[House Prints 111-5]
[From the U.S. Government Publishing Office]
FEDERAL RULES
OF
BANKRUPTCY PROCEDURE
____
DECEMBER 1, 2009
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
Printed for the use
of
THE COMMITTEE ON THE JUDICIARY
HOUSE OF REPRESENTATIVES
111th Congress
COMMITTEE PRINT No. 5
1ST Session
__________________________________________________________________
FEDERAL RULES
OF
BANKRUPTCY PROCEDURE
____
DECEMBER 1, 2009
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
Printed for the use
of
THE COMMITTEE ON THE JUDICIARY
HOUSE OF REPRESENTATIVES
u.s. government printing office
washington : 2009
_____________________________________________________________________
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Office Internet: bookstore.gpo.gov Phone: (202) 512-1800
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COMMITTEE ON THE JUDICIARY
One Hundred Eleventh Congress
JOHN CONYERS, Jr., Michigan, Chairman
HOWARD L. BERMAN, California LAMAR SMITH, Texas
RICK BOUCHER, Virginia F. JAMES SENSENBRENNER, Jr.,
JERROLD NADLER, New York Wisconsin
ROBERT C. ``BOBBY'' SCOTT, Virginia HOWARD COBLE, North Carolina
MELVIN L. WATT, North Carolina ELTON GALLEGLY, California
ZOE LOFGREN, California BOB GOODLATTE, Virginia
SHEILA JACKSON LEE, Texas DANIEL E. LUNGREN,
MAXINE WATERS, California California
WILLIAM D. DELAHUNT, Massachusetts DARRELL E. ISSA, California
ROBERT WEXLER, Florida J. RANDY FORBES, Virginia
STEVE COHEN, Tennessee STEVE KING, Iowa
HENRY C. ``HANK'' JOHNSON, Jr., Georgia TRENT FRANKS, Arizona
PEDRO PIERLUISI, Puerto Rico LOUIE GOHMERT, Texas
MIKE QUIGLEY, Illinois JIM JORDAN, Ohio
JUDY CHU, California TED POE, Texas
LUIS V. GUTIERREZ, Illinois JASON CHAFFETZ, Utah
TAMMY BALDWIN, Wisconsin TOM ROONEY, Florida
CHARLES A. GONZALEZ, Texas GREGG HARPER, Mississippi
ANTHONY D. WEINER, New York
ADAM B. SCHIFF, California
LINDA T. SANCHEZ, California
DEBBIE WASSERMAN SCHULTZ, Florida
DANIEL MAFFEI, New York
Perry Apelbaum, Majority Staff Director and Chief Counsel
Sean McLaughlin, Minority Chief of Staff and General Counsel
(ii)
FOREWORD
This document contains the Federal Rules of Bankruptcy Procedure, as
amended to December 1, 2009. The rules have been promulgated and amended
by the United States Supreme Court pursuant to law, and further amended
by Acts of Congress. This document has been prepared by the Committee in
response to the need for an up-to-date document containing the latest
amendments to the rules.
For the convenience of the user, where a rule has been amended a
reference to the date the amendment was promulgated and the date the
amendment became effective follows the text of the rule.
The Committee on Rules of Practice and Procedure and the Advisory
Committee on the Federal Rules of Bankruptcy Procedure, Judicial
Conference of the United States, prepared notes explaining the purpose
and intent of the amendments to the rules. The Committee Notes may be
found in the Appendix to Title 11, United States Code, following the
particular rule to which they relate.
Chairman, Committee on the Judiciary.
December 1, 2009.
(iii)
AUTHORITY FOR PROMULGATION OF RULES
TITLE 28, UNITED STATES CODE
Sec. 2073. Rules of procedure and evidence; method of prescribing
(a)(1) The Judicial Conference shall prescribe and publish the
procedures for the consideration of proposed rules under this section.
(2) The Judicial Conference may authorize the appointment of
committees to assist the Conference by recommending rules to be
prescribed under sections 2072 and 2075 of this title. Each such
committee shall consist of members of the bench and the professional
bar, and trial and appellate judges.
(b) The Judicial Conference shall authorize the appointment of a
standing committee on rules of practice, procedure, and evidence under
subsection (a) of this section. Such standing committee shall review
each recommendation of any other committees so appointed and recommend
to the Judicial Conference rules of practice, procedure, and evidence
and such changes in rules proposed by a committee appointed under
subsection (a)(2) of this section as may be necessary to maintain
consistency and otherwise promote the interest of justice.
(c)(1) Each meeting for the transaction of business under this
chapter by any committee appointed under this section shall be open to
the public, except when the committee so meeting, in open session and
with a majority present, determines that it is in the public interest
that all or part of the remainder of the meeting on that day shall be
closed to the public, and states the reason for so closing the meeting.
Minutes of each meeting for the transaction of business under this
chapter shall be maintained by the committee and made available to the
public, except that any portion of such minutes, relating to a closed
meeting and made available to the public, may contain such deletions as
may be necessary to avoid frustrating the purposes of closing the
meeting.
(2) Any meeting for the transaction of business under this chapter,
by a committee appointed under this section, shall be preceded by
sufficient notice to enable all interested persons to attend.
(d) In making a recommendation under this section or under section
2072 or 2075, the body making that recommendation shall provide a
proposed rule, an explanatory note on the rule, and a written report
explaining the body's action, including any minority or other separate
views.
(e) Failure to comply with this section does not invalidate a rule
prescribed under section 2072 or 2075 of this title.
(Added Pub. L. 100-702, title IV, Sec. 401(a), Nov. 19, 1988, 102 Stat.
4649, eff. Dec. 1, 1988; amended Pub. L. 103-394, title I, Sec. 104(e),
Oct. 22, 1994, 108 Stat. 4110.)
Sec. 2075. Bankruptcy rules
The Supreme Court shall have the power to prescribe by general
rules, the forms of process, writs, pleadings, and motions, and the
practice and procedure in cases under title 11.
Such rules shall not abridge, enlarge, or modify any substantive
right.
The Supreme Court shall transmit to Congress not later than May 1 of
the year in which a rule prescribed under this section is to become
effective a copy of the proposed rule. The rule shall take effect no
earlier than December 1 of the year in which it is transmitted to
Congress unless otherwise provided by law.
The bankruptcy rules promulgated under this section shall prescribe
a form for the statement required under section 707(b)(2)(C) of title 11
and may provide general rules on the content of such statement.
(Added Pub. L. 88-623, Sec. 1, Oct. 3, 1964, 78 Stat. 1001; amended Pub.
L. 95-598, title II, Sec. 247, Nov. 6, 1978, 92 Stat. 2672; Pub. L. 103-
394, title I, Sec. 104(f), Oct. 22, 1994, 108 Stat. 4110; Pub. L. 109-8,
title XII, Sec. 1232, Apr. 20, 2005, 119 Stat. 202.)
HISTORICAL NOTE
HISTORICAL NOTE
The Supreme Court prescribes rules of bankruptcy procedure for the
district courts pursuant to section 2075 of Title 28, United States
Code. Pursuant to that section, the Supreme Court transmits to Congress
(not later than May 1 of the year in which the rule is to become
effective) a copy of the proposed rule. The rule takes effect no earlier
than December 1 of the year in which the rule is transmitted unless
otherwise provided by law.
The Supreme Court, under the Bankruptcy Act [July 1, 1898, ch. 541,
30 Stat. 544], promulgated thirty-eight General Orders by an order dated
November 28, 1898, which provided in part: ``[T]hat the following rules
be adopted and established as general orders in bankruptcy, to take
effect on the first Monday, being the second day, of January 1899. And
it is further ordered that all proceedings in bankruptcy had before that
day, in accordance with the act aforesaid, and being in substantial
conformity either with the provisions of these general orders, or else
with the general orders established by this court under the bankrupt act
of 1867 [Mar. 2, 1867, ch. 176, 14 Stat. 517] and with any general rules
or special orders of the courts in bankruptcy, stand good, subject,
however, to such further regulation by rule or order of those courts as
may be necessary or proper to carry into force and effect the bankrupt
act of 1898 and the general orders of this court.''
The Supreme Court issued orders which promulgated, added, amended,
or abrogated the General Orders and Forms in Bankruptcy in 1898, 1905,
1915, 1917, 1925, 1930, 1931, 1932, 1933, 1935, 1936, 1937, 1938, 1939,
1940, 1947, 1958, and 1961.
The extant General Orders in Bankruptcy 1 to 7, 9 to 12, 14 to 26,
28 to 40, 42 to 45, 47, 50, 51, 53, and 56 and extant Official Forms in
Bankruptcy 1 to 13, 15 to 20, 22 to 47, and 70 to 72 were abrogated by
Order of the Supreme Court dated April 24, 1973, effective October 1,
1973. The Order adopted the Bankruptcy Rules and Forms for proceedings
under Chapters 1 to 7 and 13 of the Bankruptcy Act. The Rules and Forms
for proceedings under Chapter 11 of the Bankruptcy Act were adopted
March 18, 1974, effective July 1, 1974. The Rules and Forms for
proceedings under Chapters 10 and 12 of the Bankruptcy Act were adopted
April 28, 1975, effective August 1, 1975.
By order dated April 24, 1973, effective October 1, 1973, the
Supreme Court prescribed, pursuant to section 2075 of Title 28, United
States Code, the rules and forms as approved by the Judicial Conference
of the United States, to be known as the Bankruptcy Rules and Official
Bankruptcy Forms. General Orders in Bankruptcy 1 to 7, 9 to 12, 14 to
26, 28 to 40, 42 to 45, 47, 50, 51, 53, and 56 and Official Forms in
Bankruptcy 1 to 13, 15 to 20, 22 to 47, and 70 to 72, were abrogated by
the same order.
The Bankruptcy Reform Act of 1978, Pub. L. 95-598, Nov. 6, 1978, 92
Stat. 2549, codified and enacted the law relating to bankruptcy as Title
11 of the United States Code, entitled ``Bankruptcy''. Section 405(d) of
Pub. L. 95-598 provided that: ``The rules prescribed under section 2075
of title 28 of the United States Code and in effect on September 30,
1979, shall apply to cases under title 11, to the extent not
inconsistent with the amendments made by this Act, or with this Act,
until such rules are repealed or superseded by rules prescribed and
effective under such section, as amended by section 248 [247] of this
Act.''
By order dated April 25, 1983, transmitted to Congress by the Chief
Justice on the same day (461 U.S. 973, Cong. Rec. vol. 129, pt. 8, p.
9689, Ex. Comm. 1005; H. Doc. 98-52), and effective August 1, 1983, the
Supreme Court adopted new Bankruptcy Rules and superseded the former
rules.
Section 2(a) of Public Law 98-91 (approved August 30, 1983, 97 Stat.
607) amended Rule 2002, effective August 1, 1983.
Section 321 of Public Law 98-353 (approved July 10, 1984, 98 Stat.
357) amended Rule 2002, effective 90 days after July 10, 1984.
Additional amendments were adopted by the Court by order dated April
29, 1985, were transmitted to Congress by the Chief Justice on the same
day (471 U.S. 1147, Cong. Rec., vol. 131, pt. 7, p. 9826, Ex. Comm.
1155; H. Doc. 99-62), and became effective August 1, 1985. The
amendments affected Rules 5002 and 5004.
Additional amendments were adopted by the Court by order dated March
30, 1987, were transmitted to Congress by the Chief Justice on the same
day (480 U.S. 1077, Cong. Rec., vol. 133, pt. 6, p. 7237, Ex. Comm.
1027; H. Doc. 100-54), and became effective August 1, 1987. The
amendments affected Rules 1001, 1002, 1003, 1005, 1006, 1007, 1009,
1010, 1011, 1012, 1014, 1015, 1017, 1018, 1019, 2001, 2002, 2003, 2004,
2005, 2006, 2007, 2008, 2009, 2010, 2012, 2013, 2014, 2015, 2016, 2017,
2018, 2019, 3002, 3003, 3004, 3005, 3009, 3010, 3011, 3012, 3016, 3017,
3018, 3019, 3020, 3022, 4001, 4002, 4003, 4004, 4005, 4006, 4007, 5001,
5003, 5004, 5005, 5007, 5008, 5010, 5011, 6002, 6004, 6006, 6007, 7001,
7004, 7008, 7012, 7013, 7019, 7070, 7087, 8001, 8002, 8003, 8004, 8005,
8006, 8007, 8008, 8009, 8013, 8014, 8015, 8016, 8018, 8019, 9001, 9002,
9003, 9006, 9007, 9010, 9011, 9012, 9013, 9014, 9015, 9016, 9018, 9019,
9020, 9021, 9022, 9027, 9028, 9029, 9030, 9033, X-1002, X-1004, X-1006,
X-1008, X-1009, and X-1010.
An additional amendment was adopted by the Court by order dated
April 25, 1989, was transmitted to Congress by the Chief Justice on the
same day (490 U.S. 1119, Cong. Rec., vol. 135, pt. 6, p. 7542, Ex. Comm.
1057; H. Doc. 101-54), and became effective August 1, 1989. The
amendment affected Rule 9006.
Additional amendments were adopted by the Court by order dated April
30, 1991, were transmitted to Congress by the Chief Justice on the same
day (500 U.S. 1017, Cong. Rec., vol. 137, pt. 7, p. 9722, Ex. Comm.
1193; H. Doc. 102-80), and became effective August 1, 1991. The
amendments affected Rules 1001, 1002, 1007, 1008, 1009, 1010, 1013,
1014, 1016, 1017, 1019, 2001, 2002, 2003, 2004, 2006, 2007, 2008, 2009,
2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019, 3001, 3002,
3003, 3005, 3006, 3007, 3010, 3011, 3013, 3015, 3016, 3017, 3018, 3020,
3022, 4001, 4003, 4004, 4007, 4008, 5001, 5002, 5005, 5006, 5007, 5008,
5009, 5010, 5011, 6002, 6003, 6004, 6005, 6006, 6007, 6010, 7001, 7004,
7010, 7017, 7041, 7062, 8001, 8002, 8004, 8006, 8007, 8016, 9001, 9003,
9006, 9009, 9010, 9011, 9012, 9019, 9020, 9022, 9024, 9027, 9029, and
9032, and added new Rules 2007.1, 2020, 9034, and 9035. The order also
abrogated in its entirety Part X of the Bankruptcy Rules, entitled
``United States Trustees''.
Additional amendments were adopted by the Court by order dated April
22, 1993, were transmitted to Congress by the Chief Justice on the same
day (507 U.S. 1075, Cong. Rec., vol. 139, pt. 6, p. 8127, Ex. Comm.
1101; H. Doc. 103-73), and became effective August 1, 1993. The
amendments affected Rules 1010, 1013, 1017, 2002, 2003, 2005, 3009,
3015, 3018, 3019, 3020, 5005, 6002, 6006, 6007, 9002, and 9019, and
added new Rule 9036.
Additional amendments were adopted by the Court by order dated April
29, 1994, were transmitted to Congress by the Chief Justice on the same
day (511 U.S. 1169, Cong. Rec. vol. 140, pt. 7, p. 8903, Ex. Comm. 3083;
H. Doc. 103-248), and became effective August 1, 1994. The amendments
affected Rules 8002 and 8006.
Section 114 of Public Law 103-394 (approved October 22, 1994, 108
Stat. 4118) amended Rule 7004, effective October 22, 1994.
Additional amendments were adopted by the Court by order dated April
27, 1995, were transmitted to Congress by the Chief Justice on the same
day (514 U.S. 1145, Cong. Rec. vol. 141, pt. 8, p. 11745, Ex. Comm. 810;
H. Doc. 104-67), and became effective December 1, 1995. The amendments
affected Rules 8018 and 9029.
Additional amendments were adopted by the Court by order dated April
23, 1996, were transmitted to Congress by the Chief Justice on the same
day (517 U.S. 1263, Cong. Rec. vol. 142, pt. 6, p. 8831, Ex. Comm. 2490;
H. Doc. 104-204), and became effective December 1, 1996. The amendments
affected Rules 1006, 1007, 1019, 2002, 2015, 3002, 3016, 4004, 5005,
7004, 8008, and 9006.
Additional amendments were adopted by the Court by order dated April
11, 1997, were transmitted to Congress by the Chief Justice on the same
day (520 U.S. 1285, Cong. Rec. vol. 143, pt. 4, p. 5550, Ex. Comm. 2797;
H. Doc. 105-70), and became effective December 1, 1997. The amendments
affected Rules 1010, 1019, 2002, 2007.1, 3014, 3017, 3018, 3021, 8001,
8002, 9011, and 9035, and added new Rules 1020, 3017.1, 8020, and 9015.
Additional amendments were adopted by the Court by order dated April
26, 1999, were transmitted to Congress by the Chief Justice on the same
day (526 U.S. 1169, Cong. Rec. vol. 145, pt. 6, p. 7907, Ex. Comm. 1786;
H. Doc. 106-53), and became effective December 1, 1999. The amendments
affected Rules 1017, 1019, 2002, 2003, 3020, 3021, 4001, 4004, 4007,
6004, 6006, 7001, 7004, 7062, 9006, and 9014.
Additional amendments were adopted by the Court by order dated April
17, 2000, were transmitted to Congress by the Chief Justice on the same
day (529 U.S. 1147, Cong. Rec. vol. 146, pt. 5, p. 6328, Ex. Comm. 7334;
H. Doc. 106-226), and became effective December 1, 2000. The amendments
affected Rules 1017, 2002, 4003, 4004, and 5003.
Additional amendments were adopted by the Court by order dated April
23, 2001, were transmitted to Congress by the Chief Justice on the same
day (532 U.S. 1077, Cong. Rec. vol. 147, pt. 5, p. 6126, Ex. Comm. 1574;
H. Doc. 107-60), and became effective December 1, 2001. The amendments
affected Rules 1007, 2002, 3016, 3017, 3020, 9006, 9020, and 9022.
Additional amendments were adopted by the Court by order dated April
29, 2002, were transmitted to Congress by the Chief Justice on the same
day (535 U.S. 1139, Cong. Rec. vol. 148, pt. 5, p. 6813, Ex. Comm. 6624;
H. Doc. 107-205), and became effective December 1, 2002. The amendments
affected Rules 1004, 2004, 2015, 4004, 9014, and 9027, and added new
Rule 1004.1.
Additional amendments were adopted by the Court by order dated March
27, 2003, were transmitted to Congress by the Chief Justice on the same
day (538 U.S. 1075, Cong. Rec. vol. 149, pt. 6, p. 7689, Ex. Comm. 1495;
H. Doc. 108-58), and became effective December 1, 2003. The amendments
affected Rules 1005, 1007, 2002, 2003, 2009, and 2016, and added new
Rule 7007.1.
Additional amendments were adopted by the Court by order dated April
26, 2004, were transmitted to Congress by the Chief Justice on the same
day (541 U.S. 1097, Cong. Rec. vol. 150, pt. 6, p. 7967, Ex. Comm. 7864;
H. Doc. 108-181), and became effective December 1, 2004. The amendments
affected Rules 1011, 2002, and 9014.
Additional amendments were adopted by the Court by order dated April
25, 2005, were transmitted to Congress by the Chief Justice on the same
day (544 U.S. 1163, Cong. Rec. vol. 151, pt. 7, p. 8784, Ex. Comm. 1908;
H. Doc. 109-25), and became effective December 1, 2005. The amendments
affected Rules 1007, 2002, 3004, 3005, 7004, 9001, 9006, and 9036.
Additional amendments were adopted by the Court by order dated April
12, 2006, were transmitted to Congress by the Chief Justice on the same
day (547 U.S. 1227, Cong. Rec. vol. 152, pt. 6, p. 7213, Ex. Comm. 7319;
H. Doc. 109-107), and became effective December 1, 2006. The amendments
affected Rules 1009, 5005, and 7004.
Additional amendments were adopted by the Court by order dated April
30, 2007, were transmitted to Congress by the Chief Justice on the same
day (550 U.S. 989, Cong. Rec. vol. 153, p. H4208, Daily Issue, Ex. Comm.
1375; H. Doc. 110-25), and became effective December 1, 2007. The
amendments affected Rules 1014, 3007, 4001, 6006, 7007.1, and added new
Rules 6003, 9005.1, and 9037.
Additional amendments were adopted by the Court by order dated April
23, 2008, were transmitted to Congress by the Chief Justice on the same
day (553 U.S. 1105, Cong. Rec. vol. 154, p. H4876, Daily Issue, Ex.
Comm. 6880; H. Doc. 110-25), and became effective December 1, 2008. The
amendments affected Rules 1005, 1006, 1007, 1009, 1010, 1011, 1015,
1017, 1019, 1020, 2002, 2003, 2007.1, 2015, 3002, 3003, 3016, 3017.1,
3019, 4002, 4003, 4004, 4006, 4007, 4008, 5001, 5003, 6004, 7012, 7022,
7023.1, 8001, 8003, 9006, 9009, and 9024, and added new Rules 1021,
2007.2, 2015.1, 2015.2, 2015.3, 5008, and 6011.
