filed, the appeal period to the court of appeals begins to run on the entry of an order denying the\nmotion or the entry of a subsequent judgment.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\n270\n\n\x0care amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 8016. Duties of Clerk of District Court and Bankruptcy Appellate Panel\n(a) Entry of Judgment. The clerk of the district court or the clerk of the bankruptcy\nappellate panel shall prepare, sign and enter the judgment following receipt of the opinion of the\ncourt or the appellate panel or, if there is no opinion, following the instruction of the court or the\nappellate panel. The notation of a judgment in the docket constitutes entry of judgment.\n(b) Notice of Orders or Judgments; Return of Record. Immediately on the entry of a\njudgment or order the clerk of the district court or the clerk of the bankruptcy appellate panel shall\ntransmit a notice of the entry to each party to the appeal, to the United States trustee, and to the\nclerk, together with a copy of any opinion respecting the judgment or order, and shall make a note\nof the transmission in the docket. Original papers transmitted as the record on appeal shall be\nreturned to the clerk on disposition of the appeal.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) of this rule is adapted from Rule 36 F.R.App.P. Subdivision (b) is similar\nto subdivisions (c) and (d) of Rule 45 F.R.App.P.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (b) is amended to enable the United States trustee to monitor the progress of\nthe case. The requirements of this subdivision apply to an order of the district court or bankruptcy\nappellate panel staying its judgment pending appeal to the court of appeals pursuant to Rule\n8017(b).\n\nRule 8017. Stay of Judgment of District Court or Bankruptcy Appellate Panel\n(a) Automatic Stay of Judgment on Appeal. Judgments of the district court or the\nbankruptcy appellate panel are stayed until the expiration of 14 days after entry, unless otherwise\nordered by the district court or the bankruptcy appellate panel.\n(b) Stay Pending Appeal to the Court of Appeals. On motion and notice to the parties to the\nappeal, the district court or the bankruptcy appellate panel may stay its judgment pending an\nappeal to the court of appeals. The stay shall not extend beyond 30 days after the entry of the\njudgment of the district court or the bankruptcy appellate panel unless the period is extended for\ncause shown. If before the expiration of a stay entered pursuant to this subdivision there is an\nappeal to the court of appeals by the party who obtained the stay, the stay shall continue until final\ndisposition by the court of appeals. A bond or other security may be required as a condition to the\ngrant or continuation of a stay of the judgment. A bond or other security may be required if a\n271\n\n\x0ctrustee obtains a stay but a bond or security shall not be required if a stay is obtained by the United\nStates or an officer or agency thereof or at the direction of any department of the Government of\nthe United States.\n(c) Power of Court of Appeals Not Limited. This rule does not limit the power of a court of\nappeals or any judge thereof to stay proceedings during the pendency of an appeal or to suspend,\nmodify, restore, or grant an injunction during the pendency of an appeal or to make any order\nappropriate to preserve the status quo or the effectiveness of the judgment subsequently to be\nentered.\n(As amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from Rule 62 F.R.Civ.P. and Rule 41 F.R.App.P.\nSubdivision (a) accords to the parties to an appeal 10 days within which to decide whether\nto pursue an appeal to the court of appeals. In ordinary civil litigation there is a similar opportunity.\nRule 62(a) F.R.Civ.P. automatically stays enforcement of a district court\'s judgment in a civil\naction and Rule 41(a) F.R.App.P. provides that the mandate of the court of appeals shall not issue\nfor 21 days, unless the court otherwise directs. The district court or bankruptcy appellate panel\nmay reduce the 10 day period of this subdivision.\nSubdivision (b) vests in the district courts and the bankruptcy appellate panels the same\nauthority the courts of appeals have under Rule 41(b) F.R.App.P. to stay their judgments pending\nappeal. Perfection of an appeal to the court of appeals while a stay entered by the district court or\nbankruptcy appellate panel is in effect results in the automatic continuation of that stay during the\ncourse of the appeal in the court of appeals.\nSubdivision (c) is the same as Rule 62(g) F.R.Civ.P.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadline in the rule is\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 8018. Rules by Circuit Councils and District Courts; Procedure When\nThere is No Controlling Law\n(a) Local Rules by Circuit Councils and District Courts.\n(1) Circuit councils which have authorized bankruptcy appellate panels pursuant to 28\nU.S.C. \xc2\xa7158(b) and the district courts may, acting by a majority of the judges of the council or\ndistrict court, make and amend rules governing practice and procedure for appeals from orders or\njudgments of bankruptcy judges to the respective bankruptcy appellate panel or district court\n272\n\n\x0cconsistent with\xe2\x80\x94but not duplicative of\xe2\x80\x94Acts of Congress and the rules of this Part VIII. Local\nrules shall conform to any uniform numbering system prescribed by the Judicial Conference of the\nUnited States. Rule 83 F.R.Civ.P. governs the procedure for making and amending rules to govern\nappeals.\n(2) A local rule imposing a requirement of form shall not be enforced in a manner that\ncauses a party to lose rights because of a nonwillful failure to comply with the requirement.\n(b) Procedure When There is No Controlling Law. A bankruptcy appellate panel or district\njudge may regulate practice in any manner consistent with federal law, these rules, Official Forms,\nand local rules of the circuit council or district court. No sanction or other disadvantage may be\nimposed for noncompliance with any requirement not in federal law, federal rules, Official Forms,\nor the local rules of the circuit council or district court unless the alleged violator has been\nfurnished in the particular case with actual notice of the requirement.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 27, 1995, eff. Dec. 1, 1995.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is similar to Rule 47 F.R.App.P. and Rule 83 F.R.Civ.P. Local rules governing\nprocedure before the bankruptcy courts may be promulgated under Rule 9028.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nRule 83 F.R.Civ.P. was amended in August 1985 to require greater participation by the\npublic in the rule making process. The amendment to Rule 8018 incorporates Rule 83 F.R.Civ.P.\nUnder 28 U.S.C. \xc2\xa7158(b)(2), appeals may be taken to a bankruptcy appellate panel only if the\ndistrict court so authorizes. If a district court does not authorize appeals to the bankruptcy appellate\npanel, appeals will be to the district court. This rule is amended to authorize district courts to\npromulgate rules for appeals.\nNotes of Advisory Committee on Rules\xe2\x80\x941995 Amendment\nThe amendments to this rule conform to the amendments to Rule 9029. See Committee\nNote to the amendments to Rule 9029.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subd. (a)(1), are set out in the\nAppendix to Title 28, Judiciary and Judicial Procedure.\n\nRule 8019. Suspension of Rules in Part VIII\nIn the interest of expediting decision or for other cause, the district court or the bankruptcy\nappellate panel may suspend the requirements or provisions of the rules in Part VIII, except Rules\n8001, 8002 and 8013, and may order proceedings in accordance with the direction.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n273\n\n\x0cThis rule is derived from Rule 2 F.R.App.P.\n\nRule 8020. Damages and Costs for Frivolous Appeal\nIf a district court or bankruptcy appellate panel determines that an appeal from an order,\njudgment, or decree of a bankruptcy judge is frivolous, it may, after a separately filed motion or\nnotice from the district court or bankruptcy appellate panel and reasonable opportunity to respond,\naward just damages and single or double costs to the appellee.\n(Added Apr. 11, 1997, eff. Dec. 1, 1997.)\nNotes of Advisory Committee on Rules\xe2\x80\x941997\nThis rule is added to clarify that a district court hearing an appeal, or a bankruptcy appellate\npanel, has the authority to award damages and costs to an appellee if it finds that the appeal is\nfrivolous. By conforming to the language of Rule 38 F.R.App.P., this rule recognizes that the\nauthority to award damages and costs in connection with frivolous appeals is the same for district\ncourts sitting as appellate courts, bankruptcy appellate panels, and courts of appeals.\nGAP Report on Rule 8020. No changes to the published draft.\n\n274\n\n\x0cPART IX\xe2\x80\x94GENERAL PROVISIONS\nRule 9001. General Definitions\nThe definitions of words and phrases in \xc2\xa7\xc2\xa7101, 902, 1101, and 1502 of the Code, and the\nrules of construction in \xc2\xa7102, govern their use in these rules. In addition, the following words and\nphrases used in these rules have the meanings indicated:\n(1) "Bankruptcy clerk" means a clerk appointed pursuant to 28 U.S.C. \xc2\xa7156(b).\n(2) "Bankruptcy Code" or "Code" means title 11 of the United States Code.\n(3) "Clerk" means bankruptcy clerk, if one has been appointed, otherwise clerk of the\ndistrict court.\n(4) "Court" or "judge" means the judicial officer before whom a case or proceeding is\npending.\n(5) "Debtor." When any act is required by these rules to be performed by a debtor or when\nit is necessary to compel attendance of a debtor for examination and the debtor is not a natural\nperson: (A) if the debtor is a corporation, "debtor" includes, if designated by the court, any or all of\nits officers, members of its board of directors or trustees or of a similar controlling body, a\ncontrolling stockholder or member, or any other person in control; (B) if the debtor is a\npartnership, "debtor" includes any or all of its general partners or, if designated by the court, any\nother person in control.\n(6) "Firm" includes a partnership or professional corporation of attorneys or accountants.\n(7) "Judgment" means any appealable order.\n(8) "Mail" means first class, postage prepaid.\n(9) "Notice provider" means any entity approved by the Administrative Office of the\nUnited States Courts to give notice to creditors under Rule 2002(g)(4).\n(10) "Regular associate" means any attorney regularly employed by, associated with, or\ncounsel to an individual or firm.\n(11) "Trustee" includes a debtor in possession in a chapter 11 case.\n(12) "United States trustee" includes an assistant United States trustee and any designee of\nthe United States trustee.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 25,\n2005, eff. Dec. 1, 2005; Apr. 28, 2010, eff. Dec. 1, 2010.)\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe terms "bankruptcy clerk" and "clerk" have been defined to reflect that unless otherwise\nstated, for the purpose of these rules, the terms are meant to identify the court officer for the\nbankruptcy records. If a bankruptcy clerk is appointed, all filings are made with the bankruptcy\nclerk. If one has not been appointed, all filings are with the clerk of the district court. Rule 5005.\nThe rule is also amended to include a definition of "court or judge". Since a case or\nproceeding may be before a bankruptcy judge or a judge of the district court, "court or judge" is\ndefined to mean the judicial officer before whom the case or proceeding is pending.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n275\n\n\x0cSection 582 of title 28 provides that the Attorney General may appoint one or more\nassistant United States trustees in any region when the public interest so requires. This rule is\namended to clarify that an assistant United States trustee, as well as any designee of the United\nStates trustee, is included within the meaning of "United States trustee" in the rules.\nCommittee Notes on Rules\xe2\x80\x942005 Amendment\nThe rule is amended to add the definition of a notice provider and to renumber the final\nthree definitions in the rule. A notice provider is an entity approved by the Administrative Office\nof the United States Courts to enter into agreements with entities to give notice to those entities in\nthe form and manner agreed to by those parties. The new definition supports the amendment to\nRule 2002(g)(4) that authorizes a notice provider to give notices under Rule 2002.\nMany entities conduct business on a national scale and receive vast numbers of notices in\nbankruptcy cases throughout the country. Those entities can agree with a notice provider to receive\ntheir notices in a form and at an address or addresses that the creditor and notice provider agree\nupon. There are processes currently in use that provide substantial assurance that notices are not\nmisdirected. Any notice provider would have to demonstrate to the Administrative Office of the\nUnited States Courts that it could provide the service in a manner that ensures the proper delivery\nof notice to creditors. Once the Administrative Office of the United States Courts approves the\nnotice provider to enter into agreements with creditors, the notice provider and other entities can\nestablish the relationship that will govern the delivery of notices in cases as provided in Rule\n2002(g)(4).\nChanges Made After Publication and Comment. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942010 Amendment\nThe rule is amended to add \xc2\xa71502 of the Code to the list of definitional provisions that are\napplicable to the Rules. That section was added to the Code by the 2005 amendments.\nChanges Made After Publication. No changes since publication.\nReferences in Text\nThe Bankruptcy Act of 1898 as amended, referred to in pars. (1) and (2), is act July 1, 1898,\nch. 541, 30 Stat. 544, as amended, which was classified generally to former Title 11, Bankruptcy.\nSections 1(10) and 2a of this Act were classified to sections 1(10) and 11(a), respectively, of\nformer Title 11. The Act was repealed effective Oct. 1, 1979, by Pub. L. 95\xe2\x80\x93598, \xc2\xa7\xc2\xa7401(a), 402(a),\nNov. 6, 1978, 92 Stat. 2682, section 101 of which enacted revised Title 11.\n\nRule 9002. Meanings of Words in the Federal Rules of Civil Procedure When\nApplicable to Cases Under the Code\nThe following words and phrases used in the Federal Rules of Civil Procedure made\napplicable to cases under the Code by these rules have the meanings indicated unless they are\ninconsistent with the context:\n(1) "Action" or "civil action" means an adversary proceeding or, when appropriate, a\n276\n\n\x0ccontested petition, or proceedings to vacate an order for relief or to determine any other contested\nmatter.\n(2) "Appeal" means an appeal as provided by 28 U.S.C. \xc2\xa7158.\n(3) "Clerk" or "clerk of the district court" means the court officer responsible for the\nbankruptcy records in the district.\n(4) "District Court," "trial court," "court," "district judge," or "judge" means bankruptcy\njudge if the case or proceeding is pending before a bankruptcy judge.\n(5) "Judgment" includes any order appealable to an appellate court.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 1, 1993.)\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nThis rule is revised to include the words "district judge" in anticipation of amendments to\nthe Federal Rules of Civil Procedure.\n\nRule 9003. Prohibition of Ex Parte Contacts\n(a) General Prohibition. Except as otherwise permitted by applicable law, any examiner,\nany party in interest, and any attorney, accountant, or employee of a party in interest shall refrain\nfrom ex parte meetings and communications with the court concerning matters affecting a\nparticular case or proceeding.\n(b) United States Trustee. Except as otherwise permitted by applicable law, the United\nStates trustee and assistants to and employees or agents of the United States trustee shall refrain\nfrom ex parte meetings and communications with the court concerning matters affecting a\nparticular case or proceeding. This rule does not preclude communications with the court to\ndiscuss general problems of administration and improvement of bankruptcy administration,\nincluding the operation of the United States trustee system.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule regulates the actions of parties in interest and their attorneys or others employed\nby parties in interest. This regulation of the conduct of parties in interest and their representative is\ndesigned to insure that the bankruptcy system operates fairly and that no appearance of unfairness\nis created. See H. Rep. No. 95\xe2\x80\x93595, 95th Cong., 1st Sess. 95 et seq. (1977).\nThis rule is not a substitute for or limitation of any applicable canon of professional\nresponsibility or judicial conduct. See, e.g., Canon 7, EC7\xe2\x80\x9335, Disciplinary Rule 7\xe2\x80\x93110(B) of the\nCode of Professional Responsibility: "Generally, in adversary proceedings a lawyer should not\ncommunicate with a judge relative to a matter pending before, or which is to be brought before, a\ntribunal over which he presides in circumstances which might have the effect or give the\nappearance of granting undue advantage to one party;" and Canon 3A(4) of the Code of Judicial\n277\n\n\x0cConduct: "A judge should . . . neither initiate nor consider ex parte or other communications\nconcerning a pending or impending proceeding."\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThis rule is amended to apply to both the bankruptcy judges and the district judges of the\ndistrict.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to extend to examiners the prohibition on ex parte meetings and\ncommunications with the court.\nSubdivision (b) is derived from Rule X\xe2\x80\x931010.\n\nRule 9004. General Requirements of Form\n(a) Legibility; Abbreviations. All petitions, pleadings, schedules and other papers shall be\nclearly legible. Abbreviations in common use in the English language may be used.\n(b) Caption. Each paper filed shall contain a caption setting forth the name of the court, the\ntitle of the case, the bankruptcy docket number, and a brief designation of the character of the\npaper.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (b). Additional requirements applicable to the caption for a petition are found\nin Rule 1005, to the caption for notices to creditors in Rule 2002(m), and to the caption for a\npleading or other paper filed in an adversary proceeding in Rule 7010. Failure to comply with this\nor any other rule imposing a merely formal requirement does not ordinarily result in the loss of\nrights. See Rule 9005.\n\nRule 9005. Harmless Error\nRule 61 F.R.Civ.P. applies in cases under the Code. When appropriate, the court may order\nthe correction of any error or defect or the cure of any omission which does not affect substantial\nrights.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9005.1. Constitutional Challenge to a Statute\xe2\x80\x94Notice, Certification, and\nIntervention\nRule 5.1 F.R.Civ.P. applies in cases under the Code.