Additional amendments were adopted by the Court by order dated March
26, 2009, were transmitted to Congress by the Chief Justice on March 25,
2009 (556 U.S.----, Cong. Rec. vol. 155, p. H4578, Daily Issue, Ex.
Comm. 1266; H. Doc. 111-31), and became effective December 1, 2009. The
amendments affected Rules 1007, 1011, 1019, 1020, 2002, 2003, 2006,
2007, 2007.2, 2008, 2015, 2015.1, 2015.2, 2015.3, 2016, 3001, 3015,
3017, 3019, 3020, 4001, 4002, 4004, 4008, 6003, 6004, 6006, 6007, 7004,
7012, 7052, 8001, 8002, 8003, 8006, 8009, 8015, 8017, 9006, 9015, 9021,
9023, 9027, and 9033, and added new Rule 7058.
Committee Notes and Official Forms
Committee Notes prepared by the Committee on Rules of Practice and
Procedure and the Advisory Committee on the Federal Rules of Bankruptcy
Procedure, Judicial Conference of the United States, explaining the
purpose and intent of the amendments are set out in the Appendix to
Title 11, United States Code, following the particular rule to which
they relate. In addition, the rules and amendments, together with
Committee Notes, are set out in the House documents listed above.
The Official Forms prescribed pursuant to Rule 9009 are set out in
the Appendix to Title 11, United States Code, and may also be found
under Rules and Forms in Effect at the Federal Rulemaking page of the
United States Courts website, www.uscourts.gov/RulesAndPolicies/
FederalRulemaking/RulesAndForms.aspx.
CONTENTS
TABLE OF CONTENTS
____
Page
Foreword...................................................... iii
Authority for promulgation of rules........................... v
Historical note............................................... vii
RULES
Rule 1001. Scope of Rules and Forms; Short Title...............1
PART I. COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION
AND ORDER FOR RELIEF
Rule 1002. Commencement of Case................................1
Rule 1003. Involuntary Petition................................1
Rule 1004. Involuntary Petition Against a Partnership..........2
Rule 1004.1. Petition for an Infant or Incompetent Person......2
Rule 1005. Caption of Petition.................................2
Rule 1006. Filing Fee..........................................2
Rule 1007. Lists, Schedules, Statements, and Other Documents;
Time Limits....................................3
Rule 1008. Verification of Petitions and Accompanying Papers...7
Rule 1009. Amendments of Voluntary Petitions, Lists, Schedules
and Statements.................................7
Rule 1010. Service of Involuntary Petition and Summons; Petition
For Recognition of a Foreign Nonmain Proceeding8
Rule 1011. Responsive Pleading or Motion in Involuntary and
Cross-Border Cases.............................8
Rule 1012. [Abrogated.]
Rule 1013. Hearing and Disposition of a Petition in an
Involuntary Case...............................9
Rule 1014. Dismissal and Change of Venue.......................9
Rule 1015. Consolidation or Joint Administration of Cases
Pending in Same Court.........................10
Rule 1016. Death or Incompetency of Debtor....................11
Rule 1017. Dismissal or Conversion of Case; Suspension........11
Rule 1018. Contested Involuntary Petitions; Contested Petitions
Commencing Ancillary Cases; Proceedings to
Vacate Order for Relief; Applicability of Rules
in Part VII Governing Adversary Proceedings...12
Rule 1019. Conversion of a Chapter 11 Reorganization Case,
Chapter 12 Family Farmer's Debt Adjustment Case,
or Chapter 13 Individual's Debt Adjustment Case
to a Chapter 7 Liquidation Case...............12
Rule 1020. Small Business Chapter 11 Reorganization Case......14
Rule 1021. Health Care Business Case..........................15
PART II. OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS;
EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS
Rule 2001. Appointment of Interim Trustee Before Order for
Relief in a Chapter 7 Liquidation Case........16
Rule 2002. Notices to Creditors, Equity Security Holders,
Administrators in Foreign Proceedings, Persons
Against Whom Provisional Relief is Sought in
Ancillary and Other Cross-Border Cases, United
States, and United States Trustee.............16
Rule 2003. Meeting of Creditors or Equity Security Holders....22
Rule 2004. Examination........................................23
Rule 2005. Apprehension and Removal of Debtor to Compel
Attendance for Examination....................24
Rule 2006. Solicitation and Voting of Proxies in Chapter 7
Liquidation Cases.............................25
Rule 2007. Review of Appointment of Creditors' Committee
Organized Before Commencement of the Case.....27
PART II. OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; EXAMINATIONS;
ELECTIONS; ATTORNEYS AND ACCOUNTANTS--
Continued
Page
Rule 2007.1. Appointment of Trustee or Examiner in a Chapter 11
Reorganization Case...........................28
Rule 2007.2. Appointment of Patient Care Ombudsman in a Health
Care Business Case............................29
Rule 2008. Notice to Trustee of Selection.....................30
Rule 2009. Trustees for Estates When Joint Administration
Ordered.......................................30
Rule 2010. Qualification by Trustee; Proceeding on Bond.......31
Rule 2011. Evidence of Debtor in Possession or Qualification of
Trustee.......................................31
Rule 2012. Substitution of Trustee or Successor Trustee;
Accounting....................................31
Rule 2013. Public Record of Compensation Awarded to Trustees,
Examiners, and Professionals..................32
Rule 2014. Employment of Professional Persons.................32
Rule 2015. Duty to Keep Records, Make Reports, and Give Notice
of Case or Change of Status...................33
Rule 2015.1. Patient Care Ombudsman...........................34
Rule 2015.2. Transfer of Patient in Health Care Business Case.35
Rule 2015.3. Reports of Financial Information on Entities in
Which a Chapter 11 Estate Holds a Controlling or
Substantial Interest..........................35
Rule 2016. Compensation for Services Rendered and Reimbursement
of Expenses...................................36
Rule 2017. Examination of Debtor's Transactions with Debtor's
Attorney......................................37
Rule 2018. Intervention; Right to Be Heard....................37
Rule 2019. Representation of Creditors and Equity Security
Holders in Chapter 9 Municipality and Chapter 11
Reorganization Cases..........................38
Rule 2020. Review of Acts by United States Trustee............39
PART III. CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY
INTEREST HOLDERS; PLANS
Rule 3001. Proof of Claim.....................................39
Rule 3002. Filing Proof of Claim or Interest..................41
Rule 3003. Filing Proof of Claim or Equity Security Interest in
Chapter 9 Municipality or Chapter 11
Reorganization Cases..........................42
Rule 3004. Filing of Claims by Debtor or Trustee..............42
Rule 3005. Filing of Claim, Acceptance, or Rejection by
Guarantor, Surety, Indorser, or Other Codebtor43
Rule 3006. Withdrawal of Claim; Effect on Acceptance or
Rejection of Plan.............................43
Rule 3007. Objections to Claims...............................43
Rule 3008. Reconsideration of Claims..........................44
Rule 3009. Declaration and Payment of Dividends in a Chapter 7
Liquidation Case..............................45
Rule 3010. Small Dividends and Payments in Chapter 7
Liquidation, Chapter 12 Family Farmer's Debt
Adjustment, and Chapter 13 Individual's Debt
Adjustment Cases..............................45
Rule 3011. Unclaimed Funds in Chapter 7 Liquidation, Chapter 12
Family Farmer's Debt Adjustment, and Chapter 13
Individual's Debt Adjustment Cases............45
Rule 3012. Valuation of Security..............................45
Rule 3013. Classification of Claims and Interests.............45
Rule 3014. Election Under Sec. 1111(b) by Secured Creditor in
Chapter 9 Municipality or Chapter 11
Reorganization Case...........................46
Rule 3015. Filing, Objection to Confirmation, and Modification
of a Plan in a Chapter 12 Family Farmer's Debt
Adjustment or a Chapter 13 Individual's Debt
Adjustment Case...............................46
Rule 3016. Filing of Plan and Disclosure Statement in a Chapter
9 Municipality or Chapter 11 Reorganization Ca47
Rule 3017. Court Consideration of Disclosure Statement in a
Chapter 9 Municipality or Chapter 11
Reorganization Case...........................47
Rule 3017.1. Court Consideration of Disclosure Statement in a
Small Business Case...........................49
Rule 3018. Acceptance or Rejection of Plan in a Chapter 9
Municipality or a Chapter 11 Reorganization Ca50
Rule 3019. Modification of Accepted Plan in a Chapter 9
Municipality or a Chapter 11 Reorganization Ca51
Rule 3020. Deposit; Confirmation of Plan in a Chapter 9
Municipality or Chapter 11 Reorganization Case51
Rule 3021. Distribution Under Plan............................52
Rule 3022. Final Decree in Chapter 11 Reorganization Case.....52
PART IV. THE DEBTOR: DUTIES AND BENEFITS
Page
Rule 4001. Relief from Automatic Stay; Prohibiting or
Conditioning the Use, Sale, or Lease of
Property; Use of Cash Collateral; Obtaining
Credit; Agreements............................53
Rule 4002. Duties of Debtor...................................57
Rule 4003. Exemptions.........................................58
Rule 4004. Grant or Denial of Discharge.......................59
Rule 4005. Burden of Proof in Objecting to Discharge..........60
Rule 4006. Notice of No Discharge.............................60
Rule 4007. Determination of Dischargeability of a Debt........60
Rule 4008. Filing of Reaffirmation Agreement; Statement in
Support of Reaffirmation Agreement............61
PART V. COURTS AND CLERKS
Rule 5001. Courts and Clerks' Offices.........................61
Rule 5002. Restrictions on Approval of Appointments...........62
Rule 5003. Records Kept By the Clerk..........................62
Rule 5004. Disqualification...................................64
Rule 5005. Filing and Transmittal of Papers...................64
Rule 5006. Certification of Copies of Papers..................65
Rule 5007. Record of Proceedings and Transcripts..............65
Rule 5008. Notice Regarding Presumption of Abuse in Chapter 7
Cases of Individual Debtors...................65
Rule 5009. Closing Chapter 7 Liquidation, Chapter 12 Family
Farmer's Debt Adjustment, and Chapter 13
Individual's Debt Adjustment Cases............66
Rule 5010. Reopening Cases....................................66
Rule 5011. Withdrawal and Abstention from Hearing a Proceeding66
PART VI. COLLECTION AND LIQUIDATION OF THE ESTATE
Rule 6001. Burden of Proof As to Validity of Postpetition
Transfer......................................66
Rule 6002. Accounting by Prior Custodian of Property of the
Estate........................................67
Rule 6003. Interim and Final Relief Immediately Following the
Commencement of the Case--Applications for
Employment; Motions for Use, Sale, or Lease of
Property; and Motions for Assumption or
Assignment of Executory Contracts.............67
Rule 6004. Use, Sale, or Lease of Property....................67
Rule 6005. Appraisers and Auctioneers.........................69
Rule 6006. Assumption, Rejection or Assignment of an Executory
Contract or Unexpired Lease...................69
Rule 6007. Abandonment or Disposition of Property.............70
Rule 6008. Redemption of Property from Lien or Sale...........70
Rule 6009. Prosecution and Defense of Proceedings by Trustee or
Debtor in Possession..........................70
Rule 6010. Proceeding to Avoid Indemnifying Lien or Transfer to
Surety........................................71
Rule 6011. Disposal of Patient Records in Health Care Business
Case..........................................71
PART VII. ADVERSARY PROCEEDINGS
Rule 7001. Scope of Rules of Part VII.........................72
Rule 7002. References to Federal Rules of Civil Procedure.....72
Rule 7003. Commencement of Adversary Proceeding...............72
Rule 7004. Process; Service of Summons, Complaint.............72
Rule 7005. Service and Filing of Pleadings and Other Papers...75
Rule 7007. Pleadings Allowed..................................75
Rule 7007.1. Corporate Ownership Statement....................75
Rule 7008. General Rules of Pleading..........................76
Rule 7009. Pleading Special Matters...........................76
Rule 7010. Form of Pleadings..................................76
Rule 7012. Defenses and Objections--When and How Presented--By
Pleading or Motion--Motion for Judgment on the
Pleadings.....................................76
Rule 7013. Counterclaim and Cross-Claim.......................77
Rule 7014. Third-Party Practice...............................77
Rule 7015. Amended and Supplemental Pleadings.................77
Rule 7016. Pre-Trial Procedure; Formulating Issues............77
Rule 7017. Parties Plaintiff and Defendant; Capacity..........77
Rule 7018. Joinder of Claims and Remedies.....................77
Rule 7019. Joinder of Persons Needed for Just Determination...77
Rule 7020. Permissive Joinder of Parties......................78
Rule 7021. Misjoinder and Non-Joinder of Parties..............78
Rule 7022. Interpleader.......................................78
Rule 7023. Class Proceedings..................................78
Rule 7023.1. Derivative Actions...............................78
PART VII. ADVERSARY PROCEEDINGS--Continued
Page
Rule 7023.2. Adversary Proceedings Relating to Unincorporated
Associations..................................78
Rule 7024. Intervention.......................................78
Rule 7025. Substitution of Parties............................78
Rule 7026. General Provisions Governing Discovery.............78
Rule 7027. Depositions Before Adversary Proceedings or Pending
Appeal........................................78
Rule 7028. Persons Before Whom Depositions May Be Taken.......78
Rule 7029. Stipulations Regarding Discovery Procedure.........78
Rule 7030. Depositions Upon Oral Examination..................78
Rule 7031. Deposition Upon Written Questions..................78
Rule 7032. Use of Depositions in Adversary Proceedings........78
Rule 7033. Interrogatories to Parties.........................78
Rule 7034. Production of Documents and Things and Entry Upon
Land for Inspection and Other Purposes........79
Rule 7035. Physical and Mental Examination of Persons.........79
Rule 7036. Requests for Admission.............................79
Rule 7037. Failure to Make Discovery: Sanctions...............79
Rule 7040. Assignment of Cases for Trial......................79
Rule 7041. Dismissal of Adversary Proceedings.................79
Rule 7042. Consolidation of Adversary Proceedings; Separate
Trials........................................79
Rule 7052. Findings by the Court..............................79
Rule 7054. Judgments; Costs...................................79
Rule 7055. Default............................................79
Rule 7056. Summary Judgment...................................79
Rule 7058. Entering Judgment in Adversary Proceeding..........80
Rule 7062. Stay of Proceedings to Enforce a Judgment..........80
Rule 7064. Seizure of Person or Property......................80
Rule 7065. Injunctions........................................80
Rule 7067. Deposit in Court...................................80
Rule 7068. Offer of Judgment..................................80
Rule 7069. Execution..........................................80
Rule 7070. Judgment for Specific Acts; Vesting Title..........80
Rule 7071. Process in Behalf of and Against Persons Not Partie80
Rule 7087. Transfer of Adversary Proceeding...................80
PART VIII. APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE
PANEL
Rule 8001. Manner of Taking Appeal; Voluntary Dismissal;
Certification to Court of Appeals.............80
Rule 8002. Time for Filing Notice of Appeal...................83
Rule 8003. Leave to Appeal....................................84
Rule 8004. Service of the Notice of Appeal....................85
Rule 8005. Stay Pending Appeal................................85
Rule 8006. Record and Issues on Appeal........................86
Rule 8007. Completion and Transmission of the Record; Docketing
of the Appeal.................................86
Rule 8008. Filing and Service.................................87
Rule 8009. Briefs and Appendix; Filing and Service............88
Rule 8010. Form of Briefs; Length.............................89
Rule 8011. Motions............................................89
Rule 8012. Oral Argument......................................90
Rule 8013. Disposition of Appeal; Weight Accorded Bankruptcy
Judge's Findings of Fact......................91
Rule 8014. Costs..............................................91
Rule 8015. Motion for Rehearing...............................91
Rule 8016. Duties of Clerk of District Court and Bankruptcy
Appellate Panel...............................91
Rule 8017. Stay of Judgment of District Court or Bankruptcy
Appellate Panel...............................92
Rule 8018. Rules by Circuit Councils and District Courts;
Procedure When There is No Controlling Law....92
Rule 8019. Suspension of Rules in Part VIII...................93
Rule 8020. Damages and Costs for Frivolous Appeal.............93
PART IX. GENERAL PROVISIONS
Rule 9001. General Definitions................................93
Rule 9002. Meanings of Words in the Federal Rules of Civil
Procedure When Applicable to Cases under the
Code..........................................94
Rule 9003. Prohibition of Ex Parte Contacts...................94
PART IX. GENERAL PROVISIONS--Continued
Page
Rule 9004. General Requirements of Form.......................95
Rule 9005. Harmless Error.....................................95
Rule 9005.1. Constitutional Challenge to a Statute--Notice,
Certification, and Intervention...............95
Rule 9006. Computing and Extending Time.......................95
Rule 9007. General Authority to Regulate Notices..............97
Rule 9008. Service or Notice by Publication...................97
Rule 9009. Forms..............................................97
Rule 9010. Representation and Appearances; Powers of Attorney.98
Rule 9011. Signing of Papers; Representations to the Court;
Sanctions; Verification and Copies of Papers..98
Rule 9012. Oaths and Affirmations............................100
Rule 9013. Motions: Form and Service.........................100
Rule 9014. Contested Matters.................................100
Rule 9015. Jury Trials.......................................101
Rule 9016. Subpoena..........................................101
Rule 9017. Evidence..........................................102
Rule 9018. Secret, Confidential, Scandalous, or Defamatory
Matter.......................................102
Rule 9019. Compromise and Arbitration........................102
Rule 9020. Contempt Proceedings..............................102
Rule 9021. Entry of Judgment.................................102
Rule 9022. Notice of Judgment or Order.......................102
Rule 9023. New Trials; Amendment of Judgments................103
Rule 9024. Relief from Judgment or Order.....................103
Rule 9025. Security: Proceedings Against Sureties............103
Rule 9026. Exceptions Unnecessary............................103
Rule 9027. Removal...........................................103
Rule 9028. Disability of a Judge.............................106
Rule 9029. Local Bankruptcy Rules; Procedure When There is No
Controlling Law..............................106
Rule 9030. Jurisdiction and Venue Unaffected.................106
Rule 9031. Masters Not Authorized............................106
Rule 9032. Effect of Amendment of Federal Rules of Civil
Procedure....................................106
Rule 9033. Review of Proposed Findings of Fact and Conclusions
of Law in Non-Core Proceedings...............107
Rule 9034. Transmittal of Pleadings, Motion Papers, Objections,
and Other Papers to the United States Trustee107
Rule 9035. Applicability of Rules in Judicial Districts in
Alabama and North Carolina...................108
Rule 9036. Notice by Electronic Transmission.................108
Rule 9037. Privacy Protection For Filings Made with the Court108
PART X. [ABROGATED]
FEDERAL RULES OF BANKRUPTCY PROCEDURE
Effective August 1, 1983, as amended to December 1, 2009
Rule 1001
Scope of Rules and Forms; Short Title___________________________
The Bankruptcy Rules and Forms govern procedure in cases under title
11 of the United States Code. The rules shall be cited as the Federal
Rules of Bankruptcy Procedure and the forms as the Official Bankruptcy
Forms. These rules shall be construed to secure the just, speedy, and
inexpensive determination of every case and proceeding.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
PART I--COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND ORDER
FOR RELIEF
Rule 1002
Commencement of Case____________________________________________
(a) Petition. A petition commencing a case under the Code shall be
filed with the clerk.
(b) Transmission to United States Trustee. The clerk shall forthwith
transmit to the United States trustee a copy of the petition filed
pursuant to subdivision (a) of this rule.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 1003
_____. Involuntary Petition____________________________________________
(a) Transferor or Transferee of Claim. A transferor or transferee of
a claim shall annex to the original and each copy of the petition a copy
of all documents evidencing the transfer, whether transferred
unconditionally, for security, or otherwise, and a signed statement that
the claim was not transferred for the purpose of commencing the case and
setting forth the consideration for and terms of the transfer. An entity
that has transferred or acquired a claim for the purpose of commencing a
case for liquidation under chapter 7 or for reorganization under chapter
11 shall not be a qualified petitioner.
(b) Joinder of Petitioners After Filing. If the answer to an
involuntary petition filed by fewer than three creditors avers the
existence of 12 or more creditors, the debtor shall file with the answer
a list of all creditors with their addresses, a brief statement of the
nature of their claims, and the amounts thereof. If it appears that
there are 12 or more creditors as provided in Sec. 303(b) of the Code,
the court shall afford a reasonable opportunity for other creditors to
join in the petition before a hearing is held thereon.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 1004
_____. Involuntary Petition Against a Partnership______________________
After filing of an involuntary petition under Sec. 303(b)(3) of the
Code, (1) the petitioning partners or other petitioners shall promptly
send to or serve on each general partner who is not a petitioner a copy
of the petition; and (2) the clerk shall promptly issue a summons for
service on each general partner who is not a petitioner. Rule 1010
applies to the form and service of the summons.
(As amended Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 1004.1
_____. Petition for an Infant or Incompetent Person____________________
If an infant or incompetent person has a representative, including a
general guardian, committee, conservator, or similar fiduciary, the
representative may file a voluntary petition on behalf of the infant or
incompetent person. An infant or incompetent person who does not have a
duly appointed representative may file a voluntary petition by next
friend or guardian ad litem. The court shall appoint a guardian ad litem
for an infant or incompetent person who is a debtor and is not otherwise
represented or shall make any other order to protect the infant or
incompetent debtor.
(Added Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 1005
_____. Caption of Petition_____________________________________________
The caption of a petition commencing a case under the Code shall
contain the name of the court, the title of the case, and the docket
number. The title of the case shall include the following information
about the debtor: name, employer identification number, last four digits
of the social-security number or individual debtor's taxpayer-
identification number, any other federal taxpayer-identification number,
and all other names used within eight years before filing the petition.
If the petition is not filed by the debtor, it shall include all names
used by the debtor which are known to the petitioners.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 27, 2003, eff. Dec.
1, 2003; Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 1006
_____. Filing Fee______________________________________________________
(a) General Requirement. Every petition shall be accompanied by the
filing fee except as provided in subdivisions (b) and (c) of this rule.
For the purpose of this rule, ``filing fee'' means the filing fee
prescribed by 28 U.S.C. Sec. 1930(a)(1)-(a)(5) and any other fee
prescribed by the Judicial Conference of the United States under 28
U.S.C. Sec. 1930(b) that is payable to the clerk upon the commencement
of a case under the Code.
(b) Payment of Filing Fee in Installments.
(1) Application to Pay Filing Fee in Installments. A
voluntary petition by an individual shall be accepted for filing
if accompanied by the debtor's signed application, prepared as
prescribed by the appropriate Official Form, stating that the
debtor is unable to pay the filing fee except in installments.
(2) Action on Application. Prior to the meeting of
creditors, the court may order the filing fee paid to the clerk
or grant leave to pay in installments and fix the number, amount
and dates of payment. The number of installments shall not
exceed four, and the final installment shall be payable not
later than 120 days after filing the petition. For cause shown,
the court may extend the time of any installment, provided the
last installment is paid not later than 180 days after filing
the petition.
(3) Postponement of Attorney's Fees. All installments of the
filing fee must be paid in full before the debtor or chapter 13
trustee may make further payments to an attorney or any other
person who renders services to the debtor in connection with the
case.
(c) Waiver of Filing Fee. A voluntary chapter 7 petition filed by an
individual shall be accepted for filing if accompanied by the debtor's
application requesting a waiver under 28 U.S.C. Sec. 1930(f), prepared
as prescribed by the appropriate Official Form.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 1996, eff. Dec.
1, 1996; Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 1007
_____. Lists, Schedules, Statements, and Other Documents; Time Limits__
(a) Corporate Ownership Statement, List of Creditors and Equity
Security Holders, and Other Lists.
(1) Voluntary Case. In a voluntary case, the debtor shall
file with the petition a list containing the name and address of
each entity included or to be included on Schedules D, E, F, G,
and H as prescribed by the Official Forms. If the debtor is a
corporation, other than a governmental unit, the debtor shall
file with the petition a corporate ownership statement
containing the information described in Rule 7007.1. The debtor
shall file a supplemental statement promptly upon any change in
circumstances that renders the corporate ownership statement
inaccurate.
(2) Involuntary Case. In an involuntary case, the debtor
shall file within 14 days after entry of the order for relief, a
list containing the name and address of each entity included or
to be included on Schedules D, E, F, G, and H as prescribed by
the Official Forms.
(3) Equity Security Holders. In a chapter 11 reorganization
case, unless the court orders otherwise, the debtor shall file
within 14 days after entry of the order for relief a list of the
debtor's equity security holders of each class showing the
number and kind of interests registered in the name of each
holder, and the last known address or place of business of each
holder.
(4) Chapter 15 Case. In addition to the documents required
under Sec. 1515 of the Code, a foreign representative filing a
petition for recognition under chapter 15 shall file with the
petition: (A) a corporate ownership statement containing the
information described in Rule 7007.1; and (B) unless the court
orders otherwise, a list containing the names and addresses of
all persons or bodies authorized to administer foreign
proceedings of the debtor, all parties to litigation pending in
the United States in which the debtor is a party at the time of
the filing of the petition, and all entities against whom
provisional relief is being sought under Sec. 1519 of the Code.
(5) Extension of Time. Any extension of time for the filing
of the lists required by this subdivision may be granted only on
motion for cause shown and on notice to the United States
trustee and to any trustee, committee elected under Sec. 705 or
appointed under Sec. 1102 of the Code, or other party as the
court may direct.
(b) Schedules, Statements, and Other Documents Required.
(1) Except in a chapter 9 municipality case, the debtor,
unless the court orders otherwise, shall file the following
schedules, statements, and other documents, prepared as
prescribed by the appropriate Official Forms, if any:
(A) schedules of assets and liabilities;
(B) a schedule of current income and expenditures;
(C) a schedule of executory contracts and unexpired
leases;
(D) a statement of financial affairs;
(E) copies of all payment advices or other evidence
of payment, if any, received by the debtor from an
employer within 60 days before the filing of the
petition, with redaction of all but the last four digits
of the debtor's social-security number or individual
taxpayer-identification number; and
(F) a record of any interest that the debtor has in
an account or program of the type specified in
Sec. 521(c) of the Code.
(2) An individual debtor in a chapter 7 case shall file a
statement of intention as required by Sec. 521(a) of the Code,
prepared as prescribed by the appropriate Official Form. A copy
of the statement of intention shall be served on the trustee and
the creditors named in the statement on or before the filing of
the statement.
(3) Unless the United States trustee has determined that the
credit counseling requirement of Sec. 109(h) does not apply in
the district, an individual debtor must file a statement of
compliance with the credit counseling requirement, prepared as
prescribed by the appropriate Official Form which must include
one of the following:
(A) an attached certificate and debt repayment plan,
if any, required by Sec. 521(b);
(B) a statement that the debtor has received the
credit counseling briefing required by Sec. 109(h)(1)
but does not have the certificate required by
Sec. 521(b);
(C) a certification under Sec. 109(h)(3); or
(D) a request for a determination by the court under
Sec. 109(h)(4).
(4) Unless Sec. 707(b)(2)(D) applies, an individual debtor
in a chapter 7 case shall file a statement of current monthly
income prepared as prescribed by the appropriate Official Form,
and, if the current monthly income exceeds the median family
income for the applicable state and household size, the
information, including calculations, required by Sec. 707(b),
prepared as prescribed by the appropriate Official Form.
(5) An individual debtor in a chapter 11 case shall file a
statement of current monthly income, prepared as prescribed by
the appropriate Official Form.
(6) A debtor in a chapter 13 case shall file a statement of
current monthly income, prepared as prescribed by the
appropriate Official Form, and, if the current monthly income
exceeds the median family income for the applicable state and
household size, a calculation of disposable income made in
accordance with Sec. 1325(b)(3), prepared as prescribed by the
appropriate Official Form.
(7) An individual debtor in a chapter 7 or chapter 13 case
shall file a statement of completion of a course concerning
personal financial management, prepared as prescribed by the
appropriate Official Form. An individual debtor shall file the
statement in a chapter 11 case in which Sec. 1141(d)(3) applies.
(8) If an individual debtor in a chapter 11, 12, or 13 case
has claimed an exemption under Sec. 522(b)(3)(A) in property of
the kind described in Sec. 522(p)(1) with a value in excess of
the amount set out in Sec. 522(q)(1), the debtor shall file a
statement as to whether there is any proceeding pending in which
the debtor may be found guilty of a felony of a kind described
in Sec. 522(q)(1)(A) or found liable for a debt of the kind
described in Sec. 522(q)(1)(B).
(c) Time Limits. In a voluntary case, the schedules, statements, and
other documents required by subdivision (b)(1), (4), (5), and (6) shall
be filed with the petition or within 14 days thereafter, except as
otherwise provided in subdivisions (d), (e), (f), and (h) of this rule.
In an involuntary case, the list in subdivision (a)(2), and the
schedules, statements, and other documents required by subdivision
(b)(1) shall be filed by the debtor within 14 days of the entry of the
order for relief. In a voluntary case, the documents required by
paragraphs (A), (C), and (D) of subdivision (b)(3) shall be filed with
the petition. Unless the court orders otherwise, a debtor who has filed
a statement under subdivision (b)(3)(B), shall file the documents
required by subdivision (b)(3)(A) within 14 days of the order for
relief. In a chapter 7 case, the debtor shall file the statement
required by subdivision (b)(7) within 45 days after the first date set
for the meeting of creditors under Sec. 341 of the Code, and in a
chapter 11 or 13 case no later than the date when the last payment was
made by the debtor as required by the plan or the filing of a motion for
a discharge under Sec. 1141(d)(5)(B) or Sec. 1328(b) of the Code. The
court may, at any time and in its discretion, enlarge the time to file
the statement required by subdivision (b)(7). The debtor shall file the
statement required by subdivision (b)(8) no earlier than the date of the
last payment made under the plan or the date of the filing of a motion
for a discharge under Sec. Sec. 1141(d)(5)(B),\1\ 1228(b), or 1328(b) of
the Code. Lists, schedules, statements, and other documents filed prior
to the conversion of a case to another chapter shall be deemed filed in
the converted case unless the court directs otherwise. Except as
provided in Sec. 1116(3), any extension of time to file schedules,
statements, and other documents required under this rule may be granted
only on motion for cause shown and on notice to the United States
trustee, any committee elected under Sec. 705 or appointed under
Sec. 1102 of the Code, trustee, examiner, or other party as the court
may direct. Notice of an extension shall be given to the United States
trustee and to any committee, trustee, or other party as the court may
direct.
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\1\ So in original. Probably should be only one section symbol.
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(d) List of 20 Largest Creditors in Chapter 9 Municipality Case or
Chapter 11 Reorganization Case. In addition to the list required by
subdivision (a) of this rule, a debtor in a chapter 9 municipality case
or a debtor in a voluntary chapter 11 reorganization case shall file
with the petition a list containing the name, address and claim of the
creditors that hold the 20 largest unsecured claims, excluding insiders,
as prescribed by the appropriate Official Form. In an involuntary
chapter 11 reorganization case, such list shall be filed by the debtor
within 2 days after entry of the order for relief under Sec. 303(h) of
the Code.
(e) List in Chapter 9 Municipality Cases. The list required by
subdivision (a) of this rule shall be filed by the debtor in a chapter 9
municipality case within such time as the court shall fix. If a proposed
plan requires a revision of assessments so that the proportion of
special assessments or special taxes to be assessed against some real
property will be different from the proportion in effect at the date the
petition is filed, the debtor shall also file a list showing the name
and address of each known holder of title, legal or equitable, to real
property adversely affected. On motion for cause shown, the court may
modify the requirements of this subdivision and subdivision (a) of this
rule.
(f) Statement of Social Security Number. An individual debtor shall
submit a verified statement that sets out the debtor's social security
number, or states that the debtor does not have a social security
number. In a voluntary case, the debtor shall submit the statement with
the petition. In an involuntary case, the debtor shall submit the
statement within 14 days after the entry of the order for relief.
(g) Partnership and Partners. The general partners of a debtor
partnership shall prepare and file the list required under subdivision
(a), schedules of the assets and liabilities, schedule of current income
and expenditures, schedule of executory contracts and unexpired leases,
and statement of financial affairs of the partnership. The court may
order any general partner to file a statement of personal assets and
liabilities within such time as the court may fix.
(h) Interests Acquired or Arising After Petition. If, as provided by
Sec. 541(a)(5) of the Code, the debtor acquires or becomes entitled to
acquire any interest in property, the debtor shall within 14 days after
the information comes to the debtor's knowledge or within such further
time the court may allow, file a supplemental schedule in the chapter 7
liquidation case, chapter 11 reorganization case, chapter 12 family
farmer's debt adjustment case, or chapter 13 individual debt adjustment
case. If any of the property required to be reported under this
subdivision is claimed by the debtor as exempt, the debtor shall claim
the exemptions in the supplemental schedule. The duty to file a
supplemental schedule in accordance with this subdivision continues
notwithstanding the closing of the case, except that the schedule need
not be filed in a chapter 11, chapter 12, or chapter 13 case with
respect to property acquired after entry of the order confirming a
chapter 11 plan or discharging the debtor in a chapter 12 or chapter 13
case.
(i) Disclosure of List of Security Holders. After notice and hearing
and for cause shown, the court may direct an entity other than the
debtor or trustee to disclose any list of security holders of the debtor
in its possession or under its control, indicating the name, address and
security held by any of them. The entity possessing this list may be
required either to produce the list or a true copy thereof, or permit
inspection or copying, or otherwise disclose the information contained
on the list.
(j) Impounding of Lists. On motion of a party in interest and for
cause shown the court may direct the impounding of the lists filed under
this rule, and may refuse to permit inspection by any entity. The court
may permit inspection or use of the lists, however, by any party in
interest on terms prescribed by the court.
(k) Preparation of List, Schedules, or Statements on Default of
Debtor. If a list, schedule, or statement, other than a statement of
intention, is not prepared and filed as required by this rule, the court
may order the trustee, a petitioning creditor, committee, or other party
to prepare and file any of these papers within a time fixed by the
court. The court may approve reimbursement of the cost incurred in
complying with such an order as an administrative expense.
(l) Transmission to United States Trustee. The clerk shall forthwith
transmit to the United States trustee a copy of every list, schedule,
and statement filed pursuant to subdivision (a)(1), (a)(2), (b), (d), or
(h) of this rule.
(m) Infants and Incompetent Persons. If the debtor knows that a
person on the list of creditors or schedules is an infant or incompetent
person, the debtor also shall include the name, address, and legal
relationship of any person upon whom process would be served in an
adversary proceeding against the infant or incompetent person in
accordance with Rule 7004(b)(2).
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2001, eff. Dec. 1,
2001; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 25, 2005, eff. Dec. 1,
2005; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 1008
_____. Verification of Petitions and Accompanying Papers_______________
All petitions, lists, schedules, statements and amendments thereto
shall be verified or contain an unsworn declaration as provided in 28
U.S.C. Sec. 1746.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 1009
_____. Amendments of Voluntary Petitions, Lists, Schedules and
Statements______________________________________________________________
(a) General Right To Amend. A voluntary petition, list, schedule, or
statement may be amended by the debtor as a matter of course at any time
before the case is closed. The debtor shall give notice of the amendment
to the trustee and to any entity affected thereby. On motion of a party
in interest, after notice and a hearing, the court may order any
voluntary petition, list, schedule, or statement to be amended and the
clerk shall give notice of the amendment to entities designated by the
court.
(b) Statement of Intention. The statement of intention may be
amended by the debtor at any time before the expiration of the period
provided in Sec. 521(a) of the Code. The debtor shall give notice of the
amendment to the trustee and to any entity affected thereby.
(c) Statement of Social Security Number. If a debtor becomes aware
that the statement of social security number submitted under Rule
1007(f) is incorrect, the debtor shall promptly submit an amended
verified statement setting forth the correct social security number. The
debtor shall give notice of the amendment to all of the entities
required to be included on the list filed under Rule 1007(a)(1) or
(a)(2).
(d) Transmission to United States Trustee. The clerk shall promptly
transmit to the United States trustee a copy of every amendment filed or
submitted under subdivision (a), (b), or (c) of this rule.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 23, 2008, eff. Dec. 1,
2008.)
Rule 1010
_____. Service of Involuntary Petition and Summons; Petition For
Recognition of a Foreign Nonmain Proceeding_____________________________
(a) Service of Involuntary Petition and Summons; Service of Petition
for Recognition of Foreign Nonmain Proceeding. On the filing of an
involuntary petition or a petition for recognition of a foreign nonmain
proceeding, the clerk shall forthwith issue a summons for service. When
an involuntary petition is filed, service shall be made on the debtor.
When a petition for recognition of a foreign nonmain proceeding is
filed, service shall be made on the debtor, any entity against whom
provisional relief is sought under Sec. 1519 of the Code, and on any
other party as the court may direct. The summons shall be served with a
copy of the petition in the manner provided for service of a summons and
complaint by Rule 7004(a) or (b). If service cannot be so made, the
court may order that the summons and petition be served by mailing
copies to the party's last known address, and by at least one
publication in a manner and form directed by the court. The summons and
petition may be served on the party anywhere. Rule 7004(e) and Rule 4(l)
F.R.Civ.P. apply when service is made or attempted under this rule.
(b) Corporate Ownership Statement. Each petitioner that is a
corporation shall file with the involuntary petition a corporate
ownership statement containing the information described in Rule 7007.1.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 11, 1997, eff. Dec. 1,
1997; Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 1011
_____. Responsive Pleading or Motion in Involuntary and Cross-Border
Cases___________________________________________________________________
(a) Who May Contest Petition. The debtor named in an involuntary
petition, or a party in interest to a petition for recognition of a
foreign proceeding, may contest the petition. In the case of a petition
against a partnership under Rule 1004, a nonpetitioning general partner,
or a person who is alleged to be a general partner but denies the
allegation, may contest the petition.
(b) Defenses and Objections; When Presented. Defenses and objections
to the petition shall be presented in the manner prescribed by Rule 12
F.R.Civ.P. and shall be filed and served within 21 days after service of
the summons, except that if service is made by publication on a party or
partner not residing or found within the state in which the court sits,
the court shall prescribe the time for filing and serving the response.
(c) Effect of Motion. Service of a motion under Rule 12(b)
F.R.Civ.P. shall extend the time for filing and serving a responsive
pleading as permitted by Rule 12(a) F.R.Civ.P.
(d) Claims Against Petitioners. A claim against a petitioning
creditor may not be asserted in the answer except for the purpose of
defeating the petition.
(e) Other Pleadings. No other pleadings shall be permitted, except
that the court may order a reply to an answer and prescribe the time for
filing and service.
(f) Corporate Ownership Statement. If the entity responding to the
involuntary petition or the petition for recognition of a foreign
proceeding is a corporation, the entity shall file with its first
appearance, pleading, motion, response, or other request addressed to
the court a corporate ownership statement containing the information
described in Rule 7007.1.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 26, 2004, eff. Dec.
1, 2004; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1,
2009.)
[Rule 1012
_____. Examination of Debtor, Including Discovery, on Issue of
Nonpayment of Debts in Involuntary Cases.] (Abrogated Mar. 30, 1987,
eff. Aug. 1, 1987)______________________________________________________
Rule 1013
_____. Hearing and Disposition of a Petition in an Involuntary Case____
(a) Contested Petition. The court shall determine the issues of a
contested petition at the earliest practicable time and forthwith enter
an order for relief, dismiss the petition, or enter any other
appropriate order.
(b) Default. If no pleading or other defense to a petition is filed
within the time provided by Rule 1011, the court, on the next day, or as
soon thereafter as practicable, shall enter an order for the relief
requested in the petition.
[(c) Order for Relief] (Abrogated Apr. 22, 1993, eff. Aug. 1, 1993)
(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug.
1, 1993.)
Rule 1014
_____. Dismissal and Change of Venue___________________________________
(a) Dismissal and Transfer of Cases.
(1) Cases Filed in Proper District. If a petition is filed
in the proper district, the court, on the timely motion of a
party in interest or on its own motion, and after hearing on
notice to the petitioners, the United States trustee, and other
entities as directed by the court, may transfer the case to any
other district if the court determines that the transfer is in
the interest of justice or for the convenience of the parties.
(2) Cases Filed in Improper District. If a petition is filed
in an improper district, the court, on the timely motion of a
party in interest or on its own motion, and after hearing on
notice to the petitioners, the United States trustee, and other
entities as directed by the court, may dismiss the case or
transfer it to any other district if the court determines that
transfer is in the interest of justice or for the convenience of
the parties.
(b) Procedure When Petitions Involving the Same Debtor or Related
Debtors Are Filed in Different Courts. If petitions commencing cases
under the Code are filed in different districts by or against (1) the
same debtor, or (2) a partnership and one or more of its general
partners, or (3) two or more general partners, or (4) a debtor and an
affiliate, on motion filed in the district in which the petition filed
first is pending and after hearing on notice to the petitioners, the
United States trustee, and other entities as directed by the court, the
court may determine, in the interest of justice or for the convenience
of the parties, the district or districts in which the case or cases
should proceed. Except as otherwise ordered by the court in the district
in which the petition filed first is pending, the proceedings on the
other petitions shall be stayed by the courts in which they have been
filed until the determination is made.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 30, 2007, eff. Dec. 1, 2007.)
Rule 1015
_____. Consolidation or Joint Administration of Cases Pending in Same
Court___________________________________________________________________
(a) Cases Involving Same Debtor. If two or more petitions are
pending in the same court by or against the same debtor, the court may
order consolidation of the cases.
(b) Cases Involving Two or More Related Debtors. If a joint petition
or two or more petitions are pending in the same court by or against (1)
a husband and wife, or (2) a partnership and one or more of its general
partners, or (3) two or more general partners, or (4) a debtor and an
affiliate, the court may order a joint administration of the estates.