\n278\n\n\x0c(Added Apr. 30, 2007, eff. Dec. 1, 2007.)\nCommittee Notes on Rules\xe2\x80\x942007\nThe rule is added to adopt the new rule added to the Federal Rules of Civil Procedure. The\nnew Civil Rule replaces Rule 24(c) F. R. Civ. P., so the cross reference to Civil Rule 24 contained\nin Rule 7024 is no longer sufficient to bring the provisions of new Civil Rule 5.1 into adversary\nproceedings. This rule also makes Civil Rule 5.1 applicable to all contested matters and other\nproceedings within the bankruptcy case.\nChanges After Publication. No changes were made after publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9006. Computing and Extending Time; Time for Motion Papers\n(a) Computing Time. The following rules apply in computing any time period specified in\nthese rules, in the Federal Rules of Civil Procedure, in any local rule or court order, or in any\nstatute that does not specify a method of computing time.\n(1) Period Stated in Days or a Longer Unit. When the period is stated in days or a longer\nunit of time:\n(A) exclude the day of the event that triggers the period;\n(B) count every day, including intermediate Saturdays, Sundays, and legal holidays; and\n(C) include the last day of the period, but if the last day is a Saturday, Sunday, or legal\nholiday, the period continues to run until the end of the next day that is not a Saturday, Sunday, or\nlegal holiday.\n(2) Period Stated in Hours. When the period is stated in hours:\n(A) begin counting immediately on the occurrence of the event that triggers the period;\n(B) count every hour, including hours during intermediate Saturdays, Sundays, and legal\nholidays; and\n(C) if the period would end on a Saturday, Sunday, or legal holiday, then continue the\nperiod until the same time on the next day that is not a Saturday, Sunday, or legal holiday.\n(3) Inaccessibility of Clerk\'s Office. Unless the court orders otherwise, if the clerk\'s office\nis inaccessible:\n(A) on the last day for filing under Rule 9006(a)(1), then the time for filing is extended to\nthe first accessible day that is not a Saturday, Sunday, or legal holiday; or\n(B) during the last hour for filing under Rule 9006(a)(2), then the time for filing is extended\nto the same time on the first accessible day that is not a Saturday, Sunday, or legal holiday.\n(4) "Last Day" Defined. Unless a different time is set by a statute, local rule, or order in the\ncase, the last day ends:\n(A) for electronic filing, at midnight in the court\'s time zone; and\n279\n\n\x0c(B) for filing by other means, when the clerk\'s office is scheduled to close.\n(5) "Next Day" Defined. The "next day" is determined by continuing to count forward\nwhen the period is measured after an event and backward when measured before an event.\n(6) "Legal Holiday" Defined. "Legal holiday" means:\n(A) the day set aside by statute for observing New Year\'s Day, Martin Luther King Jr.\'s\nBirthday, Washington\'s Birthday, Memorial Day, Independence Day, Labor Day, Columbus Day,\nVeterans\' Day, Thanksgiving Day, or Christmas Day;\n(B) any day declared a holiday by the President or Congress; and\n(C) for periods that are measured after an event, any other day declared a holiday by the\nstate where the district court is located. (In this rule, "state" includes the District of Columbia and\nany United States commonwealth or territory.)\n(b) Enlargement.\n(1) In General. Except as provided in paragraphs (2) and (3) of this subdivision, when an\nact is required or allowed to be done at or within a specified period by these rules or by a notice\ngiven thereunder or by order of court, the court for cause shown may at any time in its discretion\n(1) with or without motion or notice order the period enlarged if the request therefor is made before\nthe expiration of the period originally prescribed or as extended by a previous order or (2) on\nmotion made after the expiration of the specified period permit the act to be done where the failure\nto act was the result of excusable neglect.\n(2) Enlargement Not Permitted. The court may not enlarge the time for taking action under\nRules 1007(d), 2003(a) and (d), 7052, 9023, and 9024.\n(3) Enlargement Governed By Other Rules. The court may enlarge the time for taking\naction under Rules 1006(b)(2), 1017(e), 3002(c), 4003(b), 4004(a), 4007(c), 4008(a), 8002, and\n9033, only to the extent and under the conditions stated in those rules. In addition, the court may\nenlarge the time to file the statement required under Rule 1007(b)(7), and to file schedules and\nstatements in a small business case under \xc2\xa71116(3) of the Code, only to the extent and under the\nconditions stated in Rule 1007(c).\n(c) Reduction.\n(1) In General. Except as provided in paragraph (2) of this subdivision, when an act is\nrequired or allowed to be done at or within a specified time by these rules or by a notice given\nthereunder or by order of court, the court for cause shown may in its discretion with or without\nmotion or notice order the period reduced.\n(2) Reduction Not Permitted. The court may not reduce the time for taking action under\nRules 2002(a)(7), 2003(a), 3002(c), 3014, 3015, 4001(b)(2), (c)(2), 4003(a), 4004(a), 4007(c),\n4008(a), 8002, and 9033(b). In addition, the court may not reduce the time under Rule 1007(c) to\nfile the statement required by Rule 1007(b)(7).\n(d) Motion Papers. A written motion, other than one which may be heard ex parte, and\nnotice of any hearing shall be served not later than seven days before the time specified for such\nhearing, unless a different period is fixed by these rules or by order of the court. Such an order may\nfor cause shown be made on ex parte application. When a motion is supported by affidavit, the\naffidavit shall be served with the motion. Except as otherwise provided in Rule 9023, any written\nresponse shall be served not later than one day before the hearing, unless the court permits\n280\n\n\x0cotherwise.\n(e) Time of Service. Service of process and service of any paper other than process or of\nnotice by mail is complete on mailing.\n(f) Additional Time After Service by Mail or Under Rule 5(b)(2)(D), (E), or (F) F.R.Civ.P.\nWhen there is a right or requirement to act or undertake some proceedings within a prescribed\nperiod after service and that service is by mail or under Rule 5(b)(2)(D), (E), or (F) F.R.Civ.P.,\nthree days are added after the prescribed period would otherwise expire under Rule 9006(a).\n(g) Grain Storage Facility Cases. This rule shall not limit the court\'s authority under \xc2\xa7557\nof the Code to enter orders governing procedures in cases in which the debtor is an owner or\noperator of a grain storage facility.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Aug. 1, 1989; Apr. 30,\n1991, eff. Aug. 1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23,\n2001, eff. Dec. 1, 2001; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26,\n2009, eff. Dec. 1, 2009; Apr. 16, 2013, eff. Dec. 1, 2013.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a). This rule is an adaptation of Rule 6 F.R.Civ.P. It governs the time for acts\nto be done and proceedings to be had in cases under the Code and any litigation arising therein.\nSubdivision (b) is patterned after Rule 6(b) F.R.Civ.P. and Rule 26(b) F.R.App.P.\nParagraph (1) of this subdivision confers on the court discretion generally to authorize\nextensions of time for doing acts required or allowed by these rules or orders of court. The\nexceptions to this general authority to extend the time are contained in paragraphs (2) and (3).\nIn the interest of prompt administration of bankruptcy cases certain time periods may not\nbe extended. Paragraph (2) lists the rules which establish time periods which may not be extended:\nRule 1007(d), time for filing a list of 20 largest creditors; Rule 1017(b)(3), 30 day period for\nsending notice of dismissal for failure to pay the filing fee; Rule 1019(2), 20 day period for notice\nof conversion to a chapter 7 case; Rule 2003(a), meeting of creditors not more than 40 days after\norder for relief; Rule 2003(d), 10 days for filing a motion for resolution of an election dispute; Rule\n3014, time for the \xc2\xa71111(b)(2) election; Rule 4001(b), expiration of stay 30 days following the\ncommencement of final hearing; Rule 7052(b), 10 day period to move to amend findings of fact;\nRule 9015(f), 20 day period to move for judgment notwithstanding the verdict; Rule 9023, 10 day\nperiod to move for a new trial; and Rule 9024, time to move for relief from judgment.\nMany rules which establish a time for doing an act also contain a specific authorization and\nstandard for granting an extension of time and, in some cases, limit the length of an extension. In\nsome instances it would be inconsistent with the objective of the rule and sound administration of\nthe case to permit extension under Rule 9006(b)(1), but with respect to the other rules it is\nappropriate that the power to extend time be supplemented by Rule 9006(b)(1). Unless a rule\nwhich contains a specific authorization to extend time is listed in paragraph (3) of this subdivision,\nan extension of the time may be granted under paragraph (1) of this subdivision. If a rule is\nincluded in paragraph (3) an extension may not be granted under paragraph (1). The following\nrules are listed in paragraph (3): Rule 1006(b)(2), time for paying the filing fee in installments;\nRule 3002(c), 90 day period for filing a claim in a chapter 7 or 13 case; Rule 4003(b), 30 days for\nfiling objections to a claim of exemptions; Rule 4004(a), 60 day period to object to a discharge;\nRule 4007(b), 60 day period to file a dischargeability complaint; and Rule 8002, 10 days for filing\na notice of appeal.\nSubdivision (c). Paragraph (1) of this subdivision authorizes the reduction of the time\n281\n\n\x0cperiods established by these rules or an order of the court. Excluded from this general authority are\nthe time periods established by the rules referred to in paragraph (2) of the subdivision: Rule 2002\n(a) and (b), 20 day and 25 day notices of certain hearings and actions in the case; Rule 2003(a),\nmeeting of creditors to be not less than 20 days after the order for relief; Rule 3002(c), 90 days for\nfiling a claim in a chapter 7 or 13 case; Rule 3014, time for \xc2\xa71111(b)(2) election; Rule 3015, 10\nday period after filing of petition to file a chapter 13 plan; Rule 4003(a), 15 days for a dependent to\nclaim exemptions; Rule 4004(a), 60 day period to object to a discharge; Rule 4007(c), 60 day\nperiod to file a dischargeability complaint; and Rule 8002, 10 days for filing a notice of appeal.\nReduction of the time periods fixed in the rules referred to in this subdivision would be\ninconsistent with the purposes of those rules and would cause harmful uncertainty.\nSubdivision (d) is derived from Rule 6(d) F.R.Civ.P. The reference is to Rule 9023 instead\nof to Rule 59(c) F.R.Civ.P. because Rule 9023 incorporates Rule 59 F.R.Civ.P. but excepts\ntherefrom motions to reconsider orders allowing and disallowing claims.\nSubdivision (f) is new and is the same as Rule 6(e) F.R.Civ.P.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) is amended to conform to the 1984 amendments to Rule 6 F.R.Civ.P.\nSubdivision (b). The reference to Rule 4001(b) in paragraph (3) is deleted because of the\namendments made to Rule 4001. Rule 9033, which is new, contains specific provisions governing\nthe extension of time to file objections to proposed findings of fact and conclusions of law. Rule\n9033 is added to the rules referred to in paragraph (3).\nSubdivision (c). Rule 4001(b)(2) and (c)(2) provide that a final hearing on a motion to use\ncash collateral or a motion for authority to obtain credit may be held no earlier than 15 days after\nthe filing of the motion. These two rules are added to paragraph (2) to make it clear that the 15 day\nperiod may not be reduced. Rule 9033 is also added to paragraph (2).\nSubdivision (g) is new. Under \xc2\xa7557 of the Code, as enacted by the 1984 amendments, the\ncourt is directed to expedite grain storage facility cases. This subdivision makes it clear this rule\ndoes not limit the court\'s authority under \xc2\xa7557.\nThe original Advisory Committee Note to this rule included the 25 day notice period of\nRule 2002(b) as a time period which may not be reduced under Rule 9006(c)(2). This was an error.\nNotes of Advisory Committee on Rules\xe2\x80\x941989 Amendment\nPrior to 1987, subdivision (a) provided that intermediate weekends and legal holidays\nwould not be counted in the computation of a time period if the prescribed or allowed time was less\nthan 7 days. This rule was amended in 1987 to conform to Fed. R. Civ. P. 6(a) which provides for\nthe exclusion of intermediate weekends and legal holidays if the time prescribed or allowed is less\nthan 11 days. An undesirable result of the 1987 amendment was that 10-day time periods\nprescribed in the interest of prompt administration of bankruptcy cases were extended to at least 14\ncalendar days.\nAs a result of the present amendment, 10-day time periods prescribed or allowed will no\nlonger be extended to at least 14 calendar days because of intermediate weekends and legal\nholidays.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n\n282\n\n\x0cAs a result of the 1989 amendment to this rule, the method of computing time under\nsubdivision (a) is not the same as the method of computing time under Rule 6(a) F.R.Civ.P.\nSubdivision (a) is amended to provide that it governs the computation of time periods prescribed\nby the Federal Rules of Civil Procedure when the Bankruptcy Rules make a civil rule applicable to\na bankruptcy case or proceeding.\nSubdivision (b)(2) is amended because of the deletion of Rule 1019(2). Reference to Rule\n9015(f) is deleted because of the abrogation of Rule 9015 in 1987.\nSubdivision (b)(3) is amended to limit the enlargement of time regarding dismissal of a\nchapter 7 case for substantial abuse in accordance with Rule 1017(e).\nNotes of Advisory Committee on Rules\xe2\x80\x941996 Amendment\nSubdivision (c)(2) is amended to conform to the abrogation of Rule 2002(a)(4) and the\nrenumbering of Rule 2002(a)(8) to Rule 2002(a)(7).\nGAP Report on Rule 9006. No changes since publication, except for a stylistic change.\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nRule 9006(b)(2) is amended to conform to the abrogation of Rule 1017(b)(3).\nGAP Report on Rule 9006. The proposed amendment to Rule 9006(b)(2) has been added as\na technical change to conform to the abrogation of Rule 1017(b)(3). The proposed amendment to\nRule 9006(c)(2), providing that the time under Rule 1019(6) to file a request for payment of an\nadministrative expense after a case is converted to chapter 7 could not be reduced by the court, was\ndeleted. The proposed amendments to Rule 1019(6) have been changed so that the court will fix\nthe time for filing the request for payment. Since the court will fix the time limit, the court should\nhave the power to reduce it. See GAP Report to Rule 1019(6).\nCommittee Notes on Rules\xe2\x80\x942001 Amendment\nRule 5(b) F. R. Civ. P., which is made applicable in adversary proceedings by Rule 7005, is\nbeing restyled and amended to authorize service by electronic means\xe2\x80\x94or any other means not\notherwise authorized under Rule 5(b)\xe2\x80\x94if consent is obtained from the person served. The\namendment to Rule 9006(f) is intended to extend the three-day "mail rule" to service under Rule\n5(b)(2)(D), including service by electronic means. The three-day rule also will apply to service\nunder Rule 5(b)(2)(C) F. R. Civ. P. when the person served has no known address and the paper is\nserved by leaving a copy with the clerk of the court.\nChanges Made After Publication and Comments. No changes were made.\nCommittee Notes on Rules\xe2\x80\x942005 Amendment\nRule 9006(f) is amended, consistent with a corresponding amendment to Rule 6(e) of the\nF.R. Civ. P., to clarify the method of counting the number of days to respond after service either by\nmail or under Civil Rule 5(b)(2)(C) or (D). Three days are added after the prescribed period\nexpires. If, before the application of Rule 9006(f), the prescribed period is less than 8 days,\nintervening Saturdays, Sundays, and legal holidays are excluded from the calculation under Rule\n9006(a). Some illustrations may be helpful.\nUnder existing Rule 9006(a), assuming that there are no legal holidays and that a response\n283\n\n\x0cis due in seven days, if a paper is filed on a Monday, the seven day response period commences on\nTuesday and concludes on Wednesday of the next week. Adding three days to the end of the period\nwould extend it to Saturday, but because the response period ends on a weekend, the response day\nwould be the following Monday, two weeks after the filing of the initial paper. If the paper is filed\non a Tuesday, the seven-day response period would end on the following Thursday, and the\nresponse time would also be the following Monday. If the paper is mailed on a Wednesday, the\ninitial seven-day period would expire nine days later on a Friday, but the response would again be\ndue on the following Monday because of Rule 9006(f). If the paper is mailed on a Thursday,\nhowever, the seven day period ends on Monday, eleven days after the mailing of the service\nbecause of the exclusion of the two intervening Saturdays and Sundays. The response is due three\ndays later on the following Thursday. If the paper is mailed on a Friday, the seven day period\nwould conclude on a Tuesday, and the response is due three days later on a Friday.\nNo other change in the system of counting time is intended.\nOther changes are stylistic.\nChanges Made After Publication and Comment. The phrase "would otherwise expire under\nRule 9006(a)" was added to the end of the rule to clarify further that the three day extension is to be\nadded to the end of the period that is established under the counting provisions of Rule 9006(a).\nThis also maintains a parallel construction with Civil Rule 6(e) in which the same addition to the\nrule was made after the public comment period.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nSubdivision (b)(3) is amended to implement \xc2\xa71116(3) of the Code, as amended by the 2005\namendments, which places specific limits on the extension of time for filing schedules and\nstatements of financial affairs in a small business case.\nSubdivisions (b)(3) and (c)(2) are amended to provide that enlargement or reduction of the\ntime to file the statement of completion of a personal financial management course required by\nRule 1007(b)(7) are governed by Rule 1007(c). Likewise, the amendments to subdivisions (b)(3)\nand (c)(2) recognize that the enlargement of time to file a reaffirmation agreement is governed by\nRule 4008(a), and that reduction of the time provided under that rule is not permitted.\nOther amendments are stylistic.