Prior to entering an order the court shall give consideration to
protecting creditors of different estates against potential conflicts of
interest. An order directing joint administration of individual cases of
a husband and wife shall, if one spouse has elected the exemptions under
Sec. 522(b)(2) of the Code and the other has elected the exemptions
under Sec. 522(b)(3), fix a reasonable time within which either may
amend the election so that both shall have elected the same exemptions.
The order shall notify the debtors that unless they elect the same
exemptions within the time fixed by the court, they will be deemed to
have elected the exemptions provided by Sec. 522(b)(2).
(c) Expediting and Protective Orders. When an order for
consolidation or joint administration of a joint case or two or more
cases is entered pursuant to this rule, while protecting the rights of
the parties under the Code, the court may enter orders as may tend to
avoid unnecessary costs and delay.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec.
1, 2008.)
Rule 1016
_____. Death or Incompetency of Debtor_________________________________
Death or incompetency of the debtor shall not abate a liquidation
case under chapter 7 of the Code. In such event the estate shall be
administered and the case concluded in the same manner, so far as
possible, as though the death or incompetency had not occurred. If a
reorganization, family farmer's debt adjustment, or individual's debt
adjustment case is pending under chapter 11, chapter 12, or chapter 13,
the case may be dismissed; or if further administration is possible and
in the best interest of the parties, the case may proceed and be
concluded in the same manner, so far as possible, as though the death or
incompetency had not occurred.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 1017
_____. Dismissal or Conversion of Case; Suspension_____________________
(a) Voluntary Dismissal; Dismissal for Want of Prosecution or Other
Cause. Except as provided in Sec. Sec. 707(a)(3), 707(b), 1208(b), and
1307(b) of the Code, and in Rule 1017(b), (c), and (e), a case shall not
be dismissed on motion of the petitioner, for want of prosecution or
other cause, or by consent of the parties, before a hearing on notice as
provided in Rule 2002. For the purpose of the notice, the debtor shall
file a list of creditors with their addresses within the time fixed by
the court unless the list was previously filed. If the debtor fails to
file the list, the court may order the debtor or another entity to
prepare and file it.
(b) Dismissal for Failure To Pay Filing Fee.
(1) If any installment of the filing fee has not been paid,
the court may, after a hearing on notice to the debtor and the
trustee, dismiss the case.
(2) If the case is dismissed or closed without full payment
of the filing fee, the installments collected shall be
distributed in the same manner and proportions as if the filing
fee had been paid in full.
(c) Dismissal of Voluntary Chapter 7 or Chapter 13 Case for Failure
To Timely File List of Creditors, Schedules, and Statement of Financial
Affairs. The court may dismiss a voluntary chapter 7 or chapter 13 case
under Sec. 707(a)(3) or Sec. 1307(c)(9) after a hearing on notice served
by the United States trustee on the debtor, the trustee, and any other
entities as the court directs.
(d) Suspension. The court shall not dismiss a case or suspend
proceedings under Sec. 305 before a hearing on notice as provided in
Rule 2002(a).
(e) Dismissal of an Individual Debtor's Chapter 7 Case, or
Conversion to a Case Under Chapter 11 or 13, for Abuse. The court may
dismiss or, with the debtor's consent, convert an individual debtor's
case for abuse under Sec. 707(b) only on motion and after a hearing on
notice to the debtor, the trustee, the United States trustee, and any
other entity as the court directs.
(1) Except as otherwise provided in Sec. 704(b)(2), a motion
to dismiss a case for abuse under Sec. 707(b) or (c) may be
filed only within 60 days after the first date set for the
meeting of creditors under Sec. 341(a), unless, on request filed
before the time has expired, the court for cause extends the
time for filing the motion to dismiss. The party filing the
motion shall set forth in the motion all matters to be
considered at the hearing. In addition, a motion to dismiss
under Sec. 707(b)(1) and (3) shall state with particularity the
circumstances alleged to constitute abuse.
(2) If the hearing is set on the court's own motion, notice
of the hearing shall be served on the debtor no later than 60
days after the first date set for the meeting of creditors under
Sec. 341(a). The notice shall set forth all matters to be
considered by the court at the hearing.
(f) Procedure for Dismissal, Conversion, or Suspension.
(1) Rule 9014 governs a proceeding to dismiss or suspend a
case, or to convert a case to another chapter, except under
Sec. Sec. 706(a), 1112(a), 1208(a) or (b), or 1307(a) or (b).
(2) Conversion or dismissal under Sec. Sec. 706(a), 1112(a),
1208(b), or 1307(b) shall be on motion filed and served as
required by Rule 9013.
(3) A chapter 12 or chapter 13 case shall be converted
without court order when the debtor files a notice of conversion
under Sec. Sec. 1208(a) or 1307(a). The filing date of the
notice becomes the date of the conversion order for the purposes
of applying Sec. 348(c) and Rule 1019. The clerk shall promptly
transmit a copy of the notice to the United States trustee.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1,
1999; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2008, eff. Dec. 1,
2008.)
Rule 1018
_____. Contested Involuntary Petitions; Contested Petitions Commencing
Ancillary Cases; Proceedings to Vacate Order for Relief; Applicability
of Rules in Part VII Governing Adversary Proceedings____________________
The following rules in Part VII apply to all proceedings relating to
a contested involuntary petition, to proceedings relating to a contested
petition commencing a case ancillary to a foreign proceeding, and to all
proceedings to vacate an order for relief: Rules 7005, 7008-7010, 7015,
7016, 7024-7026, 7028-7037, 7052, 7054, 7056, and 7062, except as
otherwise provided in Part I of these rules and unless the court
otherwise directs. The court may direct that other rules in Part VII
shall also apply. For the purposes of this rule a reference in the Part
VII rules to adversary proceedings shall be read as a reference to
proceedings relating to a contested involuntary petition, or contested
ancillary petition, or proceedings to vacate an order for relief.
Reference in the Federal Rules of Civil Procedure to the complaint shall
be read as a reference to the petition.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 1019
_____. Conversion of a Chapter 11 Reorganization Case, Chapter 12
Family Farmer's Debt Adjustment Case, or Chapter 13 Individual's Debt
Adjustment Case to a Chapter 7 Liquidation Case_________________________
When a chapter 11, chapter 12, or chapter 13 case has been converted
or reconverted to a chapter 7 case:
(1) Filing of Lists, Inventories, Schedules, Statements.
(A) Lists, inventories, schedules, and statements of
financial affairs theretofore filed shall be deemed to
be filed in the chapter 7 case, unless the court directs
otherwise. If they have not been previously filed, the
debtor shall comply with Rule 1007 as if an order for
relief had been entered on an involuntary petition on
the date of the entry of the order directing that the
case continue under chapter 7.
(B) If a statement of intention is required, it
shall be filed within 30 days after entry of the order
of conversion or before the first date set for the
meeting of creditors, whichever is earlier. The court
may grant an extension of time for cause only on written
motion filed, or oral request made during a hearing,
before the time has expired. Notice of an extension
shall be given to the United States trustee and to any
committee, trustee, or other party as the court may
direct.
(2) New Filing Periods. A new time period for filing a
motion under Sec. 707(b) or (c), a claim, a complaint objecting
to discharge, or a complaint to obtain a determination of
dischargeability of any debt shall commence under Rules 1017,
3002, 4004, or 4007, but a new time period shall not commence if
a chapter 7 case had been converted to a chapter 11, 12, or 13
case and thereafter reconverted to a chapter 7 case and the time
for filing a motion under Sec. 707(b) or (c), a claim, a
complaint objecting to discharge, or a complaint to obtain a
determination of the dischargeability of any debt, or any
extension thereof, expired in the original chapter 7 case.
(3) Claims Filed Before Conversion. All claims actually
filed by a creditor before conversion of the case are deemed
filed in the chapter 7 case.
(4) Turnover of Records and Property. After qualification
of, or assumption of duties by the chapter 7 trustee, any debtor
in possession or trustee previously acting in the chapter 11,
12, or 13 case shall, forthwith, unless otherwise ordered, turn
over to the chapter 7 trustee all records and property of the
estate in the possession or control of the debtor in possession
or trustee.
(5) Filing Final Report and Schedule of Postpetition Debts.
(A) Conversion of Chapter 11 or Chapter 12 Case.
Unless the court directs otherwise, if a chapter 11 or
chapter 12 case is converted to chapter 7, the debtor in
possession or, if the debtor is not a debtor in
possession, the trustee serving at the time of
conversion, shall:
(i) not later than 14 days after conversion
of the case, file a schedule of unpaid debts
incurred after the filing of the petition and
before conversion of the case, including the
name and address of each holder of a claim; and
(ii) not later than 30 days after conversion
of the case, file and transmit to the United
States trustee a final report and account;
(B) Conversion of Chapter 13 Case. Unless the court
directs otherwise, if a chapter 13 case is converted to
chapter 7,
(i) the debtor, not later than 14 days after
conversion of the case, shall file a schedule of
unpaid debts incurred after the filing of the
petition and before conversion of the case,
including the name and address of each holder of
a claim; and
(ii) the trustee, not later than 30 days
after conversion of the case, shall file and
transmit to the United States trustee a final
report and account;
(C) Conversion After Confirmation of a Plan. Unless
the court orders otherwise, if a chapter 11, chapter 12,
or chapter 13 case is converted to chapter 7 after
confirmation of a plan, the debtor shall file:
(i) a schedule of property not listed in the
final report and account acquired after the
filing of the petition but before conversion,
except if the case is converted from chapter 13
to chapter 7 and Sec. 348(f)(2) does not apply;
(ii) a schedule of unpaid debts not listed
in the final report and account incurred after
confirmation but before the conversion; and
(iii) a schedule of executory contracts and
unexpired leases entered into or assumed after
the filing of the petition but before
conversion.
(D) Transmission to United States Trustee. The clerk
shall forthwith transmit to the United States trustee a
copy of every schedule filed pursuant to Rule 1019(5).
(6) Postpetition Claims; Preconversion Administrative
Expenses; Notice. A request for payment of an administrative
expense incurred before conversion of the case is timely filed
under Sec. 503(a) of the Code if it is filed before conversion
or a time fixed by the court. If the request is filed by a
governmental unit, it is timely if it is filed before conversion
or within the later of a time fixed by the court or 180 days
after the date of the conversion. A claim of a kind specified in
Sec. 348(d) may be filed in accordance with Rules 3001(a)-(d)
and 3002. Upon the filing of the schedule of unpaid debts
incurred after commencement of the case and before conversion,
the clerk, or some other person as the court may direct, shall
give notice to those entities listed on the schedule of the time
for filing a request for payment of an administrative expense
and, unless a notice of insufficient assets to pay a dividend is
mailed in accordance with Rule 2002(e), the time for filing a
claim of a kind specified in Sec. 348(d).
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 11, 1997, eff. Dec. 1,
1997; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1,
2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 1020
_____. Small Business Chapter 11 Reorganization Case___________________
(a) Small Business Debtor Designation. In a voluntary chapter 11
case, the debtor shall state in the petition whether the debtor is a
small business debtor. In an involuntary chapter 11 case, the debtor
shall file within 14 days after entry of the order for relief a
statement as to whether the debtor is a small business debtor. Except as
provided in subdivision (c), the status of the case as a small business
case shall be in accordance with the debtor's statement under this
subdivision, unless and until the court enters an order finding that the
debtor's statement is incorrect.
(b) Objecting to Designation. Except as provided in subdivision (c),
the United States trustee or a party in interest may file an objection
to the debtor's statement under subdivision (a) no later than 30 days
after the conclusion of the meeting of creditors held under Sec. 341(a)
of the Code, or within 30 days after any amendment to the statement,
whichever is later.
(c) Appointment of Committee of Unsecured Creditors. If a committee
of unsecured creditors has been appointed under Sec. 1102(a)(1), the
case shall proceed as a small business case only if, and from the time
when, the court enters an order determining that the committee has not
been sufficiently active and representative to provide effective
oversight of the debtor and that the debtor satisfies all the other
requirements for being a small business. A request for a determination
under this subdivision may be filed by the United States trustee or a
party in interest only within a reasonable time after the failure of the
committee to be sufficiently active and representative. The debtor may
file a request for a determination at any time as to whether the
committee has been sufficiently active and representative.
(d) Procedure for Objection or Determination. Any objection or
request for a determination under this rule shall be governed by Rule
9014 and served on: the debtor; the debtor's attorney; the United States
trustee; the trustee; any committee appointed under Sec. 1102 or its
authorized agent, or, if no committee of unsecured creditors has been
appointed under Sec. 1102, the creditors included on the list filed
under Rule 1007(d); and any other entity as the court directs.
(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 23, 2008, eff.
Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 1021
_____. Health Care Business Case_______________________________________
(a) Health Care Business Designation. Unless the court orders
otherwise, if a petition in a case under chapter 7, chapter 9, or
chapter 11 states that the debtor is a health care business, the case
shall proceed as a case in which the debtor is a health care business.
(b) Motion. The United States trustee or a party in interest may
file a motion to determine whether the debtor is a health care business.
The motion shall be transmitted to the United States trustee and served
on: the debtor; the trustee; any committee elected under Sec. 705 or
appointed under Sec. 1102 of the Code or its authorized agent, or, if
the case is a chapter 9 municipality case or a chapter 11 reorganization
case and no committee of unsecured creditors has been appointed under
Sec. 1102, the creditors included on the list filed under Rule 1007(d);
and any other entity as the court directs. The motion shall be governed
by Rule 9014.
(Added Apr. 23, 2008, eff. Dec. 1, 2008.)
PART II--OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; EXAMINATIONS;
ELECTIONS; ATTORNEYS AND ACCOUNTANTS
Rule 2001
_____. Appointment of Interim Trustee Before Order for Relief in a
Chapter 7 Liquidation Case______________________________________________
(a) Appointment. At any time following the commencement of an
involuntary liquidation case and before an order for relief, the court
on written motion of a party in interest may order the appointment of an
interim trustee under Sec. 303(g) of the Code. The motion shall set
forth the necessity for the appointment and may be granted only after
hearing on notice to the debtor, the petitioning creditors, the United
States trustee, and other parties in interest as the court may
designate.
(b) Bond of Movant. An interim trustee may not be appointed under
this rule unless the movant furnishes a bond in an amount approved by
the court, conditioned to indemnify the debtor for costs, attorney's
fee, expenses, and damages allowable under Sec. 303(i) of the Code.
(c) Order of Appointment. The order directing the appointment of an
interim trustee shall state the reason the appointment is necessary and
shall specify the trustee's duties.
(d) Turnover and Report. Following qualification of the trustee
selected under Sec. 702 of the Code, the interim trustee, unless
otherwise ordered, shall (1) forthwith deliver to the trustee all the
records and property of the estate in possession or subject to control
of the interim trustee and, (2) within 30 days thereafter file a final
report and account.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 2002
_____. Notices to Creditors, Equity Security Holders, Administrators in
Foreign Proceedings, Persons Against Whom Provisional Relief is Sought
in Ancillary and Other Cross-Border Cases, United States, and United
States Trustee__________________________________________________________
(a) Twenty-One-Day Notices to Parties in Interest. Except as
provided in subdivisions (h), (i), (l), (p), and (q) of this rule, the
clerk, or some other person as the court may direct, shall give the
debtor, the trustee, all creditors and indenture trustees at least 21
days' notice by mail of:
(1) the meeting of creditors under Sec. 341 or Sec. 1104(b)
of the Code, which notice, unless the court orders otherwise,
shall include the debtor's employer identification number,
social security number, and any other federal taxpayer
identification number;
(2) a proposed use, sale, or lease of property of the estate
other than in the ordinary course of business, unless the court
for cause shown shortens the time or directs another method of
giving notice;
(3) the hearing on approval of a compromise or settlement of
a controversy other than approval of an agreement pursuant to
Rule 4001(d), unless the court for cause shown directs that
notice not be sent;
(4) in a chapter 7 liquidation, a chapter 11 reorganization
case, or a chapter 12 family farmer debt adjustment case, the
hearing on the dismissal of the case or the conversion of the
case to another chapter, unless the hearing is under
Sec. 707(a)(3) or Sec. 707(b) or is on dismissal of the case for
failure to pay the filing fee;
(5) the time fixed to accept or reject a proposed
modification of a plan;
(6) a hearing on any entity's request for compensation or
reimbursement of expenses if the request exceeds $1,000;
(7) the time fixed for filing proofs of claims pursuant to
Rule 3003(c); and
(8) the time fixed for filing objections and the hearing to
consider confirmation of a chapter 12 plan.
(b) Twenty-Eight-Day Notices to Parties in Interest. Except as
provided in subdivision (l) of this rule, the clerk, or some other
person as the court may direct, shall give the debtor, the trustee, all
creditors and indenture trustees not less than 28 days' notice by mail
of the time fixed (1) for filing objections and the hearing to consider
approval of a disclosure statement or, under Sec. 1125(f), to make a
final determination whether the plan provides adequate information so
that a separate disclosure statement is not necessary; and (2) for
filing objections and the hearing to consider confirmation of a chapter
9, chapter 11, or chapter 13 plan.
(c) Content of Notice.
(1) Proposed Use, Sale, or Lease of Property. Subject to
Rule 6004, the notice of a proposed use, sale, or lease of
property required by subdivision (a)(2) of this rule shall
include the time and place of any public sale, the terms and
conditions of any private sale and the time fixed for filing
objections. The notice of a proposed use, sale, or lease of
property, including real estate, is sufficient if it generally
describes the property. The notice of a proposed sale or lease
of personally identifiable information under Sec. 363(b)(1) of
the Code shall state whether the sale is consistent with any
policy prohibiting the transfer of the information.
(2) Notice of Hearing on Compensation. The notice of a
hearing on an application for compensation or reimbursement of
expenses required by subdivision (a)(6) of this rule shall
identify the applicant and the amounts requested.
(3) Notice of Hearing on Confirmation When Plan Provides for
an Injunction. If a plan provides for an injunction against
conduct not otherwise enjoined under the Code, the notice
required under Rule 2002(b)(2) shall:
(A) include in conspicuous language (bold, italic,
or underlined text) a statement that the plan proposes
an injunction;
(B) describe briefly the nature of the injunction;
and
(C) identify the entities that would be subject to
the injunction.
(d) Notice to Equity Security Holders. In a chapter 11
reorganization case, unless otherwise ordered by the court, the clerk,
or some other person as the court may direct, shall in the manner and
form directed by the court give notice to all equity security holders of
(1) the order for relief; (2) any meeting of equity security holders
held pursuant to Sec. 341 of the Code; (3) the hearing on the proposed
sale of all or substantially all of the debtor's assets; (4) the hearing
on the dismissal or conversion of a case to another chapter; (5) the
time fixed for filing objections to and the hearing to consider approval
of a disclosure statement; (6) the time fixed for filing objections to
and the hearing to consider confirmation of a plan; and (7) the time
fixed to accept or reject a proposed modification of a plan.
(e) Notice of No Dividend. In a chapter 7 liquidation case, if it
appears from the schedules that there are no assets from which a
dividend can be paid, the notice of the meeting of creditors may include
a statement to that effect; that it is unnecessary to file claims; and
that if sufficient assets become available for the payment of a
dividend, further notice will be given for the filing of claims.
(f) Other Notices. Except as provided in subdivision (l) of this
rule, the clerk, or some other person as the court may direct, shall
give the debtor, all creditors, and indenture trustees notice by mail
of:
(1) the order for relief;
(2) the dismissal or the conversion of the case to another
chapter, or the suspension of proceedings under Sec. 305;
(3) the time allowed for filing claims pursuant to Rule
3002;
(4) the time fixed for filing a complaint objecting to the
debtor's discharge pursuant to Sec. 727 of the Code as provided
in Rule 4004;
(5) the time fixed for filing a complaint to determine the
dischargeability of a debt pursuant to Sec. 523 of the Code as
provided in Rule 4007;
(6) the waiver, denial, or revocation of a discharge as
provided in Rule 4006;
(7) entry of an order confirming a chapter 9, 11, or 12
plan;
(8) a summary of the trustee's final report in a chapter 7
case if the net proceeds realized exceed $1,500;
(9) a notice under Rule 5008 regarding the presumption of
abuse;
(10) a statement under Sec. 704(b)(1) as to whether the
debtor's case would be presumed to be an abuse under
Sec. 707(b); and
(11) the time to request a delay in the entry of the
discharge under Sec. Sec. 1141(d)(5)(C), 1228(f), and 1328(h).
Notice of the time fixed for accepting or rejecting a plan
pursuant to Rule 3017(c) shall be given in accordance with Rule
3017(d).
(g) Addressing Notices.
(1) Notices required to be mailed under Rule 2002 to a
creditor, indenture trustee, or equity security holder shall be
addressed as such entity or an authorized agent has directed in
its last request filed in the particular case. For the purposes
of this subdivision--
(A) a proof of claim filed by a creditor or
indenture trustee that designates a mailing address
constitutes a filed request to mail notices to that
address, unless a notice of no dividend has been given
under Rule 2002(e) and a later notice of possible
dividend under Rule 3002(c)(5) has not been given; and
(B) a proof of interest filed by an equity security
holder that designates a mailing address constitutes a
filed request to mail notices to that address.
(2) Except as provided in Sec. 342(f) of the Code, if a
creditor or indenture trustee has not filed a request
designating a mailing address under Rule 2002(g)(1) or Rule
5003(e), the notices shall be mailed to the address shown on the
list of creditors or schedule of liabilities, whichever is filed
later. If an equity security holder has not filed a request
designating a mailing address under Rule 2002(g)(1) or Rule
5003(e), the notices shall be mailed to the address shown on the
list of equity security holders.
(3) If a list or schedule filed under Rule 1007 includes the
name and address of a legal representative of an infant or
incompetent person, and a person other than that representative
files a request or proof of claim designating a name and mailing
address that differs from the name and address of the
representative included in the list or schedule, unless the
court orders otherwise, notices under Rule 2002 shall be mailed
to the representative included in the list or schedules and to
the name and address designated in the request or proof of
claim.
(4) Notwithstanding Rule 2002(g)(1)-(3), an entity and a
notice provider may agree that when the notice provider is
directed by the court to give a notice, the notice provider
shall give the notice to the entity in the manner agreed to and
at the address or addresses the entity supplies to the notice
provider. That address is conclusively presumed to be a proper
address for the notice. The notice provider's failure to use the
supplied address does not invalidate any notice that is
otherwise effective under applicable law.
(5) A creditor may treat a notice as not having been brought
to the creditor's attention under Sec. 342(g)(1) only if, prior
to issuance of the notice, the creditor has filed a statement
that designates the name and address of the person or
organizational subdivision of the creditor responsible for
receiving notices under the Code, and that describes the
procedures established by the creditor to cause such notices to
be delivered to the designated person or subdivision.
(h) Notices to Creditors Whose Claims are Filed. In a chapter 7
case, after 90 days following the first date set for the meeting of
creditors under Sec. 341 of the Code, the court may direct that all
notices required by subdivision (a) of this rule be mailed only to the
debtor, the trustee, all indenture trustees, creditors that hold claims
for which proofs of claim have been filed, and creditors, if any, that
are still permitted to file claims by reason of an extension granted
pursuant to Rule 3002(c)(1) or (c)(2). In a case where notice of
insufficient assets to pay a dividend has been given to creditors
pursuant to subdivision (e) of this rule, after 90 days following the
mailing of a notice of the time for filing claims pursuant to Rule
3002(c)(5), the court may direct that notices be mailed only to the
entities specified in the preceding sentence.
(i) Notices to Committees. Copies of all notices required to be
mailed pursuant to this rule shall be mailed to the committees elected
under Sec. 705 or appointed under Sec. 1102 of the Code or to their
authorized agents. Notwithstanding the foregoing subdivisions, the court
may order that notices required by subdivision (a)(2), (3) and (6) of
this rule be transmitted to the United States trustee and be mailed only
to the committees elected under Sec. 705 or appointed under Sec. 1102 of
the Code or to their authorized agents and to the creditors and equity
security holders who serve on the trustee or debtor in possession and
file a request that all notices be mailed to them. A committee appointed
under Sec. 1114 shall receive copies of all notices required by
subdivisions (a)(1), (a)(5), (b), (f)(2), and (f)(7), and such other
notices as the court may direct.
(j) Notices to the United States. Copies of notices required to be
mailed to all creditors under this rule shall be mailed (1) in a chapter
11 reorganization case, to the Securities and Exchange Commission at any
place the Commission designates, if the Commission has filed either a
notice of appearance in the case or a written request to receive
notices; (2) in a commodity broker case, to the Commodity Futures
Trading Commission at Washington, D.C.; (3) in a chapter 11 case, to the
Internal Revenue Service at its address set out in the register
maintained under Rule 5003(e) for the district in which the case is
pending; (4) if the papers in the case disclose a debt to the United
States other than for taxes, to the United States attorney for the
district in which the case is pending and to the department, agency, or
instrumentality of the United States through which the debtor became
indebted; or (5) if the filed papers disclose a stock interest of the
United States, to the Secretary of the Treasury at Washington, D.C.
(k) Notices to United States Trustee. Unless the case is a chapter 9
municipality case or unless the United States trustee requests
otherwise, the clerk, or some other person as the court may direct,
shall transmit to the United States trustee notice of the matters
described in subdivisions (a)(2), (a)(3), (a)(4), (a)(8), (b), (f)(1),
(f)(2), (f)(4), (f)(6), (f)(7), (f)(8), and (q) of this rule and notice
of hearings on all applications for compensation or reimbursement of
expenses. Notices to the United States trustee shall be transmitted
within the time prescribed in subdivision (a) or (b) of this rule. The
United States trustee shall also receive notice of any other matter if
such notice is requested by the United States trustee or ordered by the
court. Nothing in these rules requires the clerk or any other person to
transmit to the United States trustee any notice, schedule, report,
application or other document in a case under the Securities Investor
Protection Act, 15 U.S.C. Sec. 78aaa et. seq.
(l) Notice by Publication. The court may order notice by publication
if it finds that notice by mail is impracticable or that it is desirable
to supplement the notice.
(m) Orders Designating Matter of Notices. The court may from time to
time enter orders designating the matters in respect to which, the
entity to whom, and the form and manner in which notices shall be sent
except as otherwise provided by these rules.
(n) Caption. The caption of every notice given under this rule shall
comply with Rule 1005. The caption of every notice required to be given
by the debtor to a creditor shall include the information required to be
in the notice by Sec. 342(c) of the Code.
(o) Notice of Order for Relief in Consumer Case. In a voluntary case
commenced by an individual debtor whose debts are primarily consumer
debts, the clerk or some other person as the court may direct shall give
the trustee and all creditors notice by mail of the order for relief
within 21 days from the date thereof.
(p) Notice to a Creditor With a Foreign Address.
(1) If, at the request of the United States trustee or a
party in interest, or on its own initiative, the court finds
that a notice mailed within the time prescribed by these rules
would not be sufficient to give a creditor with a foreign
address to which notices under these rules are mailed reasonable
notice under the circumstances, the court may order that the
notice be supplemented with notice by other means or that the
time prescribed for the notice by mail be enlarged.
(2) Unless the court for cause orders otherwise, a creditor
with a foreign address to which notices under this rule are
mailed shall be given at least 30 days' notice of the time fixed
for filing a proof of claim under Rule 3002(c) or Rule 3003(c).
(3) Unless the court for cause orders otherwise, the mailing
address of a creditor with a foreign address shall be determined
under Rule 2002(g).
(q) Notice of Petition for Recognition of Foreign Proceeding and of
Court's Intention to Communicate With Foreign Courts and Foreign
Representatives.
(1) Notice of Petition for Recognition. The clerk, or some
other person as the court may direct, shall forthwith give the
debtor, all persons or bodies authorized to administer foreign
proceedings of the debtor, all entities against whom provisional
relief is being sought under Sec. 1519 of the Code, all parties
to litigation pending in the United States in which the debtor
is a party at the time of the filing of the petition, and such
other entities as the court may direct, at least 21 days' notice
by mail of the hearing on the petition for recognition of a
foreign proceeding. The notice shall state whether the petition
seeks recognition as a foreign main proceeding or foreign
nonmain proceeding.
(2) Notice of Court's Intention to Communicate with Foreign
Courts and Foreign Representatives. The clerk, or some other
person as the court may direct, shall give the debtor, all
persons or bodies authorized to administer foreign proceedings
of the debtor, all entities against whom provisional relief is
being sought under Sec. 1519 of the Code, all parties to
litigation pending in the United States in which the debtor is a
party at the time of the filing of the petition, and such other
entities as the court may direct, notice by mail of the court's
intention to communicate with a foreign court or foreign
representative.
(As amended Pub. L. 98-91, Sec. 2(a), Aug. 30, 1983, 97 Stat. 607; Pub.
L. 98-353, title III, Sec. 321, July 10, 1984, 98 Stat. 357; Mar. 30,
1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22,
1993, eff. Aug. 1, 1993; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 11,
1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 17,
2000, eff. Dec. 1, 2000; Apr. 23, 2001, eff. Dec. 1, 2001; Mar. 27,
2003, eff. Dec. 1, 2003; Apr. 26, 2004, eff. Dec. 1, 2004; Apr. 25,
2005, eff. Dec. 1, 2005; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26,
2009, eff. Dec. 1, 2009.)
Rule 2003
_____. Meeting of Creditors or Equity Security Holders_________________
(a) Date and Place. Except as otherwise provided in Sec. 341(e) of
the Code, in a chapter 7 liquidation or a chapter 11 reorganization
case, the United States trustee shall call a meeting of creditors to be
held no fewer than 21 and no more than 40 days after the order for
relief. In a chapter 12 family farmer debt adjustment case, the United
States trustee shall call a meeting of creditors to be held no fewer
than 21 and no more than 35 days after the order for relief. In a
chapter 13 individual's debt adjustment case, the United States trustee
shall call a meeting of creditors to be held no fewer than 21 and no
more than 50 days after the order for relief. If there is an appeal from
or a motion to vacate the order for relief, or if there is a motion to
dismiss the case, the United States trustee may set a later date for the
meeting. The meeting may be held at a regular place for holding court or
at any other place designated by the United States trustee within the
district convenient for the parties in interest. If the United States
trustee designates a place for the meeting which is not regularly
staffed by the United States trustee or an assistant who may preside at
the meeting, the meeting may be held not more than 60 days after the
order for relief.
(b) Order of Meeting.
(1) Meeting of Creditors. The United States trustee shall
preside at the meeting of creditors. The business of the meeting
shall include the examination of the debtor under oath and, in a
chapter 7 liquidation case, may include the election of a
creditors' committee and, if the case is not under subchapter V
of chapter 7, the election of a trustee. The presiding officer
shall have the authority to administer oaths.
(2) Meeting of Equity Security Holders. If the United States
trustee convenes a meeting of equity security holders pursuant
to Sec. 341(b) of the Code, the United States trustee shall fix
a date for the meeting and shall preside.
(3) Right To Vote. In a chapter 7 liquidation case, a
creditor is entitled to vote at a meeting if, at or before the
meeting, the creditor has filed a proof of claim or a writing
setting forth facts evidencing a right to vote pursuant to
Sec. 702(a) of the Code unless objection is made to the claim or
the proof of claim is insufficient on its face. A creditor of a
partnership may file a proof of claim or writing evidencing a
right to vote for the trustee for the estate of the general
partner notwithstanding that a trustee for the estate of the
partnership has previously qualified. In the event of an
objection to the amount or allowability of a claim for the
purpose of voting, unless the court orders otherwise, the United
States trustee shall tabulate the votes for each alternative
presented by the dispute and, if resolution of such dispute is
necessary to determine the result of the election, the
tabulations for each alternative shall be reported to the court.
(c) Record of Meeting. Any examination under oath at the meeting of
creditors held pursuant to Sec. 341(a) of the Code shall be recorded
verbatim by the United States trustee using electronic sound recording
equipment or other means of recording, and such record shall be
preserved by the United States trustee and available for public access
until two years after the conclusion of the meeting of creditors. Upon
request of any entity, the United States trustee shall certify and
provide a copy or transcript of such recording at the entity's expense.
(d) Report of Election and Resolution of Disputes in a Chapter 7
Case.
(1) Report of Undisputed Election. In a chapter 7 case, if
the election of a trustee or a member of a creditors' committee
is not disputed, the United States trustee shall promptly file a
report of the election, including the name and address of the
person or entity elected and a statement that the election is
undisputed.
(2) Disputed Election. If the election is disputed, the
United States trustee shall promptly file a report stating that
the election is disputed, informing the court of the nature of
the dispute, and listing the name and address of any candidate
elected under any alternative presented by the dispute. No later
than the date on which the report is filed, the United States
trustee shall mail a copy of the report to any party in interest
that has made a request to receive a copy of the report. Pending
disposition by the court of a disputed election for trustee, the
interim trustee shall continue in office. Unless a motion for
the resolution of the dispute is filed no later than 14 days
after the United States trustee files a report of a disputed
election for trustee, the interim trustee shall serve as trustee
in the case.
(e) Adjournment. The meeting may be adjourned from time to time by
announcement at the meeting of the adjourned date and time without
further written notice.
(f) Special Meetings. The United States trustee may call a special
meeting of creditors on request of a party in interest or on the United
States trustee's own initiative.
(g) Final Meeting. If the United States trustee calls a final
meeting of creditors in a case in which the net proceeds realized exceed
$1,500, the clerk shall mail a summary of the trustee's final account to
the creditors with a notice of the meeting, together with a statement of
the amount of the claims allowed. The trustee shall attend the final
meeting and shall, if requested, report on the administration of the
estate.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1,
1999; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 23, 2008, eff. Dec. 1,
2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 2004
_____. Examination_____________________________________________________
(a) Examination on Motion. On motion of any party in interest, the
court may order the examination of any entity.
(b) Scope of Examination. The examination of an entity under this
rule or of the debtor under Sec. 343 of the Code may relate only to the
acts, conduct, or property or to the liabilities and financial condition
of the debtor, or to any matter which may affect the administration of
the debtor's estate, or to the debtor's right to a discharge. In a
family farmer's debt adjustment case under chapter 12, an individual's
debt adjustment case under chapter 13, or a reorganization case under
chapter 11 of the Code, other than for the reorganization of a railroad,
the examination may also relate to the operation of any business and the
desirability of its continuance, the source of any money or property
acquired or to be acquired by the debtor for purposes of consummating a
plan and the consideration given or offered therefor, and any other
matter relevant to the case or to the formulation of a plan.
(c) Compelling Attendance and Production of Documents. The
attendance of an entity for examination and for the production of
documents, whether the examination is to be conducted within or without
the district in which the case is pending, may be compelled as provided
in Rule 9016 for the attendance of a witness at a hearing or trial. As
an officer of the court, an attorney may issue and sign a subpoena on
behalf of the court for the district in which the examination is to be
held if the attorney is admitted to practice in that court or in the
court in which the case is pending.
(d) Time and Place of Examination of Debtor. The court may for cause
shown and on terms as it may impose order the debtor to be examined
under this rule at any time or place it designates, whether within or
without the district wherein the case is pending.
(e) Mileage. An entity other than a debtor shall not be required to
attend as a witness unless lawful mileage and witness fee for one day's
attendance shall be first tendered. If the debtor resides more than 100
miles from the place of examination when required to appear for an
examination under this rule, the mileage allowed by law to a witness
shall be tendered for any distance more than 100 miles from the debtor's
residence at the date of the filing of the first petition commencing a
case under the Code or the residence at the time the debtor is required
to appear for the examination, whichever is the lesser.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 29, 2002, eff. Dec. 1, 2002.)
Rule 2005
_____. Apprehension and Removal of Debtor to Compel Attendance for
Examination_____________________________________________________________
(a) Order To Compel Attendance for Examination. On motion of any
party in interest supported by an affidavit alleging (1) that the
examination of the debtor is necessary for the proper administration of
the estate and that there is reasonable cause to believe that the debtor
is about to leave or has left the debtor's residence or principal place
of business to avoid examination, or (2) that the debtor has evaded
service of a subpoena or of an order to attend for examination, or (3)
that the debtor has willfully disobeyed a subpoena or order to attend
for examination, duly served, the court may issue to the marshal, or
some other officer authorized by law, an order directing the officer to
bring the debtor before the court without unnecessary delay. If, after
hearing, the court finds the allegations to be true, the court shall
thereupon cause the debtor to be examined forthwith. If necessary, the
court shall fix conditions for further examination and for the debtor's
obedience to all orders made in reference thereto.
(b) Removal. Whenever any order to bring the debtor before the court
is issued under this rule and the debtor is found in a district other
than that of the court issuing the order, the debtor may be taken into
custody under the order and removed in accordance with the following
rules:
(1) If the debtor is taken into custody under the order at a
place less than 100 miles from the place of issue of the order,
the debtor shall be brought forthwith before the court that
issued the order.
(2) If the debtor is taken into custody under the order at a
place 100 miles or more from the place of issue of the order,
the debtor shall be brought without unnecessary delay before the
nearest available United States magistrate judge, bankruptcy
judge, or district judge. If, after hearing, the magistrate
judge, bankruptcy judge, or district judge finds that an order
has issued under this rule and that the person in custody is the
debtor, or if the person in custody waives a hearing, the
magistrate judge, bankruptcy judge, or district judge shall
order removal, and the person in custody shall be released on
conditions ensuring prompt appearance before the court that
issued the order to compel the attendance.
(c) Conditions of Release. In determining what conditions will
reasonably assure attendance or obedience under subdivision (a) of this
rule or appearance under subdivision (b) of this rule, the court shall
be governed by the provisions and policies of title 18, U.S.C.,
Sec. 3146(a) and (b).
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug.
1, 1993.)
Rule 2006
_____. Solicitation and Voting of Proxies in Chapter 7 Liquidation
Cases___________________________________________________________________
(a) Applicability. This rule applies only in a liquidation case
pending under chapter 7 of the Code.
(b) Definitions.
(1) Proxy. A proxy is a written power of attorney
authorizing any entity to vote the claim or otherwise act as the
owner's attorney in fact in connection with the administration
of the estate.
(2) Solicitation of Proxy. The solicitation of a proxy is
any communication, other than one from an attorney to a regular
client who owns a claim or from an attorney to the owner of a
claim who has requested the attorney to represent the owner, by
which a creditor is asked, directly or indirectly, to give a
proxy after or in contemplation of the filing of a petition by
or against the debtor.
(c) Authorized Solicitation.
(1) A proxy may be solicited only by (A) a creditor owning
an allowable unsecured claim against the estate on the date of
the filing of the petition; (B) a committee elected pursuant to
Sec. 705 of the Code; (C) a committee of creditors selected by a
majority in number and amount of claims of creditors (i) whose
claims are not contingent or unliquidated, (ii) who are not
disqualified from voting under Sec. 702(a) of the Code and (iii)
who were present or represented at a meeting of which all
creditors having claims of over $500 or the 100 creditors having
the largest claims had at least seven days' notice in writing
and of which meeting written minutes were kept and are available
reporting the names of the creditors present or represented and
voting and the amounts of their claims; or (D) a bona fide trade
or credit association, but such association may solicit only
creditors who were its members or subscribers in good standing
and had allowable unsecured claims on the date of the filing of
the petition.
(2) A proxy may be solicited only in writing.
(d) Solicitation Not Authorized. This rule does not permit
solicitation (1) in any interest other than that of general creditors;
(2) by or on behalf of any custodian; (3) by the interim trustee or by
or on behalf of any entity not qualified to vote under Sec. 702(a) of
the Code; (4) by or on behalf of an attorney at law; or (5) by or on
behalf of a transferee of a claim for collection only.
(e) Data Required From Holders of Multiple Proxies. At any time
before the voting commences at any meeting of creditors pursuant to
Sec. 341(a) of the Code, or at any other time as the court may direct, a
holder of two or more proxies shall file and transmit to the United
States trustee a verified list of the proxies to be voted and a verified
statement of the pertinent facts and circumstances in connection with
the execution and delivery of each proxy, including:
(1) a copy of the solicitation;
(2) identification of the solicitor, the forwarder, if the
forwarder is neither the solicitor nor the owner of the claim,
and the proxyholder, including their connections with the debtor
and with each other. If the solicitor, forwarder, or proxyholder
is an association, there shall also be included a statement that
the creditors whose claims have been solicited and the creditors
whose claims are to be voted were members or subscribers in good
standing and had allowable unsecured claims on the date of the
filing of the petition. If the solicitor, forwarder, or
proxyholder is a committee of creditors, the statement shall
also set forth the date and place the committee was organized,
that the committee was organized in accordance with clause (B)
or (C) of paragraph (c)(1) of this rule, the members of the
committee, the amounts of their claims, when the claims were
acquired, the amounts paid therefor, and the extent to which the
claims of the committee members are secured or entitled to
priority;
(3) a statement that no consideration has been paid or
promised by the proxyholder for the proxy;
(4) a statement as to whether there is any agreement and, if
so, the particulars thereof, between the proxyholder and any
other entity for the payment of any consideration in connection
with voting the proxy, or for the sharing of compensation with
any entity, other than a member or regular associate of the
proxyholder's law firm, which may be allowed the trustee or any
entity for services rendered in the case, or for the employment
of any person as attorney, accountant, appraiser, auctioneer, or
other employee for the estate;
(5) if the proxy was solicited by an entity other than the
proxyholder, or forwarded to the holder by an entity who is
neither a solicitor of the proxy nor the owner of the claim, a
statement signed and verified by the solicitor or forwarder that
no consideration has been paid or promised for the proxy, and
whether there is any agreement, and, if so, the particulars
thereof, between the solicitor or forwarder and any other entity
for the payment of any consideration in connection with voting
the proxy, or for sharing compensation with any entity other
than a member or regular associate of the solicitor's or
forwarder's law firm which may be allowed the trustee or any
entity for services rendered in the case, or for the employment
of any person as attorney, accountant, appraiser, auctioneer, or
other employee for the estate;
(6) if the solicitor, forwarder, or proxyholder is a
committee, a statement signed and verified by each member as to
the amount and source of any consideration paid or to be paid to
such member in connection with the case other than by way of
dividend on the member's claim.