\nChanges Made After Publication. Subdivision (b)(3) was amended to provide that Rule\n9006 does not govern the enlargement of time to file a reaffirmation agreement, the statement\nrequired under Rule 1007(b)(7), or the time to file schedules and statements of financial affairs in\nsmall business cases. The title of subdivision (b)(3) was also amended to more accurately describe\nthe operation of the provision. Subdivision (c)(2) was amended to recognize that the court may not\nreduce the time under Rule 1007(c) to file the statement required by Rule 1007(b)(7).\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nSubdivision (a). Subdivision (a) has been amended to simplify and clarify the provisions\nthat describe how deadlines are computed. Subdivision (a) governs the computation of any time\nperiod found in a Federal Rule of Bankruptcy Procedure, a Federal Rule of Civil Procedure, a\nstatute, a local rule, or a court order. In accordance with Bankruptcy Rule 9029(a), a local rule may\nnot direct that a deadline be computed in a manner inconsistent with subdivision (a).\nThe time-computation provisions of subdivision (a) apply only when a time period must be\ncomputed. They do not apply when a fixed time to act is set. The amendments thus carry forward\n284\n\n\x0cthe approach taken in Violette v. P.A. Days, Inc., 427 F.3d 1015, 1016 (6th Cir. 2005) (holding that\nCivil Rule 6(a) "does not apply to situations where the court has established a specific calendar day\nas a deadline"), and reject the contrary holding of In re American Healthcare Management, Inc.,\n900 F.2d 827, 832 (5th Cir. 1990) (holding that Bankruptcy Rule 9006(a) governs treatment of\ndate-certain deadline set by court order). If, for example, the date for filing is "no later than\nNovember 1, 2007," subdivision (a) does not govern. But if a filing is required to be made "within\n10 days" or "within 72 hours," subdivision (a) describes how that deadline is computed.\nSubdivision (a) does not apply when computing a time period set by a statute if the statute\nspecifies a method of computing time. See, e.g., 11 U.S.C. \xc2\xa7527(a)(2) (debt relief agencies must\nprovide a written notice to an assisted person "not later than 3 business days" after providing\nbankruptcy assistance services).\nSubdivision (a)(1). New subdivision (a)(1) addresses the computation of time periods that\nare stated in days. It also applies to time periods that are stated in weeks, months, or years. See,\ne.g., Federal Rule of Civil Procedure 60(c)(1) made applicable to bankruptcy cases under Rule\n9024. Subdivision (a)(1)(B)\'s directive to "count every day" is relevant only if the period is stated\nin days (not weeks, months, or years).\nUnder former Rule 9006(a), a period of eight days or more was computed differently than a\nperiod of less than eight days. Intermediate Saturdays, Sundays, and legal holidays were included\nin computing the longer periods, but excluded in computing the shorter periods. Former Rule\n9006(a) thus made computing deadlines unnecessarily complicated and led to counterintuitive\nresults.\nUnder new subdivision (a)(1), all deadlines stated in days (no matter the length) are\ncomputed in the same way. The day of the event that triggers the deadline is not counted. All other\ndays\xe2\x80\x94including intermediate Saturdays, Sundays, and legal holidays\xe2\x80\x94are counted, with only one\nexception: If the period ends on a Saturday, Sunday, or legal holiday, then the deadline falls on the\nnext day that is not a Saturday, Sunday, or legal holiday. An illustration is provided below in the\ndiscussion of subdivision (a)(5). Subdivision (a)(3) addresses filing deadlines that expire on a day\nwhen the clerk\'s office is inaccessible.\nWhere subdivision (a) formerly referred to the "act, event, or default" that triggers the\ndeadline, new subdivision (a) refers simply to the "event" that triggers the deadline; this change in\nterminology is adopted for brevity and simplicity, and is not intended to change meaning.\nPeriods previously expressed as less than eight days will be shortened as a practical matter\nby the decision to count intermediate Saturdays, Sundays, and legal holidays in computing all\nperiods. Many of those periods have been lengthened to compensate for the change. See, e.g.,\nRules 2008 (trustee\'s duty to notify court of acceptance of the appointment within five days is\nextended to seven days); 6004(b) (time for filing and service of objection to proposed use, sale or\nlease of property extended from five days prior to the hearing to seven days prior to the hearing);\nand 9006(d) (time for giving notice of a hearing extended from five days prior to the hearing to\nseven days).\nMost of the 10-day periods were adjusted to meet the change in computation method by\nsetting 14 days as the new period. See, e.g., Rules 1007(h) (10-day period to file supplemental\nschedule for property debtor becomes entitled to acquire after the commencement of the case is\nextended to 14 days); 3020(e) (10-day stay of order confirming a chapter 11 plan extended to 14\ndays); 8002(a) (10-day period in which to file notice of appeal extended to 14 days). A 14-day\nperiod also has the advantage that the final day falls on the same day of the week as the event that\ntriggered the period\xe2\x80\x94the14th day after a Monday, for example, is a Monday. This advantage of\n285\n\n\x0cusing week-long periods led to adopting seven-day periods to replace some of the periods set at\nless than 10 days, 21-day periods to replace 20-day periods, and 28-day periods to replace 25-day\nperiods.Thirty-day and longer periods, however, were generally retained without change.\nSubdivision (a)(2). New subdivision (a)(2) addresses the computation of time periods that\nare stated in hours. No such deadline currently appears in the Federal Rules of Bankruptcy\nProcedure. But some statutes contain deadlines stated in hours, as do some court orders issued in\nexpedited proceedings.\nUnder subdivision (a)(2), a deadline stated in hours starts to run immediately on the\noccurrence of the event that triggers the deadline. The deadline generally ends when the time\nexpires. If, however, the time period expires at a specific time (say, 2:17 p.m.) on a Saturday,\nSunday, or legal holiday, then the deadline is extended to the same time (2:17 p.m.) on the next day\nthat is not a Saturday, Sunday, or legal holiday. Periods stated in hours are not to be "rounded up"\nto the next whole hour. Subdivision (a)(3) addresses situations when the clerk\'s office is\ninaccessible during the last hour before a filing deadline expires.\nSubdivision (a)(2)(B) directs that every hour be counted. Thus, for example, a 72-hour\nperiod that commences at 10:23 a.m. on Friday, November 2, 2007, will run until 9:23 a.m. on\nMonday, November 5; the discrepancy in start and end times in this example results from the\nintervening shift from daylight saving time to standard time.\nSubdivision (a)(3). When determining the last day of a filing period stated in days or a\nlonger unit of time, a day on which the clerk\'s office is not accessible because of the weather or\nanother reason is treated like a Saturday, Sunday, or legal holiday. When determining the end of a\nfiling period stated in hours, if the clerk\'s office is inaccessible during the last hour of the filing\nperiod computed under subdivision (a)(2) then the period is extended to the same time on the next\nday that is not a weekend, holiday, or day when the clerk\'s office is inaccessible.\nSubdivision (a)(3)\'s extensions apply "[u]nless the court orders otherwise." In some\ncircumstances, the court might not wish a period of inaccessibility to trigger a full 24-hour\nextension; in those instances, the court can specify a briefer extension.\nThe text of the rule no longer refers to "weather or other conditions" as the reason for the\ninaccessibility of the clerk\'s office. The reference to "weather" was deleted from the text to\nunderscore that inaccessibility can occur for reasons unrelated to weather, such as an outage of the\nelectronic filing system. Weather can still be a reason for inaccessibility of the clerk\'s office. The\nrule does not attempt to define inaccessibility. Rather, the concept will continue to develop\nthrough caselaw. See, e.g., William G. Phelps, When Is Office of Clerk of Court Inaccessible Due\nto Weather or Other Conditions for Purpose of Computing Time Period for Filing Papers under\nRule 6(a) of Federal Rules of Civil Procedure, 135 A.L.R. Fed. 259 (1996) (collecting cases). In\naddition, many local provisions address inaccessibility for purposes of electronic filing. See, e.g.,\nD. Kan. Rule 5.4.11 ("A Filing User whose filing is made untimely as the result of a technical\nfailure may seek appropriate relief from the court.").\nSubdivision (a)(4). New subdivision (a)(4) defines the end of the last day of a period for\npurposes of subdivision (a)(1). Subdivision (a)(4) does not apply in computing periods stated in\nhours under subdivision (a)(2), and does not apply if a different time is set by a statute, local rule,\nor order in the case. A local rule may provide, for example, that papers filed in a drop box after the\nnormal hours of the clerk\'s office are filed as of the day that is date-stamped on the papers by a\ndevice in the drop box.\n28 U.S.C. \xc2\xa7452 provides that "[a]ll courts of the United States shall be deemed always open\nfor the purpose of filing proper papers, issuing and returning process, and making motions and\n286\n\n\x0corders." A corresponding provision exists in Rule 5001(a). Some courts have held that these\nprovisions permit an after-hours filing by handing the papers to an appropriate official. See, e.g.,\nCasalduc v. Diaz, 117 F.2d 915, 917 (1st Cir. 1941). Subdivision (a)(4) does not address the effect\nof the statute on the question of after-hours filing; instead, the rule is designed to deal with filings\nin the ordinary course without regard to Section 452.\nSubdivision (a)(5). New subdivision (a)(5) defines the "next" day for purposes of\nsubdivisions (a)(1)(C) and (a)(2)(C). The Federal Rules of Bankruptcy Procedure contain both\nforward-looking time periods and backward-looking time periods. A forward-looking time period\nrequires something to be done within a period of time after an event. See, e.g., Rules 1007(c)\n(["]the schedules, statements, and other documents shall be filed by the debtor within 14 days of\nthe entry of the order for relief"); 1019(5)(B)(ii) ("the trustee, not later than 30 days after\nconversion of the case, shall file and transmit to the United States trustee a final report and\naccount"); and 7012(a) ("If a complaint is duly served, the defendant shall serve an answer within\n30 days after the issuance of the summons, except when a different time is prescribed by the\ncourt.").\nA backward-looking time period requires something to be done within a period of time\nbefore an event. See, e.g., Rules 6004(b) ("an objection to a proposed use, sale, or lease of property\nshall be filed and served not less than seven days before the date set for the proposed action");\n9006(d) ("A written motion, other than one which may be heard ex parte, and notice of any hearing\nshall be served not later than seven days before the time specified for such hearing"). In\ndetermining what is the "next" day for purposes of subdivisions (a)(1)(C) and (a)(2)(C), one\nshould continue counting in the same direction\xe2\x80\x94that is, forward when computing a\nforward-looking period and backward when computing a backward-looking period. If, for\nexample, a filing is due within 10 days after an event, and the tenth day falls on Saturday,\nSeptember 1, 2007, then the filing is due on Tuesday, September 4, 2007 (Monday, September 3, is\nLabor Day). But if a filing is due 10 days before an event, and the tenth day falls on Saturday,\nSeptember 1, then the filing is due on Friday, August 31.\nSubdivision (a)(6). New subdivision (a)(6) defines "legal holiday" for purposes of the\nFederal Rules of Bankruptcy Procedure, including the time-computation provisions of subdivision\n(a). Subdivision (a)(6) continues to include within the definition of "legal holiday" days that are\ndeclared a holiday by the President or Congress.\nFor forward-counted periods\xe2\x80\x94i.e., periods that are measured after an event\xe2\x80\x94subdivision\n(a)(6)(C) includes certain state holidays within the definition of legal holidays, and defines the\nterm "state"\xe2\x80\x94for purposes of subdivision (a)(6)\xe2\x80\x94to include the District of Columbia and any\ncommonwealth or territory of the United States. Thus, for purposes of subdivision (a)(6)\'s\ndefinition of "legal holiday," "state" includes the District of Columbia, Guam, American Samoa,\nthe U.S. Virgin Islands, the Commonwealth of Puerto Rico, and the Commonwealth of the\nNorthern Mariana Islands.\nHowever, state legal holidays are not recognized in computing backward-counted periods.\nFor both forward- and backward-counted periods, the rule thus protects those who may be unsure\nof the effect of state holidays. For forward-counted deadlines, treating state holidays the same as\nfederal holidays extends the deadline. Thus, someone who thought that the federal courts might be\nclosed on a state holiday would be safeguarded against an inadvertent late filing. In contrast, for\nbackward-counted deadlines, not giving state holidays the treatment of federal holidays allows\nfiling on the state holiday itself rather than the day before. Take, for example, Monday, April 21,\n2008 (Patriot\'s Day, a legal holiday in the relevant state). If a filing is due 14 days after an event,\n287\n\n\x0cand the fourteenth day is April 21, then the filing is due on Tuesday, April 22 because Monday,\nApril 21 counts as a legal holiday. But if a filing is due 14 days before an event, and the fourteenth\nday is April 21, the filing is due on Monday, April 21; the fact that April 21 is a state holiday does\nnot make April 21 a legal holiday for purposes of computing this backward-counted deadline. But\nnote that if the clerk\'s office is inaccessible on Monday, April 21, then subdivision (a)(3) extends\nthe April 21 filing deadline forward to the next accessible day that is not a Saturday, Sunday or\nlegal holiday\xe2\x80\x94no earlier than Tuesday, April 22.\nChanges Made After Publication. The reference to Rule 6(a)(1) in subdivision (a)(3)(A) at\nline 50 of the rule as it was published was corrected by referring instead to Rule 9006(a)(1).\nThe Standing Committee changed Rule 9006(a)(6) to exclude state holidays from the\ndefinition of "legal holiday" for purposes of computing backward-counted periods; conforming\nchanges were made to the Committee Note to subdivision (a)(6). In addition, the term "possession"\nwas deleted from the definition of "state" in subdivision (a)(6), and a conforming change was\nmade to the Committee Note.\n[Subdivision (d).] The rule is amended to implement changes in connection with the\namendment to Rule 9006(a) and the manner by which time is computed under the rules. The\ndeadline in the rule is amended to substitute a deadline that is a multiple of seven days. Throughout\nthe rules, deadlines are amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\nSubdivision (f) is amended to conform to the changes made to Rule 5(b)(2) of the Federal\nRules of Civil Procedure as a part of the Civil Rules Restyling Project. As a part of that project,\nsubparagraphs (b)(2)(C) and (D) of that rule were rewritten as subparagraphs (b)(2)(D), (E), and\n(F). The cross reference to those rules contained in subdivision (f) of this rule is corrected by this\namendment.\nCommittee Notes on Rules\xe2\x80\x942013 Amendment\nThe title of this rule is amended to draw attention to the fact that it prescribes time limits for\nthe service of motion papers. These time periods apply unless another Bankruptcy Rule or a court\norder, including a local rule, prescribes different time periods. Rules 9013 and 9014 should also be\nconsulted regarding motion practice. Rule 9013 governs the form of motions and the parties who\nmust be served. Rule 9014 prescribes the procedures applicable to contested matters, including the\nmethod of serving motions commencing contested matters and subsequent papers. Subdivision (d)\nis amended to apply to any written response to a motion, rather than just to opposing affidavits.\nThe caption of the subdivision is amended to reflect this change. Other changes are stylistic.\nChanges Made After Publication and Comment. No changes were made after publication\nand comment.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subds. (a) and (f), are set out in the\nAppendix to Title 28, Judiciary and Judicial Procedure.\n\nRule 9007. General Authority to Regulate Notices\n288\n\n\x0cWhen notice is to be given under these rules, the court shall designate, if not otherwise\nspecified herein, the time within which, the entities to whom, and the form and manner in which\nthe notice shall be given. When feasible, the court may order any notices under these rules to be\ncombined.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\n\nRule 9008. Service or Notice by Publication\nWhenever these rules require or authorize service or notice by publication, the court shall,\nto the extent not otherwise specified in these rules, determine the form and manner thereof,\nincluding the newspaper or other medium to be used and the number of publications.\n\nRule 9009. Forms\nExcept as otherwise provided in Rule 3016(d), the Official Forms prescribed by the\nJudicial Conference of the United States shall be observed and used with alterations as may be\nappropriate. Forms may be combined and their contents rearranged to permit economies in their\nuse. The Director of the Administrative Office of the United States Courts may issue additional\nforms for use under the Code. The forms shall be construed to be consistent with these rules and\nthe Code.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThe rule continues the obligatory character of the Official Forms in the interest of\nfacilitating the processing of the paperwork of bankruptcy administration, but provides that\nOfficial Forms will be prescribed by the Judicial Conference of the United States. The Supreme\nCourt and the Congress will thus be relieved of the burden of considering the large number of\ncomplex forms used in bankruptcy practice. The use of the Official Forms has generally been held\nsubject to a "rule of substantial compliance" and some of these rules, for example Rule 1002,\nspecifically state that the filed document need only "conform substantially" to the Official Form.\nSee also Rule 9005. The second sentence recognizes the propriety of combining and rearranging\nOfficial Forms to take advantage of technological developments and resulting economies.\nThe Director of the Administrative Office is authorized to issue additional forms for the\nguidance of the bar.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nRule 9029 [9009] is amended to clarify that local court rules may not prohibit or limit the\nuse of the Official Forms.\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to provide that a plan proponent in a small business chapter 11 case\n289\n\n\x0cneed not use an Official Form of a plan of reorganization and disclosure statement. The use of\nthose forms is optional, and under Rule 3016(d) the proponent may submit a plan and disclosure\nstatement in those cases that does not conform to the Official Forms.