(f) Enforcement of Restrictions on Solicitation. On motion of any
party in interest or on its own initiative, the court may determine
whether there has been a failure to comply with the provisions of this
rule or any other impropriety in connection with the solicitation or
voting of a proxy. After notice and a hearing the court may reject any
proxy for cause, vacate any order entered in consequence of the voting
of any proxy which should have been rejected, or take any other
appropriate action.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 2007
_____. Review of Appointment of Creditors' Committee Organized Before
Commencement of the Case________________________________________________
(a) Motion To Review Appointment. If a committee appointed by the
United States trustee pursuant to Sec. 1102(a) of the Code consists of
the members of a committee organized by creditors before the
commencement of a chapter 9 or chapter 11 case, on motion of a party in
interest and after a hearing on notice to the United States trustee and
other entities as the court may direct, the court may determine whether
the appointment of the committee satisfies the requirements of
Sec. 1102(b)(1) of the Code.
(b) Selection of Members of Committee. The court may find that a
committee organized by unsecured creditors before the commencement of a
chapter 9 or chapter 11 case was fairly chosen if:
(1) it was selected by a majority in number and amount of
claims of unsecured creditors who may vote under Sec. 702(a) of
the Code and were present in person or represented at a meeting
of which all creditors having unsecured claims of over $1,000 or
the 100 unsecured creditors having the largest claims had at
least seven days' notice in writing, and of which meeting
written minutes reporting the names of the creditors present or
represented and voting and the amounts of their claims were kept
and are available for inspection;
(2) all proxies voted at the meeting for the elected
committee were solicited pursuant to Rule 2006 and the lists and
statements required by subdivision (e) thereof have been
transmitted to the United States trustee; and
(3) the organization of the committee was in all other
respects fair and proper.
(c) Failure To Comply With Requirements for Appointment. After a
hearing on notice pursuant to subdivision (a) of this rule, the court
shall direct the United States trustee to vacate the appointment of the
committee and may order other appropriate action if the court finds that
such appointment failed to satisfy the requirements of Sec. 1102(b)(1)
of the Code.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 2007.1
_____. Appointment of Trustee or Examiner in a Chapter 11
Reorganization Case_____________________________________________________
(a) Order To Appoint Trustee or Examiner. In a chapter 11
reorganization case, a motion for an order to appoint a trustee or an
examiner under Sec. 1104(a) or Sec. 1104(c) of the Code shall be made in
accordance with Rule 9014.
(b) Election of Trustee.
(1) Request for an Election. A request to convene a meeting
of creditors for the purpose of electing a trustee in a chapter
11 reorganization case shall be filed and transmitted to the
United States trustee in accordance with Rule 5005 within the
time prescribed by Sec. 1104(b) of the Code. Pending court
approval of the person elected, any person appointed by the
United States trustee under Sec. 1104(d) and approved in
accordance with subdivision (c) of this rule shall serve as
trustee.
(2) Manner of Election and Notice. An election of a trustee
under Sec. 1104(b) of the Code shall be conducted in the manner
provided in Rules 2003(b)(3) and 2006. Notice of the meeting of
creditors convened under Sec. 1104(b) shall be given as provided
in Rule 2002. The United States trustee shall preside at the
meeting. A proxy for the purpose of voting in the election may
be solicited only by a committee of creditors appointed under
Sec. 1102 of the Code or by any other party entitled to solicit
a proxy pursuant to Rule 2006.
(3) Report of Election and Resolution of Disputes.
(A) Report of Undisputed Election. If no dispute
arises out of the election, the United States trustee
shall promptly file a report certifying the election,
including the name and address of the person elected and
a statement that the election is undisputed. The report
shall be accompanied by a verified statement of the
person elected setting forth that person's connections
with the debtor, creditors, any other party in interest,
their respective attorneys and accountants, the United
States trustee, or any person employed in the office of
the United States trustee.
(B) Dispute Arising Out of an Election. If a dispute
arises out of an election, the United States trustee
shall promptly file a report stating that the election
is disputed, informing the court of the nature of the
dispute, and listing the name and address of any
candidate elected under any alternative presented by the
dispute. The report shall be accompanied by a verified
statement by each candidate elected under each
alternative presented by the dispute, setting forth the
person's connections with the debtor, creditors, any
other party in interest, their respective attorneys and
accountants, the United States trustee, or any person
employed in the office of the United States trustee. Not
later than the date on which the report of the disputed
election is filed, the United States trustee shall mail
a copy of the report and each verified statement to any
party in interest that has made a request to convene a
meeting under Sec. 1104(b) or to receive a copy of the
report, and to any committee appointed under Sec. 1102
of the Code.
(c) Approval of Appointment. An order approving the appointment of a
trustee or an examiner under Sec. 1104(d) of the Code shall be made on
application of the United States trustee. The application shall state
the name of the person appointed and, to the best of the applicant's
knowledge, all the person's connections with the debtor, creditors, any
other parties in interest, their respective attorneys and accountants,
the United States trustee, or persons employed in the office of the
United States trustee. The application shall state the names of the
parties in interest with whom the United States trustee consulted
regarding the appointment. The application shall be accompanied by a
verified statement of the person appointed setting forth the person's
connections with the debtor, creditors, any other party in interest,
their respective attorneys and accountants, the United States trustee,
or any person employed in the office of the United States trustee.
(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff.
Dec. 1, 1997; Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 2007.2
_____. Appointment of Patient Care Ombudsman in a Health Care Business
Case____________________________________________________________________
(a) Order to Appoint Patient Care Ombudsman. In a chapter 7, chapter
9, or chapter 11 case in which the debtor is a health care business, the
court shall order the appointment of a patient care ombudsman under
Sec. 333 of the Code, unless the court, on motion of the United States
trustee or a party in interest filed no later than 21 days after the
commencement of the case or within another time fixed by the court,
finds that the appointment of a patient care ombudsman is not necessary
under the specific circumstances of the case for the protection of
patients.
(b) Motion for Order To Appoint Ombudsman. If the court has found
that the appointment of an ombudsman is not necessary, or has terminated
the appointment, the court, on motion of the United States trustee or a
party in interest, may order the appointment at a later time if it finds
that the appointment has become necessary to protect patients.
(c) Notice of Appointment. If a patient care ombudsman is appointed
under Sec. 333, the United States trustee shall promptly file a notice
of the appointment, including the name and address of the person
appointed. Unless the person appointed is a State Long-Term Care
Ombudsman, the notice shall be accompanied by a verified statement of
the person appointed setting forth the person's connections with the
debtor, creditors, patients, any other party in interest, their
respective attorneys and accountants, the United States trustee, and any
person employed in the office of the United States trustee.
(d) Termination of Appointment. On motion of the United States
trustee or a party in interest, the court may terminate the appointment
of a patient care ombudsman if the court finds that the appointment is
not necessary to protect patients.
(e) Motion. A motion under this rule shall be governed by Rule 9014.
The motion shall be transmitted to the United States trustee and served
on: the debtor; the trustee; any committee elected under Sec. 705 or
appointed under Sec. 1102 of the Code or its authorized agent, or, if
the case is a chapter 9 municipality case or a chapter 11 reorganization
case and no committee of unsecured creditors has been appointed under
Sec. 1102, on the creditors included on the list filed under Rule
1007(d); and such other entities as the court may direct.
(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff.
Dec. 1, 2009.)
Rule 2008
_____. Notice to Trustee of Selection__________________________________
The United States trustee shall immediately notify the person
selected as trustee how to qualify and, if applicable, the amount of the
trustee's bond. A trustee that has filed a blanket bond pursuant to Rule
2010 and has been selected as trustee in a chapter 7, chapter 12, or
chapter 13 case that does not notify the court and the United States
trustee in writing of rejection of the office within seven days after
receipt of notice of selection shall be deemed to have accepted the
office. Any other person selected as trustee shall notify the court and
the United States trustee in writing of acceptance of the office within
seven days after receipt of notice of selection or shall be deemed to
have rejected the office.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 2009
_____. Trustees for Estates When Joint Administration Ordered__________
(a) Election of Single Trustee for Estates Being Jointly
Administered. If the court orders a joint administration of two or more
estates under Rule 1015(b), creditors may elect a single trustee for the
estates being jointly administered, unless the case is under subchapter
V of chapter 7 of the Code.
(b) Right of Creditors To Elect Separate Trustee. Notwithstanding
entry of an order for joint administration under Rule 1015(b), the
creditors of any debtor may elect a separate trustee for the estate of
the debtor as provided in Sec. 702 of the Code, unless the case is under
subchapter V of chapter 7.
(c) Appointment of Trustees for Estates Being Jointly Administered.
(1) Chapter 7 Liquidation Cases. Except in a case governed
by subchapter V of chapter 7, the United States trustee may
appoint one or more interim trustees for estates being jointly
administered in chapter 7 cases.
(2) Chapter 11 Reorganization Cases. If the appointment of a
trustee is ordered, the United States trustee may appoint one or
more trustees for estates being jointly administered in chapter
11 cases.
(3) Chapter 12 Family Farmer's Debt Adjustment Cases. The
United States trustee may appoint one or more trustees for
estates being jointly administered in chapter 12 cases.
(4) Chapter 13 Individual's Debt Adjustment Cases. The
United States trustee may appoint one or more trustees for
estates being jointly administered in chapter 13 cases.
(d) Potential Conflicts of Interest. On a showing that creditors or
equity security holders of the different estates will be prejudiced by
conflicts of interest of a common trustee who has been elected or
appointed, the court shall order the selection of separate trustees for
estates being jointly administered.
(e) Separate Accounts. The trustee or trustees of estates being
jointly administered shall keep separate accounts of the property and
distribution of each estate.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Mar. 27, 2003, eff. Dec. 1, 2003.)
Rule 2010
_____. Qualification by Trustee; Proceeding on Bond____________________
(a) Blanket Bond. The United States trustee may authorize a blanket
bond in favor of the United States conditioned on the faithful
performance of official duties by the trustee or trustees to cover (1) a
person who qualifies as trustee in a number of cases, and (2) a number
of trustees each of whom qualifies in a different case.
(b) Proceeding on Bond. A proceeding on the trustee's bond may be
brought by any party in interest in the name of the United States for
the use of the entity injured by the breach of the condition.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 2011
_____. Evidence of Debtor in Possession or Qualification of Trustee____
(a) Whenever evidence is required that a debtor is a debtor in
possession or that a trustee has qualified, the clerk may so certify and
the certificate shall constitute conclusive evidence of that fact.
(b) If a person elected or appointed as trustee does not qualify
within the time prescribed by Sec. 322(a) of the Code, the clerk shall
so notify the court and the United States trustee.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 2012
_____. Substitution of Trustee or Successor Trustee; Accounting________
(a) Trustee. If a trustee is appointed in a chapter 11 case or the
debtor is removed as debtor in possession in a chapter 12 case, the
trustee is substituted automatically for the debtor in possession as a
party in any pending action, proceeding, or matter.
(b) Successor Trustee. When a trustee dies, resigns, is removed, or
otherwise ceases to hold office during the pendency of a case under the
Code (1) the successor is automatically substituted as a party in any
pending action, proceeding, or matter; and (2) the successor trustee
shall prepare, file, and transmit to the United States trustee an
accounting of the prior administration of the estate.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 2013
_____. Public Record of Compensation Awarded to Trustees, Examiners,
and Professionals_______________________________________________________
(a) Record To Be Kept. The clerk shall maintain a public record
listing fees awarded by the court (1) to trustees and attorneys,
accountants, appraisers, auctioneers and other professionals employed by
trustees, and (2) to examiners. The record shall include the name and
docket number of the case, the name of the individual or firm receiving
the fee and the amount of the fee awarded. The record shall be
maintained chronologically and shall be kept current and open to
examination by the public without charge. ``Trustees,'' as used in this
rule, does not include debtors in possession.
(b) Summary of Record. At the close of each annual period, the clerk
shall prepare a summary of the public record by individual or firm name,
to reflect total fees awarded during the preceding year. The summary
shall be open to examination by the public without charge. The clerk
shall transmit a copy of the summary to the United States trustee.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 2014
_____. Employment of Professional Persons______________________________
(a) Application for and Order of Employment. An order approving the
employment of attorneys, accountants, appraisers, auctioneers, agents,
or other professionals pursuant to Sec. 327, Sec. 1103, or Sec. 1114 of
the Code shall be made only on application of the trustee or committee.
The application shall be filed and, unless the case is a chapter 9
municipality case, a copy of the application shall be transmitted by the
applicant to the United States trustee. The application shall state the
specific facts showing the necessity for the employment, the name of the
person to be employed, the reasons for the selection, the professional
services to be rendered, any proposed arrangement for compensation, and,
to the best of the applicant's knowledge, all of the person's
connections with the debtor, creditors, any other party in interest,
their respective attorneys and accountants, the United States trustee,
or any person employed in the office of the United States trustee. The
application shall be accompanied by a verified statement of the person
to be employed setting forth the person's connections with the debtor,
creditors, any other party in interest, their respective attorneys and
accountants, the United States trustee, or any person employed in the
office of the United States trustee.
(b) Services Rendered by Member or Associate of Firm of Attorneys or
Accountants. If, under the Code and this rule, a law partnership or
corporation is employed as an attorney, or an accounting partnership or
corporation is employed as an accountant, or if a named attorney or
accountant is employed, any partner, member, or regular associate of the
partnership, corporation, or individual may act as attorney or
accountant so employed, without further order of the court.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 2015
_____. Duty to Keep Records, Make Reports, and Give Notice of Case or
Change of Status________________________________________________________
(a) Trustee or Debtor in Possession. A trustee or debtor in
possession shall:
(1) in a chapter 7 liquidation case and, if the court
directs, in a chapter 11 reorganization case file and transmit
to the United States trustee a complete inventory of the
property of the debtor within 30 days after qualifying as a
trustee or debtor in possession, unless such an inventory has
already been filed;
(2) keep a record of receipts and the disposition of money
and property received;
(3) file the reports and summaries required by Sec. 704(8)
of the Code which shall include a statement, if payments are
made to employees, of the amounts of deductions for all taxes
required to be withheld or paid for and in behalf of employees
and the place where these amounts are deposited;
(4) as soon as possible after the commencement of the case,
give notice of the case to every entity known to be holding
money or property subject to withdrawal or order of the debtor,
including every bank, savings or building and loan association,
public utility company, and landlord with whom the debtor has a
deposit, and to every insurance company which has issued a
policy having a cash surrender value payable to the debtor,
except that notice need not be given to any entity who has
knowledge or has previously been notified of the case;
(5) in a chapter 11 reorganization case, on or before the
last day of the month after each calendar quarter during which
there is a duty to pay fees under 28 U.S.C. Sec. 1930(a)(6),
file and transmit to the United States trustee a statement of
any disbursements made during that quarter and of any fees
payable under 28 U.S.C. Sec. 1930(a)(6) for that quarter; and
(6) in a chapter 11 small business case, unless the court,
for cause, sets another reporting interval, file and transmit to
the United States trustee for each calendar month after the
order for relief, on the appropriate Official Form, the report
required by Sec. 308. If the order for relief is within the
first 15 days of a calendar month, a report shall be filed for
the portion of the month that follows the order for relief. If
the order for relief is after the 15th day of a calendar month,
the period for the remainder of the month shall be included in
the report for the next calendar month. Each report shall be
filed no later than 21 days after the last day of the calendar
month following the month covered by the report. The obligation
to file reports under this subparagraph terminates on the
effective date of the plan, or conversion or dismissal of the
case.
(b) Chapter 12 Trustee and Debtor in Possession. In a chapter 12
family farmer's debt adjustment case, the debtor in possession shall
perform the duties prescribed in clauses (2)-(4) of subdivision (a) of
this rule and, if the court directs, shall file and transmit to the
United States trustee a complete inventory of the property of the debtor
within the time fixed by the court. If the debtor is removed as debtor
in possession, the trustee shall perform the duties of the debtor in
possession prescribed in this paragraph.
(c) Chapter 13 Trustee and Debtor.
(1) Business Cases. In a chapter 13 individual's debt
adjustment case, when the debtor is engaged in business, the
debtor shall perform the duties prescribed by clauses (2)-(4) of
subdivision (a) of this rule and, if the court directs, shall
file and transmit to the United States trustee a complete
inventory of the property of the debtor within the time fixed by
the court.
(2) Nonbusiness Cases. In a chapter 13 individual's debt
adjustment case, when the debtor is not engaged in business, the
trustee shall perform the duties prescribed by clause (2) of
subdivision (a) of this rule.
(d) Foreign Representative. In a case in which the court has granted
recognition of a foreign proceeding under chapter 15, the foreign
representative shall file any notice required under Sec. 1518 of the
Code within 14 days after the date when the representative becomes aware
of the subsequent information.
(e) Transmission of Reports. In a chapter 11 case the court may
direct that copies or summaries of annual reports and copies or
summaries of other reports shall be mailed to the creditors, equity
security holders, and indenture trustees. The court may also direct the
publication of summaries of any such reports. A copy of every report or
summary mailed or published pursuant to this subdivision shall be
transmitted to the United States trustee.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 29, 2002, eff. Dec. 1,
2002; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 2015.1
_____. Patient Care Ombudsman__________________________________________
(a) Reports. A patient care ombudsman, at least 14 days before
making a report under Sec. 333(b)(2) of the Code, shall give notice that
the report will be made to the court, unless the court orders otherwise.
The notice shall be transmitted to the United States trustee, posted
conspicuously at the health care facility that is the subject of the
report, and served on: the debtor; the trustee; all patients; and any
committee elected under Sec. 705 or appointed under Sec. 1102 of the
Code or its authorized agent, or, if the case is a chapter 9
municipality case or a chapter 11 reorganization case and no committee
of unsecured creditors has been appointed under Sec. 1102, on the
creditors included on the list filed under Rule 1007(d); and such other
entities as the court may direct. The notice shall state the date and
time when the report will be made, the manner in which the report will
be made, and, if the report is in writing, the name, address, telephone
number, email address, and website, if any, of the person from whom a
copy of the report may be obtained at the debtor's expense.
(b) Authorization to Review Confidential Patient Records. A motion
by a patient care ombudsman under Sec. 333(c) to review confidential
patient records shall be governed by Rule 9014, served on the patient
and any family member or other contact person whose name and address
have been given to the trustee or the debtor for the purpose of
providing information regarding the patient's health care, and
transmitted to the United States trustee subject to applicable
nonbankruptcy law relating to patient privacy. Unless the court orders
otherwise, a hearing on the motion may not be commenced earlier than 14
days after service of the motion.
(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff.
Dec. 1, 2009.)
Rule 2015.2
_____. Transfer of Patient in Health Care Business Case________________
Unless the court orders otherwise, if the debtor is a health care
business, the trustee may not transfer a patient to another health care
business under Sec. 704(a)(12) of the Code unless the trustee gives at
least 14 days' notice of the transfer to the patient care ombudsman, if
any, the patient, and any family member or other contact person whose
name and address has been given to the trustee or the debtor for the
purpose of providing information regarding the patient's health care.
The notice is subject to applicable nonbankruptcy law relating to
patient privacy.
(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff.
Dec. 1, 2009.)
Rule 2015.3
_____. Reports of Financial Information on Entities in Which a Chapter
11 Estate Holds a Controlling or Substantial Interest___________________
(a) Reporting Requirement. In a chapter 11 case, the trustee or
debtor in possession shall file periodic financial reports of the value,
operations, and profitability of each entity that is not a publicly
traded corporation or a debtor in a case under title 11, and in which
the estate holds a substantial or controlling interest. The reports
shall be prepared as prescribed by the appropriate Official Form, and
shall be based upon the most recent information reasonably available to
the trustee or debtor in possession.
(b) Time for Filing; Service. The first report required by this rule
shall be filed no later than seven days before the first date set for
the meeting of creditors under Sec. 341 of the Code. Subsequent reports
shall be filed no less frequently than every six months thereafter,
until the effective date of a plan or the case is dismissed or
converted. Copies of the report shall be served on the United States
trustee, any committee appointed under Sec. 1102 of the Code, and any
other party in interest that has filed a request therefor.
(c) Presumption of Substantial or Controlling Interest; Judicial
Determination. For purposes of this rule, an entity of which the estate
controls or owns at least a 20 percent interest, shall be presumed to be
an entity in which the estate has a substantial or controlling interest.
An entity in which the estate controls or owns less than a 20 percent
interest shall be presumed not to be an entity in which the estate has a
substantial or controlling interest. Upon motion, the entity, any holder
of an interest therein, the United States trustee, or any other party in
interest may seek to rebut either presumption, and the court shall,
after notice and a hearing, determine whether the estate's interest in
the entity is substantial or controlling.
(d) Modification of Reporting Requirement. The court may, after
notice and a hearing, vary the reporting requirement established by
subdivision (a) of this rule for cause, including that the trustee or
debtor in possession is not able, after a good faith effort, to comply
with those reporting requirements, or that the information required by
subdivision (a) is publicly available.
(e) Notice and Protective Orders. No later than 14 days before
filing the first report required by this rule, the trustee or debtor in
possession shall send notice to the entity in which the estate has a
substantial or controlling interest, and to all holders--known to the
trustee or debtor in possession--of an interest in that entity, that the
trustee or debtor in possession expects to file and serve financial
information relating to the entity in accordance with this rule. The
entity in which the estate has a substantial or controlling interest, or
a person holding an interest in that entity, may request protection of
the information under Sec. 107 of the Code.
(f) Effect of Request. Unless the court orders otherwise, the
pendency of a request under subdivisions (c), (d), or (e) of this rule
shall not alter or stay the requirements of subdivision (a).
(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff.
Dec. 1, 2009.)
Rule 2016
_____. Compensation for Services Rendered and Reimbursement of Expenses
(a) Application for Compensation or Reimbursement. An entity seeking
interim or final compensation for services, or reimbursement of
necessary expenses, from the estate shall file an application setting
forth a detailed statement of (1) the services rendered, time expended
and expenses incurred, and (2) the amounts requested. An application for
compensation shall include a statement as to what payments have
theretofore been made or promised to the applicant for services rendered
or to be rendered in any capacity whatsoever in connection with the
case, the source of the compensation so paid or promised, whether any
compensation previously received has been shared and whether an
agreement or understanding exists between the applicant and any other
entity for the sharing of compensation received or to be received for
services rendered in or in connection with the case, and the particulars
of any sharing of compensation or agreement or understanding therefor,
except that details of any agreement by the applicant for the sharing of
compensation as a member or regular associate of a firm of lawyers or
accountants shall not be required. The requirements of this subdivision
shall apply to an application for compensation for services rendered by
an attorney or accountant even though the application is filed by a
creditor or other entity. Unless the case is a chapter 9 municipality
case, the applicant shall transmit to the United States trustee a copy
of the application.
(b) Disclosure of Compensation Paid or Promised to Attorney for
Debtor. Every attorney for a debtor, whether or not the attorney applies
for compensation, shall file and transmit to the United States trustee
within 14 days after the order for relief, or at another time as the
court may direct, the statement required by Sec. 329 of the Code
including whether the attorney has shared or agreed to share the
compensation with any other entity. The statement shall include the
particulars of any such sharing or agreement to share by the attorney,
but the details of any agreement for the sharing of the compensation
with a member or regular associate of the attorney's law firm shall not
be required. A supplemental statement shall be filed and transmitted to
the United States trustee within 14 days after any payment or agreement
not previously disclosed.
(c) Disclosure of Compensation Paid or Promised to Bankruptcy
Petition Preparer. Before a petition is filed, every bankruptcy petition
preparer for a debtor shall deliver to the debtor, the declaration under
penalty of perjury required by Sec. 110(h)(2). The declaration shall
disclose any fee, and the source of any fee, received from or on behalf
of the debtor within 12 months of the filing of the case and all unpaid
fees charged to the debtor. The declaration shall also describe the
services performed and documents prepared or caused to be prepared by
the bankruptcy petition preparer. The declaration shall be filed with
the petition. The petition preparer shall file a supplemental statement
within 14 days after any payment or agreement not previously disclosed.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Mar. 27, 2003, eff. Dec. 1, 2003; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 2017
_____. Examination of Debtor's Transactions with Debtor's Attorney_____
(a) Payment or Transfer to Attorney Before Order for Relief. On
motion by any party in interest or on the court's own initiative, the
court after notice and a hearing may determine whether any payment of
money or any transfer of property by the debtor, made directly or
indirectly and in contemplation of the filing of a petition under the
Code by or against the debtor or before entry of the order for relief in
an involuntary case, to an attorney for services rendered or to be
rendered is excessive.
(b) Payment or Transfer to Attorney After Order for Relief. On
motion by the debtor, the United States trustee, or on the court's own
initiative, the court after notice and a hearing may determine whether
any payment of money or any transfer of property, or any agreement
therefor, by the debtor to an attorney after entry of an order for
relief in a case under the Code is excessive, whether the payment or
transfer is made or is to be made directly or indirectly, if the
payment, transfer, or agreement therefor is for services in any way
related to the case.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 2018
_____. Intervention; Right to Be Heard_________________________________
(a) Permissive Intervention. In a case under the Code, after hearing
on such notice as the court directs and for cause shown, the court may
permit any interested entity to intervene generally or with respect to
any specified matter.
(b) Intervention by Attorney General of a State. In a chapter 7, 11,
12, or 13 case, the Attorney General of a State may appear and be heard
on behalf of consumer creditors if the court determines the appearance
is in the public interest, but the Attorney General may not appeal from
any judgment, order, or decree in the case.
(c) Chapter 9 Municipality Case. The Secretary of the Treasury of
the United States may, or if requested by the court shall, intervene in
a chapter 9 case. Representatives of the state in which the debtor is
located may intervene in a chapter 9 case with respect to matters
specified by the court.
(d) Labor Unions. In a chapter 9, 11, or 12 case, a labor union or
employees' association, representative of employees of the debtor, shall
have the right to be heard on the economic soundness of a plan affecting
the interests of the employees. A labor union or employees' association
which exercises its right to be heard under this subdivision shall not
be entitled to appeal any judgment, order, or decree relating to the
plan, unless otherwise permitted by law.
(e) Service on Entities Covered by This Rule. The court may enter
orders governing the service of notice and papers on entities permitted
to intervene or be heard pursuant to this rule.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 2019
_____. Representation of Creditors and Equity Security Holders in
Chapter 9 Municipality and Chapter 11 Reorganization Cases______________
(a) Data Required. In a chapter 9 municipality or chapter 11
reorganization case, except with respect to a committee appointed
pursuant to Sec. 1102 or 1114 of the Code, every entity or committee
representing more than one creditor or equity security holder and,
unless otherwise directed by the court, every indenture trustee, shall
file a verified statement setting forth (1) the name and address of the
creditor or equity security holder; (2) the nature and amount of the
claim or interest and the time of acquisition thereof unless it is
alleged to have been acquired more than one year prior to the filing of
the petition; (3) a recital of the pertinent facts and circumstances in
connection with the employment of the entity or indenture trustee, and,
in the case of a committee, the name or names of the entity or entities
at whose instance, directly or indirectly, the employment was arranged
or the committee was organized or agreed to act; and (4) with reference
to the time of the employment of the entity, the organization or
formation of the committee, or the appearance in the case of any
indenture trustee, the amounts of claims or interests owned by the
entity, the members of the committee or the indenture trustee, the times
when acquired, the amounts paid therefor, and any sales or other
disposition thereof. The statement shall include a copy of the
instrument, if any, whereby the entity, committee, or indenture trustee
is empowered to act on behalf of creditors or equity security holders. A
supplemental statement shall be filed promptly, setting forth any
material changes in the facts contained in the statement filed pursuant
to this subdivision.
(b) Failure To Comply; Effect. On motion of any party in interest or
on its own initiative, the court may (1) determine whether there has
been a failure to comply with the provisions of subdivision (a) of this
rule or with any other applicable law regulating the activities and
personnel of any entity, committee, or indenture trustee or any other
impropriety in connection with any solicitation and, if it so
determines, the court may refuse to permit that entity, committee, or
indenture trustee to be heard further or to intervene in the case; (2)
examine any representation provision of a deposit agreement, proxy,
trust mortgage, trust indenture, or deed of trust, or committee or other
authorization, and any claim or interest acquired by any entity or
committee in contemplation or in the course of a case under the Code and
grant appropriate relief; and (3) hold invalid any authority,
acceptance, rejection, or objection given, procured, or received by an
entity or committee who has not complied with this rule or with
Sec. 1125(b) of the Code.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 2020
_____. Review of Acts by United States Trustee_________________________
A proceeding to contest any act or failure to act by the United
States trustee is governed by Rule 9014.
(Added Apr. 30, 1991, eff. Aug. 1, 1991.)
PART III--CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY INTEREST
HOLDERS; PLANS
Rule 3001
_____. Proof of Claim__________________________________________________
(a) Form and Content. A proof of claim is a written statement
setting forth a creditor's claim. A proof of claim shall conform
substantially to the appropriate Official Form.
(b) Who May Execute. A proof of claim shall be executed by the
creditor or the creditor's authorized agent except as provided in Rules
3004 and 3005.
(c) Claim Based on a Writing. When a claim, or an interest in
property of the debtor securing the claim, is based on a writing, the
original or a duplicate shall be filed with the proof of claim. If the
writing has been lost or destroyed, a statement of the circumstances of
the loss or destruction shall be filed with the claim.
(d) Evidence of Perfection of Security Interest. If a security
interest in property of the debtor is claimed, the proof of claim shall
be accompanied by evidence that the security interest has been
perfected.
(e) Transferred Claim.
(1) Transfer of Claim Other Than for Security Before Proof
Filed. If a claim has been transferred other than for security
before proof of the claim has been filed, the proof of claim may
be filed only by the transferee or an indenture trustee.
(2) Transfer of Claim Other than for Security after Proof
Filed. If a claim other than one based on a publicly traded
note, bond, or debenture has been transferred other than for
security after the proof of claim has been filed, evidence of
the transfer shall be filed by the transferee. The clerk shall
immediately notify the alleged transferor by mail of the filing
of the evidence of transfer and that objection thereto, if any,
must be filed within 21 days of the mailing of the notice or
within any additional time allowed by the court. If the alleged
transferor files a timely objection and the court finds, after
notice and a hearing, that the claim has been transferred other
than for security, it shall enter an order substituting the
transferee for the transferor. If a timely objection is not
filed by the alleged transferor, the transferee shall be
substituted for the transferor.
(3) Transfer of Claim for Security Before Proof Filed. If a
claim other than one based on a publicly traded note, bond, or
debenture has been transferred for security before proof of the
claim has been filed, the transferor or transferee or both may
file a proof of claim for the full amount. The proof shall be
supported by a statement setting forth the terms of the
transfer. If either the transferor or the transferee files a
proof of claim, the clerk shall immediately notify the other by
mail of the right to join in the filed claim. If both transferor
and transferee file proofs of the same claim, the proofs shall
be consolidated. If the transferor or transferee does not file
an agreement regarding its relative rights respecting voting of
the claim, payment of dividends thereon, or participation in the
administration of the estate, on motion by a party in interest
and after notice and a hearing, the court shall enter such
orders respecting these matters as may be appropriate.
(4) Transfer of Claim for Security after Proof Filed. If a
claim other than one based on a publicly traded note, bond, or
debenture has been transferred for security after the proof of
claim has been filed, evidence of the terms of the transfer
shall be filed by the transferee. The clerk shall immediately
notify the alleged transferor by mail of the filing of the
evidence of transfer and that objection thereto, if any, must be
filed within 21 days of the mailing of the notice or within any
additional time allowed by the court. If a timely objection is
filed by the alleged transferor, the court, after notice and a
hearing, shall determine whether the claim has been transferred
for security. If the transferor or transferee does not file an
agreement regarding its relative rights respecting voting of the
claim, payment of dividends thereon, or participation in the
administration of the estate, on motion by a party in interest
and after notice and a hearing, the court shall enter such
orders respecting these matters as may be appropriate.
(5) Service of Objection or Motion; Notice of Hearing. A
copy of an objection filed pursuant to paragraph (2) or (4) or a
motion filed pursuant to paragraph (3) or (4) of this
subdivision together with a notice of a hearing shall be mailed
or otherwise delivered to the transferor or transferee,
whichever is appropriate, at least 30 days prior to the hearing.
(f) Evidentiary Effect. A proof of claim executed and filed in
accordance with these rules shall constitute prima facie evidence of the
validity and amount of the claim.
(g) \1\ To the extent not inconsistent with the United States
Warehouse Act or applicable State law, a warehouse receipt, scale
ticket, or similar document of the type routinely issued as evidence of
title by a grain storage facility, as defined in section 557 of title
11, shall constitute prima facie evidence of the validity and amount of
a claim of ownership of a quantity of grain.
---------------------------------------------------------------------------
\1\ So in original. Subsec. (g) enacted without a catchline.
---------------------------------------------------------------------------
(As amended Pub. L. 98-353, title III, Sec. 354, July 10, 1984, 98 Stat.
361; Apr. 30, 1991, eff. Aug. 1, 1991; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 3002
_____. Filing Proof of Claim or Interest_______________________________
(a) Necessity for Filing. An unsecured creditor or an equity
security holder must file a proof of claim or interest for the claim or
interest to be allowed, except as provided in Rules 1019(3), 3003, 3004,
and 3005.
(b) Place of Filing. A proof of claim or interest shall be filed in
accordance with Rule 5005.
(c) Time for Filing. In a chapter 7 liquidation, chapter 12 family
farmer's debt adjustment, or chapter 13 individual's debt adjustment
case, a proof of claim is timely filed if it is filed not later than 90
days after the first date set for the meeting of creditors called under
Sec. 341(a) of the Code, except as follows:
(1) A proof of claim filed by a governmental unit, other
than for a claim resulting from a tax return filed under
Sec. 1308, is timely filed if it is filed not later than 180
days after the date of the order for relief. A proof of claim
filed by a governmental unit for a claim resulting from a tax
return filed under Sec. 1308 is timely filed if it is filed no
later than 180 days after the date of the order for relief or 60
days after the date of the filing of the tax return. The court
may, for cause, enlarge the time for a governmental unit to file
a proof of claim only upon motion of the governmental unit made
before expiration of the period for filing a timely proof of
claim.
(2) In the interest of justice and if it will not unduly
delay the administration of the case, the court may extend the
time for filing a proof of claim by an infant or incompetent
person or the representative of either.
(3) An unsecured claim which arises in favor of an entity or
becomes allowable as a result of a judgment may be filed within
30 days after the judgment becomes final if the judgment is for
the recovery of money or property from that entity or denies or
avoids the entity's interest in property. If the judgment
imposes a liability which is not satisfied, or a duty which is
not performed within such period or such further time as the
court may permit, the claim shall not be allowed.
(4) A claim arising from the rejection of an executory
contract or unexpired lease of the debtor may be filed within
such time as the court may direct.
(5) If notice of insufficient assets to pay a dividend was
given to creditors under Rule 2002(e), and subsequently the
trustee notifies the court that payment of a dividend appears
possible, the clerk shall give at least 90 days' notice by mail
to creditors of that fact and of the date by which proofs of
claim must be filed.
(6) If notice of the time to file a proof of claim has been
mailed to a creditor at a foreign address, on motion filed by
the creditor before or after the expiration of the time, the
court may extend the time by not more than 60 days if the court
finds that the notice was insufficient under the circumstances
to give the creditor a reasonable time to file a proof of claim.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2008, eff. Dec. 1,
2008.)
Rule 3003
_____. Filing Proof of Claim or Equity Security Interest in Chapter 9
Municipality or Chapter 11 Reorganization Cases_________________________
(a) Applicability of Rule. This rule applies in chapter 9 and 11
cases.
(b) Schedule of Liabilities and List of Equity Security Holders.
(1) Schedule of Liabilities. The schedule of liabilities
filed pursuant to Sec. 521(l) of the Code shall constitute prima
facie evidence of the validity and amount of the claims of
creditors, unless they are scheduled as disputed, contingent, or
unliquidated. It shall not be necessary for a creditor or equity
security holder to file a proof of claim or interest except as
provided in subdivision (c)(2) of this rule.
(2) List of Equity Security Holders. The list of equity
security holders filed pursuant to Rule 1007(a)(3) shall
constitute prima facie evidence of the validity and amount of
the equity security interests and it shall not be necessary for
the holders of such interests to file a proof of interest.
(c) Filing Proof of Claim.
(1) Who May File. Any creditor or indenture trustee may file
a proof of claim within the time prescribed by subdivision
(c)(3) of this rule.
(2) Who Must File. Any creditor or equity security holder
whose claim or interest is not scheduled or scheduled as
disputed, contingent, or unliquidated shall file a proof of
claim or interest within the time prescribed by subdivision
(c)(3) of this rule; any creditor who fails to do so shall not
be treated as a creditor with respect to such claim for the
purposes of voting and distribution.
(3) Time for Filing. The court shall fix and for cause shown
may extend the time within which proofs of claim or interest may
be filed. Notwithstanding the expiration of such time, a proof
of claim may be filed to the extent and under the conditions
stated in Rule 3002(c)(2), (c)(3), (c)(4), and (c)(6).
(4) Effect of Filing Claim or Interest. A proof of claim or
interest executed and filed in accordance with this subdivision
shall supersede any scheduling of that claim or interest
pursuant to Sec. 521(a)(1) of the Code.
(5) Filing by Indenture Trustee. An indenture trustee may
file a claim on behalf of all known or unknown holders of
securities issued pursuant to the trust instrument under which
it is trustee.
(d) Proof of Right to Record Status. For the purposes of Rules 3017,
3018 and 3021 and for receiving notices, an entity who is not the record
holder of a security may file a statement setting forth facts which
entitle that entity to be treated as the record holder. An objection to
the statement may be filed by any party in interest.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 3004
_____. Filing of Claims by Debtor or Trustee___________________________
If a creditor does not timely file a proof of claim under Rule
3002(c) or 3003(c), the debtor or trustee may file a proof of the claim
within 30 days after the expiration of the time for filing claims
prescribed by Rule 3002(c) or 3003(c), whichever is applicable. The
clerk shall forthwith give notice of the filing to the creditor, the
debtor and the trustee.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 2005, eff. Dec.
1, 2005.)
Rule 3005
_____. Filing of Claim, Acceptance, or Rejection by Guarantor, Surety,
Indorser, or Other Codebtor_____________________________________________
(a) Filing of Claim. If a creditor does not timely file a proof of
claim under Rule 3002(c) or 3003(c), any entity that is or may be liable
with the debtor to that creditor, or who has secured that creditor, may
file a proof of the claim within 30 days after the expiration of the
time for filing claims prescribed by Rule 3002(c) or Rule 3003(c)
whichever is applicable. No distribution shall be made on the claim
except on satisfactory proof that the original debt will be diminished
by the amount of distribution.
(b) Filing of Acceptance or Rejection; Substitution of Creditor. An
entity which has filed a claim pursuant to the first sentence of
subdivision (a) of this rule may file an acceptance or rejection of a
plan in the name of the creditor, if known, or if unknown, in the
entity's own name but if the creditor files a proof of claim within the
time permitted by Rule 3003(c) or files a notice prior to confirmation
of a plan of the creditor's intention to act in the creditor's own
behalf, the creditor shall be substituted for the obligor with respect
to that claim.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 25, 2005, eff. Dec. 1, 2005.)
Rule 3006
_____. Withdrawal of Claim; Effect on Acceptance or Rejection of Plan__
A creditor may withdraw a claim as of right by filing a notice of
withdrawal, except as provided in this rule. If after a creditor has
filed a proof of claim an objection is filed thereto or a complaint is
filed against that creditor in an adversary proceeding, or the creditor
has accepted or rejected the plan or otherwise has participated
significantly in the case, the creditor may not withdraw the claim
except on order of the court after a hearing on notice to the trustee or
debtor in possession, and any creditors' committee elected pursuant to
Sec. 705(a) or appointed pursuant to Sec. 1102 of the Code. The order of
the court shall contain such terms and conditions as the court deems
proper. Unless the court orders otherwise, an authorized withdrawal of a
claim shall constitute withdrawal of any related acceptance or rejection
of a plan.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 3007
_____. Objections to Claims____________________________________________
(a) Objections to Claims. An objection to the allowance of a claim
shall be in writing and filed. A copy of the objection with notice of
the hearing thereon shall be mailed or otherwise delivered to the
claimant, the debtor or debtor in possession, and the trustee at least
30 days prior to the hearing.
(b) Demand for Relief Requiring an Adversary Proceeding. A party in
interest shall not include a demand for relief of a kind specified in
Rule 7001 in an objection to the allowance of a claim, but may include
the objection in an adversary proceeding.
(c) Limitation on Joinder of Claims Objections. Unless otherwise
ordered by the court or permitted by subdivision (d), objections to more
than one claim shall not be joined in a single objection.
(d) Omnibus Objection. Subject to subdivision (e), objections to
more than one claim may be joined in an omnibus objection if all the
claims were filed by the same entity, or the objections are based solely
on the grounds that the claims should be disallowed, in whole or in
part, because:
(1) they duplicate other claims;
(2) they have been filed in the wrong case;
(3) they have been amended by subsequently filed proofs of
claim;
(4) they were not timely filed;
(5) they have been satisfied or released during the case in
accordance with the Code, applicable rules, or a court order;
(6) they were presented in a form that does not comply with
applicable rules, and the objection states that the objector is
unable to determine the validity of the claim because of the
noncompliance;
(7) they are interests, rather than claims; or
(8) they assert priority in an amount that exceeds the
maximum amount under Sec. 507 of the Code.