\nChanges Made After Publication. No changes were made after publication.\n\nRule 9010. Representation and Appearances; Powers of Attorney\n(a) Authority To Act Personally or by Attorney. A debtor, creditor, equity security holder,\nindenture trustee, committee or other party may (1) appear in a case under the Code and act either\nin the entity\'s own behalf or by an attorney authorized to practice in the court, and (2) perform any\nact not constituting the practice of law, by an authorized agent, attorney in fact, or proxy.\n(b) Notice of Appearance. An attorney appearing for a party in a case under the Code shall\nfile a notice of appearance with the attorney\'s name, office address and telephone number, unless\nthe attorney\'s appearance is otherwise noted in the record.\n(c) Power of Attorney. The authority of any agent, attorney in fact, or proxy to represent a\ncreditor for any purpose other than the execution and filing of a proof of claim or the acceptance or\nrejection of a plan shall be evidenced by a power of attorney conforming substantially to the\nappropriate Official Form. The execution of any such power of attorney shall be acknowledged\nbefore one of the officers enumerated in 28 U.S.C. \xc2\xa7459, \xc2\xa7953, Rule 9012, or a person authorized\nto administer oaths under the laws of the state where the oath is administered.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is substantially the same as former Bankruptcy Rule 910 and does not purport to\nchange prior holdings prohibiting a corporation from appearing pro se. See In re Las Colinas\nDevelopment Corp., 585 F.2d 7 (1st Cir. 1978).\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (c) is amended to include a reference to Rule 9012 which is amended to\nauthorize a bankruptcy judge or clerk to administer oaths.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nReferences to Official Form numbers in subdivision (c) are deleted in anticipation of future\nrevision and renumbering of the Official Forms.\n\nRule 9011. Signing of Papers; Representations to the Court; Sanctions;\nVerification and Copies of Papers\n(a) Signature. Every petition, pleading, written motion, and other paper, except a list,\nschedule, or statement, or amendments thereto, shall be signed by at least one attorney of record in\nthe attorney\'s individual name. A party who is not represented by an attorney shall sign all papers.\nEach paper shall state the signer\'s address and telephone number, if any. An unsigned paper shall\nbe stricken unless omission of the signature is corrected promptly after being called to the attention\n290\n\n\x0cof the attorney or party.\n(b) Representations to the Court. By presenting to the court (whether by signing, filing,\nsubmitting, or later advocating) a petition, pleading, written motion, or other paper, an attorney or\nunrepresented party is certifying that to the best of the person\'s knowledge, information, and\nbelief, formed after an inquiry reasonable under the circumstances,\xe2\x80\x94 1\n(1) it is not being presented for any improper purpose, such as to harass or to cause\nunnecessary delay or needless increase in the cost of litigation;\n(2) the claims, defenses, and other legal contentions therein are warranted by existing law\nor by a nonfrivolous argument for the extension, modification, or reversal of existing law or the\nestablishment of new law;\n(3) the allegations and other factual contentions have evidentiary support or, if specifically\nso identified, are likely to have evidentiary support after a reasonable opportunity for further\ninvestigation or discovery; and\n(4) the denials of factual contentions are warranted on the evidence or, if specifically so\nidentified, are reasonably based on a lack of information or belief.\n(c) Sanctions. If, after notice and a reasonable opportunity to respond, the court determines\nthat subdivision (b) has been violated, the court may, subject to the conditions stated below,\nimpose an appropriate sanction upon the attorneys, law firms, or parties that have violated\nsubdivision (b) or are responsible for the violation.\n(1) How Initiated.\n(A) By Motion. A motion for sanctions under this rule shall be made separately from other\nmotions or requests and shall describe the specific conduct alleged to violate subdivision (b). It\nshall be served as provided in Rule 7004. The motion for sanctions may not be filed with or\npresented to the court unless, within 21 days after service of the motion (or such other period as the\ncourt may prescribe), the challenged paper, claim, defense, contention, allegation, or denial is not\nwithdrawn or appropriately corrected, except that this limitation shall not apply if the conduct\nalleged is the filing of a petition in violation of subdivision (b). If warranted, the court may award\nto the party prevailing on the motion the reasonable expenses and attorney\'s fees incurred in\npresenting or opposing the motion. Absent exceptional circumstances, a law firm shall be held\njointly responsible for violations committed by its partners, associates, and employees.\n(B) On Court\'s Initiative. On its own initiative, the court may enter an order describing the\nspecific conduct that appears to violate subdivision (b) and directing an attorney, law firm, or party\nto show cause why it has not violated subdivision (b) with respect thereto.\n(2) Nature of Sanction; Limitations. A sanction imposed for violation of this rule shall be\nlimited to what is sufficient to deter repetition of such conduct or comparable conduct by others\nsimilarly situated. Subject to the limitations in subparagraphs (A) and (B), the sanction may\nconsist of, or include, directives of a nonmonetary nature, an order to pay a penalty into court, or, if\nimposed on motion and warranted for effective deterrence, an order directing payment to the\nmovant of some or all of the reasonable attorneys\' fees and other expenses incurred as a direct\nresult of the violation.\n(A) Monetary sanctions may not be awarded against a represented party for a violation of\nsubdivision (b)(2).\n(B) Monetary sanctions may not be awarded on the court\'s initiative unless the court issues\nits order to show cause before a voluntary dismissal or settlement of the claims made by or against\n291\n\n\x0cthe party which is, or whose attorneys are, to be sanctioned.\n(3) Order. When imposing sanctions, the court shall describe the conduct determined to\nconstitute a violation of this rule and explain the basis for the sanction imposed.\n(d) Inapplicability To Discovery. Subdivisions (a) through (c) of this rule do not apply to\ndisclosures and discovery requests, responses, objections, and motions that are subject to the\nprovisions of Rules 7026 through 7037.\n(e) Verification. Except as otherwise specifically provided by these rules, papers filed in a\ncase under the Code need not be verified. Whenever verification is required by these rules, an\nunsworn declaration as provided in 28 U.S.C. \xc2\xa71746 satisfies the requirement of verification.\n(f) Copies of Signed or Verified Papers. When these rules require copies of a signed or\nverified paper, it shall suffice if the original is signed or verified and the copies are conformed to\nthe original.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 11,\n1997, eff. Dec. 1, 1997.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a). Excepted from the papers which an attorney for a debtor must sign are\nlists, schedules, statements of financial affairs, statements of executory contracts, Chapter 13\nStatements and amendments thereto. Rule 1008 requires that these documents be verified by the\ndebtor. Although the petition must also be verified, counsel for the debtor must sign the petition.\nSee Official Form No. 1. An unrepresented party must sign all papers.\nThe last sentence of this subdivision authorizes a broad range of sanctions.\nThe word "document" is used in this subdivision to refer to all papers which the attorney or\nparty is required to sign.\nSubdivision (b) extends to all papers filed in cases under the Code the policy of minimizing\nreliance on the formalities of verification which is reflected in the third sentence of Rule 11\nF.R.Civ.P. The second sentence of subdivision (b) permits the substitution of an unsworn\ndeclaration for the verification. See 28 U.S.C. \xc2\xa71746. Rules requiring verification or an affidavit\nare as follows: Rule 1008, petitions, schedules, statements of financial affairs, Chapter 13\nStatements and amendments; Rule 2006(e), list of multiple proxies and statement of facts and\ncircumstances regarding their acquisition; Rule 4001(c), motion for ex parte relief from stay; Rule\n7065, incorporating Rule 65(b) F.R.Civ.P. governing issuance of temporary restraining order;\nRule 8011(d), affidavit in support of emergency motion on appeal.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe statement of intention of the debtor under \xc2\xa7521(2) of the Code is added to the\ndocuments which counsel is not required to sign.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nSubdivision (a) is amended to conform to Rule 11 F.R.Civ.P. where appropriate, but also to\nclarify that it applies to the unnecessary delay or needless increase in the cost of the administration\nof the case. Deletion of the references to specific statements that are excluded from the scope of\n292\n\n\x0cthis subdivision is stylistic. As used in subdivision (a) of this rule, "statement" is limited to the\nstatement of financial affairs and the statement of intention required to be filed under Rule 1007.\nDeletion of the reference to the Chapter 13 Statement is consistent with the amendment to Rule\n1007(b).\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nThis rule is amended to conform to the 1993 changes to F.R.Civ.P. 11. For an explanation\nof these amendments, see the advisory committee note to the 1993 amendments to F.R.Civ.P. 11.\nThe "safe harbor" provision contained in subdivision (c)(1)(A), which prohibits the filing\nof a motion for sanctions unless the challenged paper is not withdrawn or corrected within a\nprescribed time after service of the motion, does not apply if the challenged paper is a petition. The\nfiling of a petition has immediate serious consequences, including the imposition of the automatic\nstay under \xc2\xa7362 of the Code, which may not be avoided by the subsequent withdrawal of the\npetition. In addition, a petition for relief under chapter 7 or chapter 11 may not be withdrawn\nunless the court orders dismissal of the case for cause after notice and a hearing.\nGAP Report on Rule 9011. The proposed amendments to subdivision (a) were revised to\nclarify that a party not represented by an attorney must sign lists, schedules, and statements, as\nwell as other papers that are filed.\n1\nSo in original. The comma probably should not appear.\n\nRule 9012. Oaths and Affirmations\n(a) Persons Authorized To Administer Oaths. The following persons may administer oaths\nand affirmations and take acknowledgments: a bankruptcy judge, clerk, deputy clerk, United\nStates trustee, officer authorized to administer oaths in proceedings before the courts of the United\nStates or under the laws of the state where the oath is to be taken, or a diplomatic or consular\nofficer of the United States in any foreign country.\n(b) Affirmation in Lieu of Oath. When in a case under the Code an oath is required to be\ntaken a solemn affirmation may be accepted in lieu thereof.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from Rule 43(d) F.R.Civ.P.\nThe provisions of former Bankruptcy Rule 912(a) relating to who may administer oaths\nhave been deleted as unnecessary. Bankruptcy judges and the clerks and deputy clerks of\nbankruptcy courts are authorized by statute to administer oaths and affirmations and to take\nacknowledgments. 28 U.S.C. \xc2\xa7\xc2\xa7459, 953. A person designated to preside at the meeting of\ncreditors has authority under Rule 2003(b)(1) to administer the oath. Administration of the oath at\na deposition is governed by Rule 7028.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSubdivision (a) has been added to the rule to authorize bankruptcy judges and clerks to\n293\n\n\x0cadminister oaths.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\n\nThis rule is amended to conform to the 1986 amendment to \xc2\xa7343 which provides that the\nUnited States trustee may administer the oath to the debtor at the \xc2\xa7341 meeting. This rule also\nallows the United States trustee to administer oaths and affirmations and to take acknowledgments\nin other situations. This amendment also affects Rule 9010(c) relating to the acknowledgment of a\npower of attorney. The words "United States trustee" include a designee of the United States\ntrustee pursuant to Rule 9001 and \xc2\xa7102(9) of the Code.\n\nRule 9013. Motions: Form and Service\nA request for an order, except when an application is authorized by the rules, shall be by\nwritten motion, unless made during a hearing. The motion shall state with particularity the grounds\ntherefor, and shall set forth the relief or order sought. Every written motion, other than one which\nmay be considered ex parte, shall be served by the moving party within the time determined under\nRule 9006(d). The moving party shall serve the motion on:\n(a) the trustee or debtor in possession and on those entities specified by these rules; or\n(b) the entities the court directs if these rules do not require service or specify the entities to\nbe served.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 16, 2013, eff. Dec. 1, 2013.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is derived from Rule 5(a) and Rule 7(b)(1) F.R.Civ.P. Except when an application\nis specifically authorized by these rules, for example an application under Rule 2014 for approval\nof the employment of a professional, all requests for court action must be made by motion.\nCommittee Notes on Rules\xe2\x80\x942013 Amendment\nA cross-reference to Rule 9006(d) is added to this rule to call attention to the time limits for\nthe service of motions, supporting affidavits, and written responses to motions. Rule 9006(d)\nprescribes time limits that apply unless other limits are fixed by these rules, a court order, or a local\nrule. The other changes are stylistic.\nChanges Made After Publication and Comment. No changes were made after publication\nand comment.\n\nRule 9014. Contested Matters\n(a) Motion. In a contested matter not otherwise governed by these rules, relief shall be\nrequested by motion, and reasonable notice and opportunity for hearing shall be afforded the party\nagainst whom relief is sought. No response is required under this rule unless the court directs\notherwise.\n(b) Service. The motion shall be served in the manner provided for service of a summons\nand complaint by Rule 7004 and within the time determined under Rule 9006(d). Any written\n294\n\n\x0cresponse to the motion shall be served within the time determined under Rule 9006(d). Any paper\nserved after the motion shall be served in the manner provided by Rule 5(b) F.R.Civ.P.\n(c) Application of Part VII Rules. Except as otherwise provided in this rule, and unless the\ncourt directs otherwise, the following rules shall apply: 7009, 7017, 7021, 7025, 7026, 7028\xe2\x80\x937037,\n7041, 7042, 7052, 7054\xe2\x80\x937056, 7064, 7069, and 7071. The following subdivisions of Fed. R. Civ.\nP. 26, as incorporated by Rule 7026, shall not apply in a contested matter unless the court directs\notherwise: 26(a)(1) (mandatory disclosure), 26(a)(2) (disclosures regarding expert testimony) and\n26(a)(3) (additional pre-trial disclosure), and 26(f) (mandatory meeting before scheduling\nconference/discovery plan). An entity that desires to perpetuate testimony may proceed in the\nsame manner as provided in Rule 7027 for the taking of a deposition before an adversary\nproceeding. The court may at any stage in a particular matter direct that one or more of the other\nrules in Part VII shall apply. The court shall give the parties notice of any order issued under this\nparagraph to afford them a reasonable opportunity to comply with the procedures prescribed by the\norder.\n(d) Testimony of Witnesses. Testimony of witnesses with respect to disputed material\nfactual issues shall be taken in the same manner as testimony in an adversary proceeding.\n(e) Attendance of Witnesses. The court shall provide procedures that enable parties to\nascertain at a reasonable time before any scheduled hearing whether the hearing will be an\nevidentiary hearing at which witnesses may testify.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 29,\n2002, eff. Dec. 1, 2002; Apr. 26, 2004, eff. Dec. 1, 2004; Apr. 16, 2013, eff. Dec. 1, 2013.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRules 1017(d), 3020(b)(1), 4001(a), 4003(d), and 6006(a), which govern respectively\ndismissal or conversion of a case, objections to confirmation of a plan, relief from the automatic\nstay and the use of cash collateral, avoidance of a lien under \xc2\xa7552(f) of the Code, and the\nassumption or rejection of executory contracts or unexpired leases, specifically provide that\nlitigation under those rules shall be as provided in Rule 9014. This rule also governs litigation in\nother contested matters.\nWhenever there is an actual dispute, other than an adversary proceeding, before the\nbankruptcy court, the litigation to resolve that dispute is a contested matter. For example, the filing\nof an objection to a proof of claim, to a claim of exemption, or to a disclosure statement creates a\ndispute which is a contested matter. Even when an objection is not formally required, there may be\na dispute. If a party in interest opposes the amount of compensation sought by a professional, there\nis a dispute which is a contested matter.\nWhen the rules of Part VII are applicable to a contested matter, reference in the Part VII\nrules to adversary proceedings is to be read as a reference to a contested matter. See Rule 9002(1).\nCommittee Notes on Rules\xe2\x80\x941999 Amendment\nThis rule is amended to delete Rule 7062 from the list of Part VII rules that automatically\napply in a contested matter.\nRule 7062 provides that Rule 62 F.R.Civ.P., which governs stays of proceedings to enforce\na judgment, is applicable in adversary proceedings. The provisions of Rule 62, including the\nten-day automatic stay of the enforcement of a judgment provided by Rule 62(a) and the stay as a\nmatter of right by posting a supersedeas bond provided in Rule 62(d), are not appropriate for most\n295\n\n\x0corders granting or denying motions governed by Rule 9014.\nAlthough Rule 7062 will not apply automatically in contested matters, the amended rule\npermits the court, in its discretion, to order that Rule 7062 apply in a particular matter, and Rule\n8005 gives the court discretion to issue a stay or any other appropriate order during the pendency\nof an appeal on such terms as will protect the rights of all parties in interest. In addition,\namendments to Rules 3020, 4001, 6004, and 6006 automatically stay certain types of orders for a\nperiod of ten days, unless the court orders otherwise.\nGAP Report on Rule 9014. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942002 Amendment\nThe list of Part VII rules that are applicable in a contested matter is extended to include\nRule 7009 on pleading special matters, and Rule 7017 on real parties in interest, infants and\nincompetent persons, and capacity. The discovery rules made applicable in adversary proceedings\napply in contested matters unless the court directs otherwise.\nSubdivision (b) is amended to permit parties to serve papers, other than the original motion,\nin the manner provided in Rule 5(b) F.R. Civ.P. When the court requires a response to the motion,\nthis amendment will permit service of the response in the same manner as an answer is served in an\nadversary proceeding.\nSubdivision (d) is added to clarify that if the motion cannot be decided without resolving a\ndisputed material issue of fact, an evidentiary hearing must be held at which testimony of\nwitnesses is taken in the same manner as testimony is taken in an adversary proceeding or at a trial\nin a district court civil case. Rule 43(a), rather than Rule 43(e), F.R. Civ.P. would govern the\nevidentiary hearing on the factual dispute. Under Rule 9017, the Federal Rules of Evidence also\napply in a contested matter. Nothing in the rule prohibits a court from resolving any matter that is\nsubmitted on affidavits by agreement of the parties.\nSubdivision (e). Local procedures for hearings and other court appearances in a contested\nmatter vary from district to district. In some bankruptcy courts, an evidentiary hearing at which\nwitnesses may testify usually is held at the first court appearance in the contested matter. In other\ncourts, it is customary for the court to delay the evidentiary hearing on disputed factual issues until\nsome time after the initial hearing date. In order to avoid unnecessary expense and inconvenience,\nit is important for attorneys to know whether they should bring witnesses to a court appearance.\nThe purpose of the final sentence of this rule is to require that the court provide a mechanism that\nwill enable attorneys to know at a reasonable time before a scheduled hearing whether it will be\nnecessary for witnesses to appear in court on that particular date.\nOther amendments to this rule are stylistic.\nChanges Made After Publication and Comments:\nThe Advisory Committee made two changes to subdivision (d) after considering the\ncomments received addressing the proposed rule. First, the word "material" is inserted to make\nexplicit that which was implied in the published version of the proposed rule. Second, the\nreference to F.R.Civ.P. 43(a) was removed. The purpose of proposed subdivision (d) was to\nrecognize that testimony should be taken in the same manner in both contested matters and\nadversary proceedings. The revision to the published rule states this more directly.\nThe Committee Note was amended to reflect the changes made in the text of the rule.\nCommittee Notes on Rules\xe2\x80\x942004 Amendment\n\n296\n\n\x0cThe rule is amended to provide that the mandatory disclosure requirements of Fed. R. Civ.\nP. 26, as incorporated by Rule 7026, do not apply in contested matters. The typically short time\nbetween the commencement and resolution of most contested matters makes the mandatory\ndisclosure provisions of Rule 26 ineffective. Nevertheless, the court may by local rule or by order\nin a particular case provide that these provisions of the rule apply in a contested matter.\nChanges Made After Publication. No changes since publication.\nCommittee Notes on Rules\xe2\x80\x942013 Amendment\nA cross-reference to Rule 9006(d) is added to subdivision (b) to call attention to the time\nlimits for the service of motions, supporting affidavits, and written responses to motions. Rule\n9006(d) prescribes time limits that apply unless other limits are fixed by these rules, a court order,\nor a local rule.\nChanges Made After Publication and Comment. No changes were made after publication\nand comment.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subds. (b) and (c), are set out in the\nAppendix to Title 28, Judiciary and Judicial Procedure.\n\nRule 9015. Jury Trials\n(a) Applicability of Certain Federal Rules of Civil Procedure. Rules 38, 39, 47\xe2\x80\x9349, and 51,\nF.R.Civ.P., and Rule 81(c) F.R.Civ.P. insofar as it applies to jury trials, apply in cases and\nproceedings, except that a demand made under Rule 38(b) F.R.Civ.P. shall be filed in accordance\nwith Rule 5005.\n(b) Consent To Have Trial Conducted by Bankruptcy Judge. If the right to a jury trial\napplies, a timely demand has been filed pursuant to Rule 38(b) F.R.Civ.P., and the bankruptcy\njudge has been specially designated to conduct the jury trial, the parties may consent to have a jury\ntrial conducted by a bankruptcy judge under 28 U.S.C. \xc2\xa7157(e) by jointly or separately filing a\nstatement of consent within any applicable time limits specified by local rule.\n(c) Applicability of Rule 50 F.R.Civ.P. Rule 50 F.R.Civ.P. applies in cases and\nproceedings, except that any renewed motion for judgment or request for a new trial shall be filed\nno later than 14 days after the entry of judgment.\n(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941997\nThis rule provides procedures relating to jury trials. This rule is not intended to expand or\ncreate any right to trial by jury where such right does not otherwise exist.\nGAP Report on Rule 9015. No changes to the published draft.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended by deleting Rule 50 F.R.Civ.P. from the list in subdivision (a) of rules\n297\n\n\x0cmade applicable in cases and proceedings. However, subdivision (c) is added to make Rule 50\napplicable in cases and proceedings, but it limits the time for filing certain post judgment motions\nto 14 days after the entry of judgment. The amendment is necessary because Rule 50 F.R.Civ.P.\nwas amended in 2009 to extend the deadline for the filing of these post judgment motions to 28\ndays. That deadline corresponds to the 30-day deadline for filing a notice of appeal in a civil case\nunder Rule 4(a)(1)(A) F.R.App.P. In a bankruptcy case, the deadline for filing a notice of appeal is\n14 days. Therefore, the 28-day deadline for filing these post judgment motions would effectively\noverride the notice of appeal deadline under Rule 8002(a) but for this amendment.\nOther amendments are stylistic.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9016. Subpoena\nRule 45 F.R.Civ.P. applies in cases under the Code.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nAlthough Rule 7004(d) authorizes nationwide service of process, Rule 45 F.R.Civ.P. limits\nthe subpoena power to the judicial district and places outside the district which are within 100\nmiles of the place of trial or hearing.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9017. Evidence\nThe Federal Rules of Evidence and Rules 43, 44 and 44.1 F.R.Civ.P. apply in cases under\nthe Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSections 251 and 252 of Public Law 95\xe2\x80\x93598, amended Rule 1101 of the Federal Rules of\nEvidence to provide that the Federal Rules of Evidence apply in bankruptcy courts and to any case\nor proceeding under the Code. Rules 43, 44 and 44.1 of the F.R.Civ.P., which supplement the\nFederal Rules of Evidence, are by this rule made applicable to cases under the Code.\nExamples of bankruptcy rules containing matters of an evidentiary nature are: Rule 2011,\nevidence of debtor retained in possession; Rule 3001(f), proof of claim constitutes prima facie\nevidence of the amount and validity of a claim; and Rule 5007(c), sound recording of court\nproceedings constitutes the record of the proceedings.\n298\n\n\x0cReferences in Text\n\nThe Federal Rules of Evidence and the Federal Rules of Civil Procedure, referred to in text,\nare set out in the Appendix to Title 28, Judiciary and Judicial Procedure.\n\nRule 9018. Secret, Confidential, Scandalous, or Defamatory Matter\nOn motion or on its own initiative, with or without notice, the court may make any order\nwhich justice requires (1) to protect the estate or any entity in respect of a trade secret or other\nconfidential research, development, or commercial information, (2) to protect any entity against\nscandalous or defamatory matter contained in any paper filed in a case under the Code, or (3) to\nprotect governmental matters that are made confidential by statute or regulation. If an order is\nentered under this rule without notice, any entity affected thereby may move to vacate or modify\nthe order, and after a hearing on notice the court shall determine the motion.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule provides the procedure for invoking the court\'s power under \xc2\xa7107 of the Code.\n\nRule 9019. Compromise and Arbitration\n(a) Compromise. On motion by the trustee and after notice and a hearing, the court may\napprove a compromise or settlement. Notice shall be given to creditors, the United States trustee,\nthe debtor, and indenture trustees as provided in Rule 2002 and to any other entity as the court may\ndirect.\n(b) Authority To Compromise or Settle Controversies Within Classes. After a hearing on\nsuch notice as the court may direct, the court may fix a class or classes of controversies and\nauthorize the trustee to compromise or settle controversies within such class or classes without\nfurther hearing or notice.\n(c) Arbitration. On stipulation of the parties to any controversy affecting the estate the\ncourt may authorize the matter to be submitted to final and binding arbitration.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,\n1993, eff. Aug. 1, 1993.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivisions (a) and (c) of this rule are essentially the same as the provisions of former\nBankruptcy Rule 919 and subdivision (b) is the same as former Rule 8\xe2\x80\x93514(b), which was\napplicable to railroad reorganizations. Subdivision (b) permits the court to deal efficiently with a\ncase in which there may be a large number of settlements.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to enable the United States trustee to object or otherwise be heard in\n299\n\n\x0cconnection with a proposed compromise or settlement and otherwise to monitor the progress of the\ncase.\nNotes of Advisory Committee on Rules\xe2\x80\x941993 Amendment\nSubdivision (a) is amended to conform to the language of \xc2\xa7102(1) of the Code. Other\namendments are stylistic and make no substantive change.\n\nRule 9020. Contempt Proceedings\nRule 9014 governs a motion for an order of contempt made by the United States trustee or\na party in interest.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n2001, eff. Dec. 1, 2001.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSection 1481 of Title 28 provides that a bankruptcy court "may not . . . punish a criminal\ncontempt not committed in the presence of the judge of the court or warranting a punishment of\nimprisonment." Rule 9020 does not enlarge the power of bankruptcy courts.\nSubdivision (a) is adapted from former Bankruptcy Rule 920 and Rule 42 F.R.Crim.P.\nParagraph (1) of the subdivision permits summary imposition of punishment for contempt if the\nconduct is in the presence of the court and is of such nature that the conduct "obstruct[s] the\nadministration of justice." See 18 U.S.C. \xc2\xa7401(a). Cases interpreting Rule 42(a) F.R.Crim.P. have\nheld that when criminal contempt is in question summary disposition should be the exception:\nsummary disposition should be reserved for situations where it is necessary to protect the judicial\ninstitution. 3 Wright, Federal Practice & Procedure\xe2\x80\x94Criminal \xc2\xa7707 (1969). Those cases are\nequally pertinent to the application of this rule and, therefore, contemptuous conduct in the\npresence of the judge may often be punished only after the notice and hearing requirements of\nsubdivision (b) are satisfied.\nIf the bankruptcy court concludes it is without power to punish or to impose the proper\npunishment for conduct which constitutes contempt, subdivision (a)(3) authorizes the bankruptcy\ncourt to certify the matter to the district court.\nSubdivision (b) makes clear that when a person has a constitutional or statutory right to a\njury trial in a criminal contempt matter this rule in no way affects that right. See Frank v. United\nStates, 395 U.S. 147 (1969).\nThe Federal Rules of Civil Procedure do not specifically provide the procedure for the\nimposition of civil contempt sanctions. The decisional law governing the procedure for imposition\nof civil sanctions by the district courts will be equally applicable to the bankruptcy courts.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nThe United States Bankruptcy Courts, as constituted under the Bankruptcy Reform Act of\n1978, were courts of law, equity, and admiralty with an inherent contempt power, but former 28\nU.S.C. \xc2\xa71481 restricted the criminal contempt power of bankruptcy judges. Under the 1984\namendments, bankruptcy judges are judicial officers of the district court, 28 U.S.C. \xc2\xa7\xc2\xa7151,\n300\n\n\x0c152(a)(1). There are no decisions by the courts of appeals concerning the authority of bankruptcy\njudges to punish for either civil or criminal contempt under the 1984 amendments. This rule, as\namended, recognizes that bankruptcy judges may not have the power to punish for contempt.\nSound judicial administration requires that the initial determination of whether contempt\nhas been committed should be made by the bankruptcy judge. If timely objections are not filed to\nthe bankruptcy judge\'s order, the order has the same force and effect as an order of the district\ncourt. If objections are filed within 10 days of service of the order, the district court conducts a de\nnovo review pursuant to Rule 9033 and any order of contempt is entered by the district court on\ncompletion of the court\'s review of the bankruptcy judge\'s order.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe words "with the clerk" in subdivision (c) are deleted as unnecessary. See Rules\n5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x942001 Amendment\nThe amendments to this rule cover a motion for an order of contempt filed by the United\nStates trustee or a party in interest. This rule, as amended, does not address a contempt proceeding\ninitiated by the court sua sponte.\nWhether the court is acting on motion under this rule or is acting sua sponte, these\namendments are not intended to extend, limit, or otherwise affect either the contempt power of a\nbankruptcy judge or the role of the district judge regarding contempt orders. Issues relating to the\ncontempt power of bankruptcy judges are substantive and are left to statutory and judicial\ndevelopment, rather than procedural rules.\nThis rule, as amended in 1987, delayed for ten days from service the effectiveness of a\nbankruptcy judge\'s order of contempt and rendered the order subject to de novo review by the\ndistrict court. These limitations on contempt orders were added to the rule in response to the\nBankruptcy Amendments and Federal Judgeship Act of 1984, Pub. L. No. 98\xe2\x80\x93353, 98 Stat. 333,\nwhich provides that bankruptcy judges are judicial officers of the district court, but does not\nspecifically mention contempt power. See 28 U.S.C. \xc2\xa7151. As explained in the committee note to\nthe 1987 amendments to this rule, no decisions of the courts of appeals existed concerning the\nauthority of a bankruptcy judge to punish for either civil or criminal contempt under the 1984 Act\nand, therefore, the rule as amended in 1987 "recognizes that bankruptcy judges may not have the\npower to punish for contempt." Committee Note to 1987 Amendments to Rule 9020.\nSince 1987, several courts of appeals have held that bankruptcy judges have the power to\nissue civil contempt orders. See, e.g., Matter of Terrebonne Fuel and Lube, Inc., 108 F.3d 609 (5th\nCir. 1997); In re Rainbow Magazine, Inc., 77 F.3d 278 (9th Cir. 1996). Several courts have\ndistinguished between a bankruptcy judge\'s civil contempt power and criminal contempt power.\nSee, e.g., Matter of Terrebonne Fuel and Lube, Inc., 108 F.3d at 613, n. 3 ("[a]lthough we find that\nbankruptcy judge\'s [sic] can find a party in civil contempt, we must point out that bankruptcy\ncourts lack the power to hold persons in criminal contempt."). For other decisions regarding\ncriminal contempt power, see, e.g., In re Ragar, 3 F.3d 1174 (8th Cir. 1993); Matter of Hipp, Inc.,\n895 F.2d 1503 (5th Cir. 1990). To the extent that Rule 9020, as amended in 1987, delayed the\neffectiveness of civil contempt orders and required de novo review by the district court, the rule\nmay have been unnecessarily restrictive in view of judicial decisions recognizing that bankruptcy\njudges have the power to hold parties in civil contempt.\n301\n\n\x0cSubdivision (d), which provides that the rule shall not be construed to impair the right to\ntrial by jury, is deleted as unnecessary and is not intended to deprive any party of the right to a jury\ntrial when it otherwise exists.\nChanges Made After Publication and Comments. No changes were made in the text of the\nproposed amendments. Stylistic changes were made to the Committee Note.\n\nRule 9021. Entry of Judgment\nA judgment or order is effective when entered under Rule 5003.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a). This rule is derived from Rule 58 F.R.Civ.P. The requirement that a\njudgment entered in an adversary proceeding or contested matter be set forth on a separate\ndocument is to eliminate uncertainty as to whether an opinion or memorandum of the court is a\njudgment. There is no sound reason to require that every order in a case under the Code be\nevidenced by a separate document.\nSubdivision (b) establishes a procedure for entering a judgment of a bankruptcy court for\nthe recovery of money or property in an index of judgments kept by the clerk of the district court.\nIt clarifies the availability of the same remedies for the enforcement of a bankruptcy court\njudgment as those provided for the enforcement of a district court judgment. See 28 U.S.C.\n\xc2\xa7\xc2\xa71961\xe2\x80\x9363. When indexed in accordance with subdivision (b) of this rule a judgment of the\nbankruptcy court may be found by anyone searching for liens of record in the judgment records of\nthe district court. Certification of a copy of the judgment to the clerk of the district court provides a\nbasis for registration of the judgment pursuant to 28 U.S.C. \xc2\xa71963 in any other district. When so\nregistered, the judgment may be enforced by issuance of execution and orders for supplementary\nproceedings that may be served anywhere within the state where the registering court sits. See 7\nMoore, Federal Practice 2409\xe2\x80\x9311 (2d ed. 1971). The procedures available in the district court are\nnot exclusive, however, and the holder of a judgment entered by the bankruptcy court may use the\nremedies under Rules 7069 and 7070 even if the judgment is indexed by the clerk of the district\ncourt.\nSubdivision (c) makes it clear that when a district court hears a matter reserved to it by 28\nU.S.C. \xc2\xa7\xc2\xa71471, 1481, its judgments are entered in the district court\'s civil docket and in the docket\nof the bankruptcy court. When the district court acts as an appellate court, Rule 8016(a) governs\nthe entry of judgments on appeal.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nFormer subdivision (a) was derived from Rule 58 F.R.Civ.P. As amended, Rule 9021\nadopts Rule 58. The reference in Rule 58 to Rule 79(a) F.R.Civ.P. is to be read as a reference to\nRule 5003.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended in connection with the amendment that adds Rule 7058. The entry of\n302\n\n\x0cjudgment in adversary proceedings is governed by Rule 7058, and the entry of a judgment or order\nin all other proceedings is governed by this rule.\nChanges Made After Publication. No changes since publication.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9022. Notice of Judgment or Order\n(a) Judgment or Order of Bankruptcy Judge. Immediately on the entry of a judgment or\norder the clerk shall serve a notice of entry in the manner provided in Rule 5(b) F.R.Civ.P. on the\ncontesting parties and on other entities as the court directs. Unless the case is a chapter 9\nmunicipality case, the clerk shall forthwith transmit to the United States trustee a copy of the\njudgment or order. Service of the notice shall be noted in the docket. Lack of notice of the entry\ndoes not affect the time to appeal or relieve or authorize the court to relieve a party for failure to\nappeal within the time allowed, except as permitted in Rule 8002.\n(b) Judgment or Order of District Judge. Notice of a judgment or order entered by a district\njudge is governed by Rule 77(d) F.R.Civ.P. Unless the case is a chapter 9 municipality case, the\nclerk shall forthwith transmit to the United States trustee a copy of a judgment or order entered by\na district judge.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23,\n2001, eff. Dec. 1, 2001.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nSubdivision (a) of this rule is an adaptation of Rule 77(d) F.R.Civ.P.\nSubdivision (b) complements Rule 9021(b). When a district court acts as an appellate court,\nRule 8016(b) requires the clerk to give notice of the judgment on appeal.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to enable the United States trustee to be informed of all developments\nin the case so that administrative and supervisory functions provided in 28 U.S.C. \xc2\xa7586(a) may be\nperformed.\nCommittee Notes on Rules\xe2\x80\x942001 Amendment\nRule 5(b) F.R.Civ.P., which is made applicable in adversary proceedings by Rule 7005, is\nbeing restyled and amended to authorize service by electronic means\xe2\x80\x94or any other means not\notherwise authorized under Rule 5(b)\xe2\x80\x94if consent is obtained from the person served. The\namendment to Rule 9022(a) authorizes the clerk to serve notice of entry of a judgment or order by\nelectronic means if the person served consents, or to use any other means of service authorized\nunder Rule 5(b), including service by mail. This amendment conforms to the amendments made to\nRule 77(d) F.R.Civ.P.\n303\n\n\x0cChanges Made After Publication and Comments. No changes were made.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subd. (b), are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9023. New Trials; Amendment of Judgments\nExcept as provided in this rule and Rule 3008, Rule 59 F.R.Civ.P. applies in cases under\nthe Code. A motion for a new trial or to alter or amend a judgment shall be filed, and a court may\non its own order a new trial, no later than 14 days after entry of judgment.\n(As amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nRule 59 F.R.Civ.P. regulates motions for a new trial and amendment of judgment. Those\nmotions must be served within 10 days of the entry of judgment. No similar time limit is contained\nin Rule 3008 which governs reconsideration of claims.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to limit to 14 days the time for a party to file a post judgment motion\nfor a new trial and for the court to order sua sponte a new trial. In 2009, Rule 59 F. R. Civ. P. was\namended to extend the deadline for these actions to 28 days after the entry of judgment. That\ndeadline corresponds to the 30-day deadline for filing a notice of appeal in a civil case under Rule\n4(a)(1)(A) F.R.App.P. In a bankruptcy case, however, the deadline for filing a notice of appeal is\n14 days. Therefore, the 28-day deadline for filing a motion for a new trial or a motion to alter or\namend a judgment would effectively override the notice of appeal deadline under Rule 8002(a) but\nfor this amendment.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9024. Relief from Judgment or Order\nRule 60 F.R.Civ.P. applies in cases under the Code except that (1) a motion to reopen a\ncase under the Code or for the reconsideration of an order allowing or disallowing a claim against\nthe estate entered without a contest is not subject to the one year limitation prescribed in Rule\n60(c), (2) a complaint to revoke a discharge in a chapter 7 liquidation case may be filed only within\nthe time allowed by \xc2\xa7727(e) of the Code, and (3) a complaint to revoke an order confirming a plan\nmay be filed only within the time allowed by \xc2\xa71144, \xc2\xa71230, or \xc2\xa71330.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\n304\n\n\x0cMotions to reopen cases are governed by Rule 5010. Reconsideration of orders allowing\nand disallowing claims is governed by Rule 3008. For the purpose of this rule all orders of the\nbankruptcy court are subject to Rule 60 F.R.Civ.P.\nPursuant to \xc2\xa7727(e) of the Code a complaint to revoke a discharge must be filed within one\nyear of the entry of the discharge or, when certain grounds of revocation are asserted, the later of\none year after the entry of the discharge or the date the case is closed. Under \xc2\xa71144 and \xc2\xa71330 of\nthe Code a party must file a complaint to revoke an order confirming a chapter 11 or 13 plan within\n180 days of its entry. Clauses (2) and (3) of this rule make it clear that the time periods established\nby \xc2\xa7\xc2\xa7727(e), 1144 and 1330 of the Code may not be circumvented by the invocation of F.R.Civ.P.\n60(b).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nClause (3) is amended to include a reference to \xc2\xa71230 of the Code which contains time\nlimitations relating to revocation of confirmation of a chapter 12 plan. The time periods prescribed\nby \xc2\xa71230 may not be circumvented by the invocation of F.R.Civ.P. 60(b).\nCommittee Notes on Rules\xe2\x80\x942008 Amendment\nThe rule is amended to conform to the changes made to the Federal Rules of Civil\nProcedure through the restyling of those rules effective on December 1, 2007.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9025. Security: Proceedings Against Sureties\nWhenever the Code or these rules require or permit the giving of security by a party, and\nsecurity is given in the form of a bond or stipulation or other undertaking with one or more\nsureties, each surety submits to the jurisdiction of the court, and liability may be determined in an\nadversary proceeding governed by the rules in Part VII.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is an adaptation of Rule 65.1 F.R.Civ.P. and applies to any surety on a bond given\npursuant to \xc2\xa7303(e) of the Code, Rules 2001, 2010, 5008, 7062, 7065, 8005, or any other rule\nauthorizing the giving of such security.\n\nRule 9026. Exceptions Unnecessary\nRule 46 F.R.Civ.P. applies in cases under the Code.\nReferences in Text\n305\n\n\x0cThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9027. Removal\n(a) Notice of Removal.\n(1) Where Filed; Form and Content. A notice of removal shall be filed with the clerk for\nthe district and division within which is located the state or federal court where the civil action is\npending. The notice shall be signed pursuant to Rule 9011 and contain a short and plain statement\nof the facts which entitle the party filing the notice to remove, contain a statement that upon\nremoval of the claim or cause of action the proceeding is core or non-core and, if non-core, that the\nparty filing the notice does or does not consent to entry of final orders or judgment by the\nbankruptcy judge, and be accompanied by a copy of all process and pleadings.\n(2) Time for Filing; Civil Action Initiated Before Commencement of the Case Under the\nCode. If the claim or cause of action in a civil action is pending when a case under the Code is\ncommenced, a notice of removal may be filed only within the longest of (A) 90 days after the order\nfor relief in the case under the Code, (B) 30 days after entry of an order terminating a stay, if the\nclaim or cause of action in a civil action has been stayed under \xc2\xa7362 of the Code, or (C) 30 days\nafter a trustee qualifies in a chapter 11 reorganization case but not later than 180 days after the\norder for relief.\n(3) Time for filing; civil action initiated after commencement of the case under the Code. If\na claim or cause of action is asserted in another court after the commencement of a case under the\nCode, a notice of removal may be filed with the clerk only within the shorter of (A) 30 days after\nreceipt, through service or otherwise, of a copy of the initial pleading setting forth the claim or\ncause of action sought to be removed, or (B) 30 days after receipt of the summons if the initial\npleading has been filed with the court but not served with the summons.\n(b) Notice. Promptly after filing the notice of removal, the party filing the notice shall serve\na copy of it on all parties to the removed claim or cause of action.\n(c) Filing in Non-Bankruptcy Court. Promptly after filing the notice of removal, the party\nfiling the notice shall file a copy of it with the clerk of the court from which the claim or cause of\naction is removed. Removal of the claim or cause of action is effected on such filing of a copy of\nthe notice of removal. The parties shall proceed no further in that court unless and until the claim\nor cause of action is remanded.\n(d) Remand. A motion for remand of the removed claim or cause of action shall be\ngoverned by Rule 9014 and served on the parties to the removed claim or cause of action.\n(e) Procedure After Removal.\n(1) After removal of a claim or cause of action to a district court the district court or, if the\ncase under the Code has been referred to a bankruptcy judge of the district, the bankruptcy judge,\nmay issue all necessary orders and process to bring before it all proper parties whether served by\nprocess issued by the court from which the claim or cause of action was removed or otherwise.\n(2) The district court or, if the case under the Code has been referred to a bankruptcy judge\nof the district, the bankruptcy judge, may require the party filing the notice of removal to file with\nthe clerk copies of all records and proceedings relating to the claim or cause of action in the court\n306\n\n\x0cfrom which the claim or cause of action was removed.\n(3) Any party who has filed a pleading in connection with the removed claim or cause of\naction, other than the party filing the notice of removal, shall file a statement admitting or denying\nany allegation in the notice of removal that upon removal of the claim or cause of action the\nproceeding is core or non-core. If the statement alleges that the proceeding is non-core, it shall\nstate that the party does or does not consent to entry of final orders or judgment by the bankruptcy\njudge. A statement required by this paragraph shall be signed pursuant to Rule 9011 and shall be\nfiled not later than 14 days after the filing of the notice of removal. Any party who files a statement\npursuant to this paragraph shall mail a copy to every other party to the removed claim or cause of\naction.\n(f) Process After Removal. If one or more of the defendants has not been served with\nprocess, the service has not been perfected prior to removal, or the process served proves to be\ndefective, such process or service may be completed or new process issued pursuant to Part VII of\nthese rules. This subdivision shall not deprive any defendant on whom process is served after\nremoval of the defendant\'s right to move to remand the case.\n(g) Applicability of Part VII. The rules of Part VII apply to a claim or cause of action\nremoved to a district court from a federal or state court and govern procedure after removal.\nRepleading is not necessary unless the court so orders. In a removed action in which the defendant\nhas not answered, the defendant shall answer or present the other defenses or objections available\nunder the rules of Part VII within 21 days following the receipt through service or otherwise of a\ncopy of the initial pleading setting forth the claim for relief on which the action or proceeding is\nbased, or within 21 days following the service of summons on such initial pleading, or within\nseven days following the filing of the notice of removal, whichever period is longest.\n(h) Record Supplied. When a party is entitled to copies of the records and proceedings in\nany civil action or proceeding in a federal or a state court, to be used in the removed civil action or\nproceeding, and the clerk of the federal or state court, on demand accompanied by payment or\ntender of the lawful fees, fails to deliver certified copies, the court may, on affidavit reciting the\nfacts, direct such record to be supplied by affidavit or otherwise. Thereupon the proceedings, trial\nand judgment may be had in the court, and all process awarded, as if certified copies had been\nfiled.\n(i) Attachment or Sequestration; Securities. When a claim or cause of action is removed to\na district court, any attachment or sequestration of property in the court from which the claim or\ncause of action was removed shall hold the property to answer the final judgment or decree in the\nsame manner as the property would have been held to answer final judgment or decree had it been\nrendered by the court from which the claim or cause of action was removed. All bonds,\nundertakings, or security given by either party to the claim or cause of action prior to its removal\nshall remain valid and effectual notwithstanding such removal. All injunctions issued, orders\nentered and other proceedings had prior to removal shall remain in full force and effect until\ndissolved or modified by the court.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 29,\n2002, eff. Dec. 1, 2002; Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nUnder 28 U.S.C. \xc2\xa71478(a) "any claim or cause of action in a civil action, other than a\nproceeding before the United States Tax Court or a civil action by a Government unit to enforce [a]\n307\n\n\x0c. . . regulatory or police power" may be removed "if the bankruptcy courts have jurisdiction over\nsuch claim or cause of action." This rule specifies how removal is accomplished, the procedure\nthereafter, and the procedure to request remand of the removed claim or cause of action. If the\nclaim or cause of action which is removed to the bankruptcy court is subject to the automatic stay\nof \xc2\xa7362 of the Code, the litigation may not proceed in the bankruptcy court until relief from the\nstay is granted.\nThe subdivisions of this rule conform substantially to 28 U.S.C. \xc2\xa7\xc2\xa71446\xe2\x80\x931450 and Rule\n81(a) F.R.Civ.P. pertaining to removal to the district courts.\nSubdivision (a)(1) is derived from 28 U.S.C. \xc2\xa71446(a).\nSubdivisions (a)(2) and (a)(3) are derived from paragraphs one and two of 28 U.S.C.\n\xc2\xa71446(b). Timely exercise of the right to remove is as important in bankruptcy cases as in\nremovals from a state court to a district court.\nSubdivision (a)(2) governs the situation in which there is litigation pending and a party to\nthe litigation becomes a debtor under the Code. Frequently, removal would be of little utility in\nsuch cases because the pending litigation will be stayed by \xc2\xa7362(a) on commencement of the case\nunder the Code. As long as the stay remains in effect there is no reason to impose a time limit for\nremoval to the bankruptcy court and, therefore, clause (B) of subdivision (a)(2) provides that a\nremoval application may be filed within 30 days of entry of an order terminating the stay. Parties to\nstayed litigation will not be required to act immediately on commencement of a case under the\nCode to protect their right to remove. If the pending litigation is not stayed by \xc2\xa7362(a) of the Code,\nthe removal application must ordinarily be filed within 90 days of the order for relief. Clause (C)\ncontains an alternative period for a chapter 11 case. If a trustee is appointed, the removal\napplication may be filed within 30 days of the trustee\'s qualification, provided that the removal\napplication is filed not more than 180 days after the order for relief.\nThe removal application must be filed within the longest of the three possible periods. For\nexample, in a chapter 11 case if the 90 day period expires but a trustee is appointed shortly\nthereafter, the removal application may be filed within 30 days of the trustee\'s qualification but not\nlater than 180 days after the order for relief. Nevertheless, if the claim or cause of action in the civil\naction is stayed under \xc2\xa7362, the application may be filed after the 180 day period expires, provided\nthe application is filed within 30 days of an order terminating the stay.\nSubdivision (a)(3) applies to the situation in which the case under the Code is pending\nwhen the removable claim or cause of action is asserted in a civil action initiated in other than the\nbankruptcy court. The time for filing the application for removal begins to run on receipt of the\nfirst pleading containing the removable claim or cause of action. Only litigation not stayed by the\nCode or by court order may properly be initiated after the case under the Code is commenced. See\ne.g., \xc2\xa7362(a).\nSubdivision (b). With one exception, this subdivision is the same as 28 U.S.C. \xc2\xa71446(d).\nThe exemption from the bond requirement is enlarged to include a trustee or debtor in possession.\nComplete exemption from the bond requirement for removal is appropriate because of the limited\nresources which may be available at the beginning of a case and the small probability that an action\nwill be improperly removed.\nRecovery on the bond is permitted only when the removal was improper. If the removal is\nproper but the bankruptcy court orders the action remanded on equitable grounds, 28 U.S.C.\n\xc2\xa71478(b), there is no recovery on the bond.\nSubdivisions (c) and (d) are patterned on 28 U.S.C. \xc2\xa71446(e).\nSubdivision (e). There is no provision in the Federal Rules of Civil Procedure for seeking\n308\n\n\x0cremand. The first sentence of this subdivision requires that a request for remand be by motion and\nthat the moving party serve all other parties; however, no hearing is required. In recognition of the\nintrusion of the removal practice on the state and federal courts from which claims or causes of\naction are removed, the subdivision directs the bankruptcy court to decide remand motions as soon\nas practicable. The last sentence of this subdivision is derived from 28 U.S.C. \xc2\xa71446(c)\nSubdivisions (f) and (g), with appropriate changes to conform them to the bankruptcy\ncontext, are the same as 28 U.S.C. \xc2\xa71447(a) and (b) and 28 U.S.C. \xc2\xa71448, respectively.\nSubdivisions (h) and (i) are taken from Rule 81(c) F.R.Civ.P.\nSubdivisions (j) and (k) are derived from 28 U.S.C. \xc2\xa71449 and \xc2\xa71450, respectively.\nRemand orders of bankruptcy judges are not appealable. 28 U.S.C. \xc2\xa71478(b).\nThis rule does not deal with the question whether a single plaintiff or defendant may\nremove a claim or cause of action if there are two or more plaintiffs or defendants. See 28 U.S.C.\n\xc2\xa71478.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nSection 1452 of title 28, with certain exceptions, provides for removal of claims or causes\nof action in civil actions pending in state or federal courts when the claim or cause of action is\nwithin the jurisdiction conferred by 28 U.S.C. \xc2\xa71334. An order granting or denying a motion for\nremand is not appealable. 28 U.S.C. \xc2\xa71452(b). Under subdivision (e), as amended, the district\ncourt must enter the order on the remand motion; however, the bankruptcy judge conducts the\ninitial hearing on the motion and files a report and recommendation. The parties may file\nobjections. Review of the report and recommendation is pursuant to Rule 9033.\nSubdivision (f) has been amended to provide that if there has been a referral pursuant to 28\nU.S.C. \xc2\xa7157(a) the bankruptcy judge will preside over the removed civil action.\nSubdivision (i) has been abrogated consistent with the abrogation of Rule 9015.\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThe abrogation of subdivision (b) is consistent with the repeal of 28 U.S.C. \xc2\xa71446(d). The\nchanges substituting the notice of removal for the application for removal conform to the 1988\namendments to 28 U.S.C. \xc2\xa71446.\nRules 7008(a) and 7012(b) were amended in 1987 to require parties to allege in pleadings\nwhether a proceeding is core or non-core and, if non-core, whether the parties consent to the entry\nof final orders or judgment by the bankruptcy judge. Subdivision (a)(1) is amended and\nsubdivision (f)(3) is added to require parties to a removed claim or cause of action to make the\nsame allegations. The party filing the notice of removal must include the allegation in the notice\nand the other parties who have filed pleadings must respond to the allegation in a separate\nstatement filed within 10 days after removal. However, if a party to the removed claim or cause of\naction has not filed a pleading prior to removal, there is no need to file a separate statement under\nsubdivision (f)(3) because the allegation must be included in the responsive pleading filed\npursuant to Rule 7012(b).\nSubdivision (e), redesignated as subdivision (d), is amended to delete the restriction that\nlimits the role of the bankruptcy court to the filing of a report and recommendation for disposition\nof a motion for remand under 28 U.S.C. \xc2\xa71452(b). This amendment is consistent with \xc2\xa7309(c) of\nthe Judicial Improvements Act of 1990, which amended \xc2\xa71452(b) so that it allows an appeal to the\ndistrict court of a bankruptcy court\'s order determining a motion for remand. This subdivision is\n309\n\n\x0calso amended to clarify that the motion is a contested matter governed by Rule 9014. The words\n"filed with the clerk" are deleted as unnecessary. See Rules 5005(a) and 9001(3).\nCommittee Notes on Rules\xe2\x80\x942002 Amendment\nSubdivision (a)(3) is amended to clarify that if a claim or cause of action is initiated after\nthe commencement of a bankruptcy case, the time limits for filing a notice of removal of the claim\nor cause of action apply whether the case is still pending or has been suspended, dismissed, or\nclosed.\nChanges Made After Publication and Comments. No changes were made.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\namended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 9028. Disability of a Judge\nRule 63 F.R.Civ.P. applies in cases under the Code.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is an adaptation of Rule 63 F.R.Civ.P.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nRule 9028 has been changed to adopt the procedures contained in Rule 63 of the Federal\nRules of Civil Procedure for substituting a judge in the event of disability.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9029. Local Bankruptcy Rules; Procedure When There is No Controlling\nLaw\n(a) Local Bankruptcy Rules.\n310\n\n\x0c(1) Each district court acting by a majority of its district judges may make and amend rules\ngoverning practice and procedure in all cases and proceedings within the district court\'s\nbankruptcy jurisdiction which are consistent with\xe2\x80\x94but not duplicative of\xe2\x80\x94Acts of Congress and\nthese rules and which do not prohibit or limit the use of the Official Forms. Rule 83 F.R.Civ.P.\ngoverns the procedure for making local rules. A district court may authorize the bankruptcy judges\nof the district, subject to any limitation or condition it may prescribe and the requirements of 83\nF.R.Civ.P., to make and amend rules of practice and procedure which are consistent with\xe2\x80\x94but not\nduplicative of\xe2\x80\x94Acts of Congress and these rules and which do not prohibit or limit the use of the\nOfficial Forms. Local rules shall conform to any uniform numbering system prescribed by the\nJudicial Conference of the United States.\n(2) A local rule imposing a requirement of form shall not be enforced in a manner that\ncauses a party to lose rights because of a nonwillful failure to comply with the requirement.\n(b) Procedure When There is No Controlling Law. A judge may regulate practice in any\nmanner consistent with federal law, these rules, Official Forms, and local rules of the district. No\nsanction or other disadvantage may be imposed for noncompliance with any requirement not in\nfederal law, federal rules, Official Forms, or the local rules of the district unless the alleged\nviolator has been furnished in the particular case with actual notice of the requirement.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 27,\n1995, eff. Dec. 1, 1995.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule is an adaptation of Rule 83 F.R.Civ.P. and Rule 57(a) F.R.Crim.P. Under this rule\nbankruptcy courts may make local rules which govern practice before those courts. Circuit\ncouncils and district courts are authorized by Rule 8018 to make local rules governing appellate\npractice.\nNotes of Advisory Committee on Rules\xe2\x80\x941987 Amendment\nRule 9029 is amended to authorize the district court to promulgate local rules governing\nbankruptcy practice. This rule, as amended, permits the district court to authorize the bankruptcy\njudges to promulgate or recommend local rules for adoption by the district court.\nEffective August 1, 1985, Rule 83 F.R.Civ.P., governing adoption of local rules, was\namended to achieve greater participation by the bar, scholars, and the public in the rule making\nprocess; to authorize the judicial council to abrogate local rules; and to make certain that\nsingle-judge standing orders are not inconsistent with these rules or local rules. Rule 9029 has been\namended to incorporate Rule 83. The term "court" in the last sentence of the rule includes the\njudges of the district court and the bankruptcy judges of the district. Rule 9001(4).\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to make it clear that the Official Forms must be accepted in every\nbankruptcy court.\nNotes of Advisory Committee on Rules\xe2\x80\x941995 Amendment\n\n311\n\n\x0cSubdivision (a). This rule is amended to reflect the requirement that local rules be\nconsistent not only with applicable national rules but also with Acts of Congress. The amendment\nalso states that local rules should not repeat applicable national rules and Acts of Congress.\nThe amendment also requires that the numbering of local rules conform with any uniform\nnumbering system that may be prescribed by the Judicial Conference. Lack of uniform numbering\nmight create unnecessary traps for counsel and litigants. A uniform numbering system would\nmake it easier for an increasingly national bar and for litigants to locate a local rule that applies to\na particular procedural issue.\nParagraph (2) of subdivision (a) is new. Its aim is to protect against loss of rights in the\nenforcement of local rules relating to matters of form. For example, a party should not be deprived\nof a right to a jury trial because its attorney, unaware of\xe2\x80\x94or forgetting\xe2\x80\x94a local rule directing that\njury demands be noted in the caption of the case, includes a jury demand only in the body of the\npleading. The proscription of paragraph (2) is narrowly drawn\xe2\x80\x94covering only violations that are\nnot willful and only those involving local rules directed to matters of form. It does not limit the\ncourt\'s power to impose substantive penalties upon a party if it or its attorney stubbornly or\nrepeatedly violates a local rule, even one involving merely a matter of form. Nor does it affect the\ncourt\'s power to enforce local rules that involve more than mere matters of form\xe2\x80\x94for example, a\nlocal rule requiring that a party demand a jury trial within a specified time period to avoid waiver\nof the right to a trial by jury.\nSubdivision (b). This rule provides flexibility to the court in regulating practice when there\nis no controlling law. Specifically, it permits the court to regulate practice in any manner consistent\nwith federal law, with rules adopted under 28 U.S.C. \xc2\xa72075, with Official Forms, and with the\ndistrict\'s local rules.\nThis rule recognizes that courts rely on multiple directives to control practice. Some courts\nregulate practice through the published Federal Rules and the local rules of the court. Some courts\nalso have used internal operating procedures, standing orders, and other internal directives.\nAlthough such directives continue to be authorized, they can lead to problems. Counsel or litigants\nmay be unaware of various directives. In addition, the sheer volume of directives may impose an\nunreasonable barrier. For example, it may be difficult to obtain copies of the directives. Finally,\ncounsel or litigants may be unfairly sanctioned for failing to comply with a directive. For these\nreasons, the amendment to this rule disapproves imposing any sanction or other disadvantage on a\nperson for noncompliance with such an internal directive, unless the alleged violator has been\nfurnished in a particular case with actual notice of the requirement.\nThere should be no adverse consequence to a party or attorney for violating special\nrequirements relating to practice before a particular judge unless the party or attorney has actual\nnotice of those requirements. Furnishing litigants with a copy outlining the judge\'s practices\xe2\x80\x94or\nattaching instructions to a notice setting a case for conference or trial\xe2\x80\x94would suffice to give actual\nnotice, as would an order in a case specifically adopting by reference a judge\'s standing order and\nindicating how copies can be obtained.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in subd. (a)(1), are set out in the\nAppendix to Title 28, Judiciary and Judicial Procedure.\n\nRule 9030. Jurisdiction and Venue Unaffected\n\n312\n\n\x0cThese rules shall not be construed to extend or limit the jurisdiction of the courts or the\nvenue of any matters therein.\n(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThe rule is an adaptation of Rule 82 F.R.Civ.P.\n\nRule 9031. Masters Not Authorized\nRule 53 F.R.Civ.P. does not apply in cases under the Code.\nNotes of Advisory Committee on Rules\xe2\x80\x941983\nThis rule precludes the appointment of masters in cases and proceedings under the Code.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\n\nRule 9032. Effect of Amendment of Federal Rules of Civil Procedure\nThe Federal Rules of Civil Procedure which are incorporated by reference and made\napplicable by these rules shall be the Federal Rules of Civil Procedure in effect on the effective\ndate of these rules and as thereafter amended, unless otherwise provided by such amendment or by\nthese rules.\n(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941991 Amendment\nThis rule is amended to provide flexibility so that the Bankruptcy Rules may provide that\nsubsequent amendments to a Federal Rule of Civil Procedure made applicable by these rules are\nnot effective with regard to Bankruptcy Code cases or proceedings. For example, in view of the\nanticipated amendments to, and restructuring of, Rule 4 F.R.Civ.P., Rule 7004(g) will prevent\nsuch changes from affecting Bankruptcy Code cases until the Advisory Committee on Bankruptcy\nRules has an opportunity to consider such amendments and to make appropriate recommendations\nfor incorporating such amendments into the Bankruptcy Rules.\nReferences in Text\nThe Federal Rules of Civil Procedure, referred to in text, are set out in the Appendix to\nTitle 28, Judiciary and Judicial Procedure.\nThe effective date of these rules, referred to in text, is Aug. 1, 1983. See Effective Date\nnote set out prec. Rule 1001 of this Appendix.\n313\n\n\x0cRule 9033. Review of Proposed Findings of Fact and Conclusions of Law in\nNon-Core Proceedings\n(a) Service. In non-core proceedings heard pursuant to 28 U.S.C. \xc2\xa7157(c)(1), the\nbankruptcy judge shall file proposed findings of fact and conclusions of law. The clerk shall serve\nforthwith copies on all parties by mail and note the date of mailing on the docket.\n(b) Objections: Time for Filing. Within 14 days after being served with a copy of the\nproposed findings of fact and conclusions of law a party may serve and file with the clerk written\nobjections which identify the specific proposed findings or conclusions objected to and state the\ngrounds for such objection. A party may respond to another party\'s objections within 14 days after\nbeing served with a copy thereof. A party objecting to the bankruptcy judge\'s proposed findings or\nconclusions shall arrange promptly for the transcription of the record, or such portions of it as all\nparties may agree upon or the bankruptcy judge deems sufficient, unless the district judge\notherwise directs.\n(c) Extension of Time. The bankruptcy judge may for cause extend the time for filing\nobjections by any party for a period not to exceed 21 days from the expiration of the time otherwise\nprescribed by this rule. A request to extend the time for filing objections must be made before the\ntime for filing objections has expired, except that a request made no more than 21 days after the\nexpiration of the time for filing objections may be granted upon a showing of excusable neglect.\n(d) Standard of Review. The district judge shall make a de novo review upon the record or,\nafter additional evidence, of any portion of the bankruptcy judge\'s findings of fact or conclusions\nof law to which specific written objection has been made in accordance with this rule. The district\njudge may accept, reject, or modify the proposed findings of fact or conclusions of law, receive\nfurther evidence, or recommit the matter to the bankruptcy judge with instructions.\n(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Mar. 26, 2009, eff. Dec. 1, 2009.)\nNotes of Advisory Committee on Rules\xe2\x80\x941987\nSection 157(c)(1) of title 28 requires a bankruptcy judge to submit proposed findings of\nfact and conclusions of law to the district court when the bankruptcy judge has heard a non-core\nproceeding. This rule, which is modeled on Rule 72 F.R.Civ.P., provides the procedure for\nobjecting to, and for review by, the district court of specific findings and conclusions.\nSubdivision (a) requires the clerk to serve a copy of the proposed findings and conclusions\non the parties. The bankruptcy clerk, or the district court clerk if there is no bankruptcy clerk in the\ndistrict, shall serve a copy of the proposed findings and conclusions on all parties.\nSubdivision (b) is derived from Rule 72(b) F.R.Civ.P. which governs objections to a\nrecommended disposition by a magistrate.\nSubdivision (c) is similar to Rule 8002(c) of the Bankruptcy Rules and provides for\ngranting of extensions of time to file objections to proposed findings and conclusions.\nSubdivision (d) adopts the de novo review provisions of Rule 72(b) F.R.Civ.P.\nCommittee Notes on Rules\xe2\x80\x942009 Amendment\nThe rule is amended to implement changes in connection with the amendment to Rule\n9006(a) and the manner by which time is computed under the rules. The deadlines in the rule are\n314\n\n\x0camended to substitute a deadline that is a multiple of seven days. Throughout the rules, deadlines\nare amended in the following manner:\n\xe2\x80\xa2 5-day periods become 7-day periods\n\xe2\x80\xa2 10-day periods become 14-day periods\n\xe2\x80\xa2 15-day periods become 14-day periods\n\xe2\x80\xa2 20-day periods become 21-day periods\n\xe2\x80\xa2 25-day periods become 28-day periods\n\nRule 9034. Transmittal of Pleadings, Motion Papers, Objections, and Other\nPapers to the United States Trustee\nUnless the United States trustee requests otherwise or the case is a chapter 9 municipality\ncase, any entity that files a pleading, motion, objection, or similar paper relating to any of the\nfollowing matters shall transmit a copy thereof to the United States trustee within the time required\nby these rules for service of the paper:\n(a) a proposed use, sale, or lease of property of the estate other than in the ordinary course\nof business;\n(b) the approval of a compromise or settlement of a controversy;\n(c) the dismissal or conversion of a case to another chapter;\n(d) the employment of professional persons;\n(e) an application for compensation or reimbursement of expenses;\n(f) a motion for, or approval of an agreement relating to, the use of cash collateral or\nauthority to obtain credit;\n(g) the appointment of a trustee or examiner in a chapter 11 reorganization case;\n(h) the approval of a disclosure statement;\n(i) the confirmation of a plan;\n(j) an objection to, or waiver or revocation of, the debtor\'s discharge;\n(k) any other matter in which the United States trustee requests copies of filed papers or the\ncourt orders copies transmitted to the United States trustee.\n(Added Apr. 30, 1991, eff. Aug. 1, 1991.)\nNotes of Advisory Committee on Rules\xe2\x80\x941991\nSection 307 of the Code gives the United States trustee the right to appear and be heard on\nissues in cases and proceedings under the Code. This rule is intended to keep the United States\ntrustee informed of certain developments and disputes in which the United States trustee may wish\nto be heard. This rule, which derives from Rule X\xe2\x80\x931008, also enables the United States trustee to\nmonitor the progress of the case in accordance with 28 U.S.C. \xc2\xa7586(a). The requirement to\ntransmit copies of certain pleadings, motion papers and other documents is intended to be flexible\nin that the United States trustee in a particular judicial district may request copies of papers in\ncertain categories, and may request not to receive copies of documents in other categories, when\nthe practice in that district makes that desirable. When the rules require that a paper be served on\nparticular parties, the time period in which service is required is also applicable to transmittal to the\nUnited States trustee.\nAlthough other rules require that certain notices be transmitted to the United States trustee,\nthis rule goes further in that it requires the transmittal to the United States trustee of other papers\n315\n\n\x0cfiled in connection with these matters. This rule is not an exhaustive list of the matters of which the\nUnited States trustee may be entitled to receive notice.\n\nRule 9035. Applicability of Rules in Judicial Districts in Alabama and North\nCarolina\nIn any case under the Code that is filed in or transferred to a district in the State of Alabama\nor the State of North Carolina and in which a United States trustee is not authorized to act, these\nrules apply to the extent that they are not inconsistent with any federal statute effective in the case.\n(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff. Dec. 1, 1997.)\nNotes of Advisory Committee on Rules\xe2\x80\x941991\nSection 302(d)(3) of the Bankruptcy Judges, United States Trustees, and Family Farmer\nBankruptcy Act of 1986 provides that amendments to the Code relating to United States trustees\nand quarterly fees required under 28 U.S.C. \xc2\xa71930(a)(6) do not become effective in any judicial\ndistrict in the States of Alabama and North Carolina until the district elects to be included in the\nUnited States trustee system, or October 1, 1992, whichever occurs first, unless Congress extends\nthe deadline. If the United States trustee system becomes effective in these districts, the transition\nprovisions in the 1986 Act will govern the application of the United States trustee amendments to\ncases that are pending at that time. See \xc2\xa7302(d)(3)(F). The statute, and not the bankruptcy court,\ndetermines whether a United States trustee is authorized to act in a particular case.\nSection 302(d)(3)(I) of the 1986 Act authorizes the Judicial Conference of the United\nStates to promulgate regulations governing the appointment of bankruptcy administrators to\nsupervise the administration of estates and trustees in cases in the districts in Alabama and North\nCarolina until the provisions of the Act relating to the United States trustee take effect in these\ndistricts. Pursuant to this authority, in September 1987, the Judicial Conference promulgated\nregulations governing the selection and appointment of bankruptcy administrators and regulations\ngoverning the establishment, duties, and functions of bankruptcy administrators. Guidelines\nrelating to the bankruptcy administrator program have been prescribed by the Director of the\nAdministrative Office of the United States Courts.\nMany of these rules were amended to implement the United States trustee system in\naccordance with the 1986 Act. Since the provisions of the 1986 Act relating to the United States\ntrustee system are not effective in cases in Alabama and North Carolina in which a bankruptcy\nadministrator is serving, rules referring to United States trustees are at least partially inconsistent\nwith the provisions of the Bankruptcy Code and title 28 of the United States Code effective in such\ncases.\nIn determining the applicability of these rules in cases in Alabama and North Carolina in\nwhich a United States trustee is not authorized to act, the following guidelines should be followed:\n(1) The following rules do not apply because they are inconsistent with the provisions of\nthe Code or title 28 in these cases: 1002(b), 1007(1), 1009(c), 2002(k), 2007.1(b), 2015(a)(6),\n2020, 3015(b), 5005(b), 7004(b)(10), 9003(b), and 9034.\n(2) The following rules are partially inconsistent with the provisions of the Code effective\nin these cases and, therefore, are applicable with the following modifications:\n(a) Rule 2001(a) and (c)\xe2\x80\x94The court, rather than the United States trustee, appoints the\ninterim trustee.\n316\n\n\x0c(b) Rule 2003\xe2\x80\x94The duties of the United States trustee relating to the meeting of creditors\nor equity security holders are performed by the officer determined in accordance with regulations\nof the Judicial Conference, guidelines of the Director of the Administrative Office, local rules or\ncourt orders.\n(c) Rule 2007\xe2\x80\x94The court, rather than the United States trustee, appoints committees in\nchapter 9 and chapter 11 cases.\n(d) Rule 2008\xe2\x80\x94The bankruptcy administrator, rather than the United States trustee,\ninforms the trustee of how to qualify.\n(e) Rule 2009(c) and (d)\xe2\x80\x94The court, rather than the United States trustee, appoints interim\ntrustees in chapter 7 cases and trustees in chapter 11, 12 and 13 cases.\n(f) Rule 2010\xe2\x80\x94The court, rather than the United States trustee, determines the amount and\nsufficiency of the trustee\'s bond.\n(g) Rule 5010\xe2\x80\x94The court, rather than the United States trustee, appoints the trustee when a\ncase is reopened.\n(3) All other rules are applicable because they are consistent with the provisions of the\nCode and title 28 effective in these cases, except that any reference to the United States trustee is\nnot applicable and should be disregarded.\nMany of the amendments to the rules are designed to give the United States trustee, a\nmember of the Executive Branch, notice of certain developments and copies of petitions,\nschedules, pleadings, and other papers. In contrast, the bankruptcy administrator is an officer in the\nJudicial Branch and matters relating to notice of developments and access to documents filed in the\nclerk\'s office are governed by regulations of the Judicial Conference of the United States,\nguidelines of the Administrative Office of the United States Courts, local rules, and court orders.\nAlso, requirements for disclosure of connections with the bankruptcy administrator in applications\nfor employment of professional persons, restrictions on appointments of relatives of bankruptcy\nadministrators, effects of erroneously filing papers with the bankruptcy administrator, and other\nmatters not covered by these rules may be governed by regulations of the Judicial Conference,\nguidelines of the Director of the Administrative Office, local rules, and court orders.\nThis rule will cease to have effect if a United States trustee is authorized in every case in\nthe districts in Alabama and North Carolina.\nNotes of Advisory Committee on Rules\xe2\x80\x941997 Amendment\nCertain statutes that are not codified in title 11 or title 28 of the United States Code, such as\n\xc2\xa7105 of the Bankruptcy Reform Act of 1994, Pub. L. 103\xe2\x80\x93394, 108 Stat. 4106, relate to bankruptcy\nadministrators in the judicial districts of North Carolina and Alabama. This amendment makes it\nclear that the Bankruptcy Rules do not apply to the extent that they are inconsistent with these\nfederal statutes.\nGAP Report on Rule 9035. No changes to the published draft.\n\nRule 9036. Notice by Electronic Transmission\nWhenever the clerk or some other person as directed by the court is required to send notice\nby mail and the entity entitled to receive the notice requests in writing that, instead of notice by\nmail, all or part of the information required to be contained in the notice be sent by a specified type\nof electronic transmission, the court may direct the clerk or other person to send the information by\n317\n\n\x0csuch electronic transmission. Notice by electronic means is complete on transmission.\n(Added Apr. 22, 1993, eff. Aug. 1, 1993; amended Apr. 25, 2005, eff. Dec. 1, 2005.)\nNotes of Advisory Committee on Rules\xe2\x80\x941993\nThis rule is added to provide flexibility for banks, credit card companies, taxing\nauthorities, and other entities that ordinarily receive notices by mail in a large volume of\nbankruptcy cases, to arrange to receive by electronic transmission all or part of the information\nrequired to be contained in such notices.\nThe use of electronic technology instead of mail to send information to creditors and\ninterested parties will be more convenient and less costly for the sender and the receiver. For\nexample, a bank that receives by mail, at different locations, notices of meetings of creditors\npursuant to Rule 2002(a) in thousands of cases each year may prefer to receive only the vital\ninformation ordinarily contained in such notices by electronic transmission to one computer\nterminal.\nThe specific means of transmission must be compatible with technology available to the\nsender and the receiver. Therefore, electronic transmission of notices is permitted only upon\nrequest of the entity entitled to receive the notice, specifying the type of electronic transmission,\nand only if approved by the court.\nElectronic transmission pursuant to this rule completes the notice requirements. The\ncreditor or interested party is not thereafter entitled to receive the relevant notice by mail.\nCommittee Notes on Rules\xe2\x80\x942005 Amendment\nThe rule is amended to delete the requirement that the sender of an electronic notice must\nobtain electronic confirmation that the notice was received. The amendment provides that notice is\ncomplete upon transmission. When the rule was first promulgated, confirmation of receipt of\nelectronic notices was commonplace. In the current electronic environment, very few internet\nservice providers offer the confirmation of receipt service. Consequently, compliance with the rule\nmay be impossible, and the rule could discourage the use of electronic noticing.\nConfidence in the delivery of email text messages now rivals or exceeds confidence in the\ndelivery of printed materials. Therefore, there is no need for confirmation of receipt of electronic\nmessages just as there is no such requirement for paper notices.\nChanges Made After Publication and Comment. No changes since publication.\n\nRule 9037. Privacy Protection For Filings Made with the Court\n(a) Redacted Filings. Unless the court orders otherwise, in an electronic or paper filing\nmade with the court that contains an individual\'s social-security number, taxpayer-identification\nnumber, or birth date, the name of an individual, other than the debtor, known to be and identified\nas a minor, or a financial-account number, a party or nonparty making the filing may include only:\n(1) the last four digits of the social-security number and taxpayer-identification number;\n(2) the year of the individual\'s birth;\n(3) the minor\'s initials; and\n(4) the last four digits of the financial-account number.\n\n318\n\n\x0c(b) Exemptions From the Redaction Requirement. The redaction requirement does not\napply to the following:\n(1) a financial-account number that identifies the property allegedly subject to forfeiture in\na forfeiture proceeding;\n(2) the record of an administrative or agency proceeding unless filed with a proof of claim;\n(3) the official record of a state-court proceeding;\n(4) the record of a court or tribunal, if that record was not subject to the redaction\nrequirement when originally filed;\n(5) a filing covered by subdivision (c) of this rule; and\n(6) a filing that is subject to \xc2\xa7110 of the Code.\n(c) Filings Made Under Seal. The court may order that a filing be made under seal without\nredaction. The court may later unseal the filing or order the entity that made the filing to file a\nredacted version for the public record.\n(d) Protective Orders. For cause, the court may by order in a case under the Code:\n(1) require redaction of additional information; or\n(2) limit or prohibit a nonparty\'s remote electronic access to a document filed with the\ncourt.\n(e) Option for Additional Unredacted Filing Under Seal. An entity making a redacted filing\nmay also file an unredacted copy under seal. The court must retain the unredacted copy as part of\nthe record.\n(f) Option for Filing a Reference List. A filing that contains redacted information may be\nfiled together with a reference list that identifies each item of redacted information and specifies an\nappropriate identifier that uniquely corresponds to each item listed. The list must be filed under\nseal and may be amended as of right. Any reference in the case to a listed identifier will be\nconstrued to refer to the corresponding item of information.\n(g) Waiver of Protection of Identifiers. An entity waives the protection of subdivision (a) as\nto the entity\'s own information by filing it without redaction and not under seal.\n(Added Apr. 30, 2007, eff. Dec. 1, 2007.)\nCommittee Notes on Rules\xe2\x80\x942007\nThe rule is adopted in compliance with section 205(c)(3) of the E-Government Act of\n2002, Public Law No. 107\xe2\x80\x93347. Section 205(c)(3) requires the Supreme Court to prescribe rules\n"to protect privacy and security concerns relating to electronic filing of documents and the public\navailability . . . of documents filed electronically." The rule goes further than the E-Government\nAct in regulating paper filings even when they are not converted to electronic form, but the number\nof filings that remain in paper form is certain to diminish over time. Most districts scan paper\nfilings into the electronic case file, where they become available to the public in the same way as\ndocuments initially filed in electronic form. It is electronic availability, not the form of the initial\nfiling, that raises the privacy and security concerns addressed in the E-Government Act.\nThe rule is derived from and implements the policy adopted by the Judicial Conference in\nSeptember 2001 to address the privacy concerns resulting from public access to electronic case\nfiles. See http://www.privacy.uscourts.gov/Policy.htm. The Judicial Conference policy is that\ndocuments in case files generally should be made available electronically to the same extent they\nare available at the courthouse, provided that certain "personal data identifiers" are not included in\n319\n\n\x0cthe public file.\nWhile providing for the public filing of some information, such as the last four digits of an\naccount number, the rule does not intend to establish a presumption that this information never\ncould or should be protected. For example, it may well be necessary in individual cases to prevent\nremote access by nonparties to any part of an account number or social-security number. It may\nalso be necessary to protect information not covered by the redaction requirement\xe2\x80\x94such as\ndriver\'s license numbers and alien registration numbers\xe2\x80\x94in a particular case. In such cases,\nprotection may be sought under subdivision (c) or (d). Moreover, the rule does not affect the\nprotection available under other rules, such as Rules 16 and 26(c) of the Federal Rules of Civil\nProcedure, or under other sources of protective authority.\nAny personal information not otherwise protected by sealing or redaction will be made\navailable over the internet. Counsel should therefore notify clients of this fact so that an informed\ndecision may be made on what information is to be included in a document filed with the court.\nAn individual debtor\'s full social-security number or taxpayer-identification number is\nincluded on the notice of the \xc2\xa7341 meeting of creditors sent to creditors. Of course, that is not filed\nwith the court, see Rule 1007(f) (the debtor "submits" this information), and the copy of the notice\nthat is filed with the court does not include the full social-security number or\ntaxpayer-identification number. Thus, since the full social-security number or\ntaxpayer-identification number is not filed with the court, it is not available to a person searching\nthat record.\nThe clerk is not required to review documents filed with the court for compliance with this\nrule. As subdivision (a) recognizes, the responsibility to redact filings rests with counsel, parties,\nand others who make filings with the court.\nSubdivision (d) recognizes the court\'s inherent authority to issue a protective order to\nprevent remote access to private or sensitive information and to require redaction of material in\naddition to that which would be redacted under subdivision (a) of the rule. These orders may be\nissued whenever necessary either by the court on its own motion, or on motion of a party in\ninterest.\nSubdivision (e) allows an entity that makes a redacted filing to file an unredacted document\nunder seal. This provision is derived from section 205(c)(3)(iv) of the E-Government Act.\nSubdivision (f) allows the option to file a reference list of redacted information. This provision is\nderived from section 205(c)(3)(v) of the E-Government Act, as amended in 2004.\nIn accordance with the E-Government Act, subdivision (f) of the rule refers to "redacted"\ninformation. The term "redacted" is intended to govern a filing that is prepared with abbreviated\nidentifiers in the first instance, as well as a filing in which a personal identifier is edited after its\npreparation.\nSubdivision (g) allows an entity to waive the protections of the rule as to that entity\'s own\ninformation by filing it in unredacted form. An entity may elect to waive the protection if, for\nexample, it is determined that the costs of redaction outweigh the benefits to privacy. As to\nfinancial account numbers, the instructions to Schedules E and F of Official Form 6 note that the\ndebtor may elect to include the complete account number on those schedules rather than limit the\nnumber to the final four digits. Including the complete number would operate as a waiver by the\ndebtor under subdivision (g) as to the full information that the debtor set out on those schedules.\nThe waiver operates only to the extent of the information that the entity filed without redaction. If\nan entity files an unredacted identifier by mistake, it may seek relief from the court.\nTrial exhibits are subject to the redaction requirements of Rule 9037 to the extent they are\n320\n\n\x0cfiled with the court. Trial exhibits that are not initially filed with the court must be redacted in\naccordance with this rule if and when they are filed as part of an appeal or for other reasons.\nChanges After Publication. Rule 9037 is intended to parallel as closely as possible Civil\nRule 5.2 and Criminal Rule 49.1. The Advisory Committees have worked together to maintain as\nmuch consistency as possible in the three versions of the rule. The rule has been revised to\nimplement the several style revisions suggested by the Style Subcommittee of the Standing\nCommittee. Subdivision (b) was reorganized and renumbered. Subdivisions (b)(1) and (b)(3) were\nadded in response to suggestions by the Department of Justice. Subdivision (b)(4), formerly\nsubdivision (b)(2), was amended in response to the suggestion of the Committee on Court\nAdministration and Case Management so that the subdivision now refers to court records that\nbecome a part of the record in the pending matter. The term "entity" has been substituted for\n"person" in subdivision (c) and for "party" in subdivisions (e) and (f) to conform the rule to the\ndefinitions provided in the Bankruptcy Code.\n\n[PART X\xe2\x80\x94UNITED STATES TRUSTEES] (Abrogated Apr. 30, 1991, eff.\nAug. 1, 1991)\nOFFICIAL FORMS\n[The Official Forms prescribed pursuant to Rule 9009 may be found on the United States\nCourts website.]\n\n321\n\n\x0c'