(e) Requirements for Omnibus Objection. An omnibus objection shall:
(1) state in a conspicuous place that claimants receiving
the objection should locate their names and claims in the
objection;
(2) list claimants alphabetically, provide a cross-reference
to claim numbers, and, if appropriate, list claimants by
category of claims;
(3) state the grounds of the objection to each claim and
provide a cross-reference to the pages in the omnibus objection
pertinent to the stated grounds;
(4) state in the title the identity of the objector and the
grounds for the objections;
(5) be numbered consecutively with other omnibus objections
filed by the same objector; and
(6) contain objections to no more than 100 claims.
(f) Finality of Objection. The finality of any order regarding a
claim objection included in an omnibus objection shall be determined as
though the claim had been subject to an individual objection.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 30, 2007, eff. Dec.
1, 2007.)
Rule 3008
_____. Reconsideration of Claims_______________________________________
A party in interest may move for reconsideration of an order
allowing or disallowing a claim against the estate. The court after a
hearing on notice shall enter an appropriate order.
Rule 3009
_____. Declaration and Payment of Dividends in a Chapter 7 Liquidation
Case____________________________________________________________________
In a chapter 7 case, dividends to creditors shall be paid as
promptly as practicable. Dividend checks shall be made payable to and
mailed to each creditor whose claim has been allowed, unless a power of
attorney authorizing another entity to receive dividends has been
executed and filed in accordance with Rule 9010. In that event, dividend
checks shall be made payable to the creditor and to the other entity and
shall be mailed to the other entity.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug.
1, 1993.)
Rule 3010
_____. Small Dividends and Payments in Chapter 7 Liquidation, Chapter
12 Family Farmer's Debt Adjustment, and Chapter 13 Individual's Debt
Adjustment Cases________________________________________________________
(a) Chapter 7 Cases. In a chapter 7 case no dividend in an amount
less than $5 shall be distributed by the trustee to any creditor unless
authorized by local rule or order of the court. Any dividend not
distributed to a creditor shall be treated in the same manner as
unclaimed funds as provided in Sec. 347 of the Code.
(b) Chapter 12 and Chapter 13 Cases. In a chapter 12 or chapter 13
case no payment in an amount less than $15 shall be distributed by the
trustee to any creditor unless authorized by local rule or order of the
court. Funds not distributed because of this subdivision shall
accumulate and shall be paid whenever the accumulation aggregates $15.
Any funds remaining shall be distributed with the final payment.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 3011
_____. Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 Family
Farmer's Debt Adjustment, and Chapter 13 Individual's Debt Adjustment
Cases___________________________________________________________________
The trustee shall file a list of all known names and addresses of
the entities and the amounts which they are entitled to be paid from
remaining property of the estate that is paid into court pursuant to
Sec. 347(a) of the Code.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 3012
_____. Valuation of Security___________________________________________
The court may determine the value of a claim secured by a lien on
property in which the estate has an interest on motion of any party in
interest and after a hearing on notice to the holder of the secured
claim and any other entity as the court may direct.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 3013
_____. Classification of Claims and Interests__________________________
For the purposes of the plan and its acceptance, the court may, on
motion after hearing on notice as the court may direct, determine
classes of creditors and equity security holders pursuant to
Sec. Sec. 1122, 1222(b)(1), and 1322(b)(1) of the Code.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 3014
_____. Election Under Sec. 1111(b) by Secured Creditor in Chapter 9
Municipality or Chapter 11 Reorganization Case__________________________
An election of application of Sec. 1111(b)(2) of the Code by a class
of secured creditors in a chapter 9 or 11 case may be made at any time
prior to the conclusion of the hearing on the disclosure statement or
within such later time as the court may fix. If the disclosure statement
is conditionally approved pursuant to Rule 3017.1, and a final hearing
on the disclosure statement is not held, the election of application of
Sec. 1111(b)(2) may be made not later than the date fixed pursuant to
Rule 3017.1(a)(2) or another date the court may fix. The election shall
be in writing and signed unless made at the hearing on the disclosure
statement. The election, if made by the majorities required by
Sec. 1111(b)(1)(A)(i), shall be binding on all members of the class with
respect to the plan.
(As amended Apr. 11, 1997, eff. Dec. 1, 1997.)
Rule 3015
_____. Filing, Objection to Confirmation, and Modification of a Plan in
a Chapter 12 Family Farmer's Debt Adjustment or a Chapter 13
Individual's Debt Adjustment Case_______________________________________
(a) Chapter 12 Plan. The debtor may file a chapter 12 plan with the
petition. If a plan is not filed with the petition, it shall be filed
within the time prescribed by Sec. 1221 of the Code.
(b) Chapter 13 Plan. The debtor may file a chapter 13 plan with the
petition. If a plan is not filed with the petition, it shall be filed
within 14 days thereafter, and such time may not be further extended
except for cause shown and on notice as the court may direct. If a case
is converted to chapter 13, a plan shall be filed within 14 days
thereafter, and such time may not be further extended except for cause
shown and on notice as the court may direct.
(c) Dating. Every proposed plan and any modification thereof shall
be dated.
(d) Notice and Copies. The plan or a summary of the plan shall be
included with each notice of the hearing on confirmation mailed pursuant
to Rule 2002. If required by the court, the debtor shall furnish a
sufficient number of copies to enable the clerk to include a copy of the
plan with the notice of the hearing.
(e) Transmission to United States Trustee. The clerk shall forthwith
transmit to the United States trustee a copy of the plan and any
modification thereof filed pursuant to subdivision (a) or (b) of this
rule.
(f) Objection to Confirmation; Determination of Good Faith in the
Absence of an Objection. An objection to confirmation of a plan shall be
filed and served on the debtor, the trustee, and any other entity
designated by the court, and shall be transmitted to the United States
trustee, before confirmation of the plan. An objection to confirmation
is governed by Rule 9014. If no objection is timely filed, the court may
determine that the plan has been proposed in good faith and not by any
means forbidden by law without receiving evidence on such issues.
(g) Modification of Plan After Confirmation. A request to modify a
plan pursuant to Sec. 1229 or Sec. 1329 of the Code shall identify the
proponent and shall be filed together with the proposed modification.
The clerk, or some other person as the court may direct, shall give the
debtor, the trustee, and all creditors not less than 21 days' notice by
mail of the time fixed for filing objections and, if an objection is
filed, the hearing to consider the proposed modification, unless the
court orders otherwise with respect to creditors who are not affected by
the proposed modification. A copy of the notice shall be transmitted to
the United States trustee. A copy of the proposed modification, or a
summary thereof, shall be included with the notice. If required by the
court, the proponent shall furnish a sufficient number of copies of the
proposed modification, or a summary thereof, to enable the clerk to
include a copy with each notice. Any objection to the proposed
modification shall be filed and served on the debtor, the trustee, and
any other entity designated by the court, and shall be transmitted to
the United States trustee. An objection to a proposed modification is
governed by Rule 9014.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug.
1, 1993; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 3016
_____. Filing of Plan and Disclosure Statement in a Chapter 9
Municipality or Chapter 11 Reorganization Case__________________________
(a) Identification of Plan. Every proposed plan and any modification
thereof shall be dated and, in a chapter 11 case, identified with the
name of the entity or entities submitting or filing it.
(b) Disclosure Statement. In a chapter 9 or 11 case, a disclosure
statement under Sec. 1125 of the Code or evidence showing compliance
with Sec. 1126(b) shall be filed with the plan or within a time fixed by
the court, unless the plan is intended to provide adequate information
under Sec. 1125(f)(1). If the plan is intended to provide adequate
information under Sec. 1125(f)(1), it shall be so designated and Rule
3017.1 shall apply as if the plan is a disclosure statement.
(c) Injunction Under a Plan. If a plan provides for an injunction
against conduct not otherwise enjoined under the Code, the plan and
disclosure statement shall describe in specific and conspicuous language
(bold, italic, or underlined text) all acts to be enjoined and identify
the entities that would be subject to the injunction.
(d) Standard Form Small Business Disclosure Statement and Plan. In a
small business case, the court may approve a disclosure statement and
may confirm a plan that conform substantially to the appropriate
Official Forms or other standard forms approved by the court.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2001, eff. Dec. 1,
2001; Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 3017
_____. Court Consideration of Disclosure Statement in a Chapter 9
Municipality or Chapter 11 Reorganization Case__________________________
(a) Hearing on Disclosure Statement and Objections. Except as
provided in Rule 3017.1, after a disclosure statement is filed in
accordance with Rule 3016(b), the court shall hold a hearing on at least
28 days' notice to the debtor, creditors, equity security holders and
other parties in interest as provided in Rule 2002 to consider the
disclosure statement and any objections or modifications thereto. The
plan and the disclosure statement shall be mailed with the notice of the
hearing only to the debtor, any trustee or committee appointed under the
Code, the Securities and Exchange Commission and any party in interest
who requests in writing a copy of the statement or plan. Objections to
the disclosure statement shall be filed and served on the debtor, the
trustee, any committee appointed under the Code, and any other entity
designated by the court, at any time before the disclosure statement is
approved or by an earlier date as the court may fix. In a chapter 11
reorganization case, every notice, plan, disclosure statement, and
objection required to be served or mailed pursuant to this subdivision
shall be transmitted to the United States trustee within the time
provided in this subdivision.
(b) Determination on Disclosure Statement. Following the hearing the
court shall determine whether the disclosure statement should be
approved.
(c) Dates Fixed for Voting on Plan and Confirmation. On or before
approval of the disclosure statement, the court shall fix a time within
which the holders of claims and interests may accept or reject the plan
and may fix a date for the hearing on confirmation.
(d) Transmission and Notice to United States Trustee, Creditors, and
Equity Security Holders. Upon approval of a disclosure statement,-- \1\
except to the extent that the court orders otherwise with respect to one
or more unimpaired classes of creditors or equity security holders--the
debtor in possession, trustee, proponent of the plan, or clerk as the
court orders shall mail to all creditors and equity security holders,
and in a chapter 11 reorganization case shall transmit to the United
States trustee,
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\1\ So in original. The comma probably should not appear.
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(1) the plan or a court-approved summary of the plan;
(2) the disclosure statement approved by the court;
(3) notice of the time within which acceptances and
rejections of the plan may be filed; and
(4) any other information as the court may direct, including
any court opinion approving the disclosure statement or a court-
approved summary of the opinion.
In addition, notice of the time fixed for filing objections and the
hearing on confirmation shall be mailed to all creditors and equity
security holders in accordance with Rule 2002(b), and a form of ballot
conforming to the appropriate Official Form shall be mailed to creditors
and equity security holders entitled to vote on the plan. If the court
opinion is not transmitted or only a summary of the plan is transmitted,
the court opinion or the plan shall be provided on request of a party in
interest at the plan proponent's expense. If the court orders that the
disclosure statement and the plan or a summary of the plan shall not be
mailed to any unimpaired class, notice that the class is designated in
the plan as unimpaired and notice of the name and address of the person
from whom the plan or summary of the plan and disclosure statement may
be obtained upon request and at the plan proponent's expense, shall be
mailed to members of the unimpaired class together with the notice of
the time fixed for filing objections to and the hearing on confirmation.
For the purposes of this subdivision, creditors and equity security
holders shall include holders of stock, bonds, debentures, notes, and
other securities of record on the date the order approving the
disclosure statement is entered or another date fixed by the court, for
cause, after notice and a hearing.
(e) Transmission to Beneficial Holders of Securities. At the hearing
held pursuant to subdivision (a) of this rule, the court shall consider
the procedures for transmitting the documents and information required
by subdivision (d) of this rule to beneficial holders of stock, bonds,
debentures, notes, and other securities, determine the adequacy of the
procedures, and enter any orders the court deems appropriate.
(f) Notice and Transmission of Documents to Entities Subject to an
Injunction Under a Plan. If a plan provides for an injunction against
conduct not otherwise enjoined under the Code and an entity that would
be subject to the injunction is not a creditor or equity security
holder, at the hearing held under Rule 3017(a), the court shall consider
procedures for providing the entity with:
(1) at least 28 days' notice of the time fixed for filing
objections and the hearing on confirmation of the plan
containing the information described in Rule 2002(c)(3); and
(2) to the extent feasible, a copy of the plan and
disclosure statement.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 23, 2001, eff. Dec. 1,
2001; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 3017.1
_____. Court Consideration of Disclosure Statement in a Small Business
Case____________________________________________________________________
(a) Conditional Approval of Disclosure Statement. In a small
business case, the court may, on application of the plan proponent or on
its own initiative, conditionally approve a disclosure statement filed
in accordance with Rule 3016. On or before conditional approval of the
disclosure statement, the court shall:
(1) fix a time within which the holders of claims and
interests may accept or reject the plan;
(2) fix a time for filing objections to the disclosure
statement;
(3) fix a date for the hearing on final approval of the
disclosure statement to be held if a timely objection is filed;
and
(4) fix a date for the hearing on confirmation.
(b) Application of Rule 3017. Rule 3017(a), (b), (c), and (e) do not
apply to a conditionally approved disclosure statement. Rule 3017(d)
applies to a conditionally approved disclosure statement, except that
conditional approval is considered approval of the disclosure statement
for the purpose of applying Rule 3017(d).
(c) Final Approval.
(1) Notice. Notice of the time fixed for filing objections
and the hearing to consider final approval of the disclosure
statement shall be given in accordance with Rule 2002 and may be
combined with notice of the hearing on confirmation of the plan.
(2) Objections. Objections to the disclosure statement shall
be filed, transmitted to the United States trustee, and served
on the debtor, the trustee, any committee appointed under the
Code and any other entity designated by the court at any time
before final approval of the disclosure statement or by an
earlier date as the court may fix.
(3) Hearing. If a timely objection to the disclosure
statement is filed, the court shall hold a hearing to consider
final approval before or combined with the hearing on
confirmation of the plan.
(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 23, 2008, eff.
Dec. 1, 2008.)
Rule 3018
_____. Acceptance or Rejection of Plan in a Chapter 9 Municipality or a
Chapter 11 Reorganization Case__________________________________________
(a) Entities Entitled To Accept or Reject Plan; Time for Acceptance
or Rejection. A plan may be accepted or rejected in accordance with
Sec. 1126 of the Code within the time fixed by the court pursuant to
Rule 3017. Subject to subdivision (b) of this rule, an equity security
holder or creditor whose claim is based on a security of record shall
not be entitled to accept or reject a plan unless the equity security
holder or creditor is the holder of record of the security on the date
the order approving the disclosure statement is entered or on another
date fixed by the court, for cause, after notice and a hearing. For
cause shown, the court after notice and hearing may permit a creditor or
equity security holder to change or withdraw an acceptance or rejection.
Notwithstanding objection to a claim or interest, the court after notice
and hearing may temporarily allow the claim or interest in an amount
which the court deems proper for the purpose of accepting or rejecting a
plan.
(b) Acceptances or Rejections Obtained Before Petition. An equity
security holder or creditor whose claim is based on a security of record
who accepted or rejected the plan before the commencement of the case
shall not be deemed to have accepted or rejected the plan pursuant to
Sec. 1126(b) of the Code unless the equity security holder or creditor
was the holder of record of the security on the date specified in the
solicitation of such acceptance or rejection for the purposes of such
solicitation. A holder of a claim or interest who has accepted or
rejected a plan before the commencement of the case under the Code shall
not be deemed to have accepted or rejected the plan if the court finds
after notice and hearing that the plan was not transmitted to
substantially all creditors and equity security holders of the same
class, that an unreasonably short time was prescribed for such creditors
and equity security holders to accept or reject the plan, or that the
solicitation was not in compliance with Sec. 1126(b) of the Code.
(c) Form of Acceptance or Rejection. An acceptance or rejection
shall be in writing, identify the plan or plans accepted or rejected, be
signed by the creditor or equity security holder or an authorized agent,
and conform to the appropriate Official Form. If more than one plan is
transmitted pursuant to Rule 3017, an acceptance or rejection may be
filed by each creditor or equity security holder for any number of plans
transmitted and if acceptances are filed for more than one plan, the
creditor or equity security holder may indicate a preference or
preferences among the plans so accepted.
(d) Acceptance or Rejection by Partially Secured Creditor. A
creditor whose claim has been allowed in part as a secured claim and in
part as an unsecured claim shall be entitled to accept or reject a plan
in both capacities.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 11, 1997, eff. Dec. 1,
1997.)
Rule 3019
_____. Modification of Accepted Plan in a Chapter 9 Municipality or a
Chapter 11 Reorganization Case__________________________________________
(a) Modification of Plan Before Confirmation. In a chapter 9 or
chapter 11 case, after a plan has been accepted and before its
confirmation, the proponent may file a modification of the plan. If the
court finds after hearing on notice to the trustee, any committee
appointed under the Code, and any other entity designated by the court
that the proposed modification does not adversely change the treatment
of the claim of any creditor or the interest of any equity security
holder who has not accepted in writing the modification, it shall be
deemed accepted by all creditors and equity security holders who have
previously accepted the plan.
(b) Modification of Plan After Confirmation in Individual Debtor
Case. If the debtor is an individual, a request to modify the plan under
Sec. 1127(e) of the Code is governed by Rule 9014. The request shall
identify the proponent and shall be filed together with the proposed
modification. The clerk, or some other person as the court may direct,
shall give the debtor, the trustee, and all creditors not less than 21
days' notice by mail of the time fixed to file objections and, if an
objection is filed, the hearing to consider the proposed modification,
unless the court orders otherwise with respect to creditors who are not
affected by the proposed modification. A copy of the notice shall be
transmitted to the United States trustee, together with a copy of the
proposed modification. Any objection to the proposed modification shall
be filed and served on the debtor, the proponent of the modification,
the trustee, and any other entity designated by the court, and shall be
transmitted to the United States trustee.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug.
1, 1993; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 3020
_____. Deposit; Confirmation of Plan in a Chapter 9 Municipality or
Chapter 11 Reorganization Case__________________________________________
(a) Deposit. In a chapter 11 case, prior to entry of the order
confirming the plan, the court may order the deposit with the trustee or
debtor in possession of the consideration required by the plan to be
distributed on confirmation. Any money deposited shall be kept in a
special account established for the exclusive purpose of making the
distribution.
(b) Objection to and Hearing on Confirmation in a Chapter 9 or
Chapter 11 Case.
(1) Objection. An objection to confirmation of the plan
shall be filed and served on the debtor, the trustee, the
proponent of the plan, any committee appointed under the Code,
and any other entity designated by the court, within a time
fixed by the court. Unless the case is a chapter 9 municipality
case, a copy of every objection to confirmation shall be
transmitted by the objecting party to the United States trustee
within the time fixed for filing objections. An objection to
confirmation is governed by Rule 9014.
(2) Hearing. The court shall rule on confirmation of the
plan after notice and hearing as provided in Rule 2002. If no
objection is timely filed, the court may determine that the plan
has been proposed in good faith and not by any means forbidden
by law without receiving evidence on such issues.
(c) Order of Confirmation.
(1) The order of confirmation shall conform to the
appropriate Official Form. If the plan provides for an
injunction against conduct not otherwise enjoined under the
Code, the order of confirmation shall (1) describe in reasonable
detail all acts enjoined; (2) be specific in its terms regarding
the injunction; and (3) identify the entities subject to the
injunction.
(2) Notice of entry of the order of confirmation shall be
mailed promptly to the debtor, the trustee, creditors, equity
security holders, other parties in interest, and, if known, to
any identified entity subject to an injunction provided for in
the plan against conduct not otherwise enjoined under the Code.
(3) Except in a chapter 9 municipality case, notice of entry
of the order of confirmation shall be transmitted to the United
States trustee as provided in Rule 2002(k).
(d) Retained Power. Notwithstanding the entry of the order of
confirmation, the court may issue any other order necessary to
administer the estate.
(e) Stay of Confirmation Order. An order confirming a plan is stayed
until the expiration of 14 days after the entry of the order, unless the
court orders otherwise.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1,
1999; Apr. 23, 2001, eff. Dec. 1, 2001; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 3021
_____. Distribution Under Plan_________________________________________
Except as provided in Rule 3020(e), after a plan is confirmed,
distribution shall be made to creditors whose claims have been allowed,
to interest holders whose interests have not been disallowed, and to
indenture trustees who have filed claims under Rule 3003(c)(5) that have
been allowed. For purposes of this rule, creditors include holders of
bonds, debentures, notes, and other debt securities, and interest
holders include the holders of stock and other equity securities, of
record at the time of commencement of distribution, unless a different
time is fixed by the plan or the order confirming the plan.
(As amended Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec.
1, 1999.)
Rule 3022
_____. Final Decree in Chapter 11 Reorganization Case__________________
After an estate is fully administered in a chapter 11 reorganization
case, the court, on its own motion or on motion of a party in interest,
shall enter a final decree closing the case.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
PART IV--THE DEBTOR: DUTIES AND BENEFITS
Rule 4001
_____. Relief from Automatic Stay; Prohibiting or Conditioning the Use,
Sale, or Lease of Property; Use of Cash Collateral; Obtaining Credit;
Agreements______________________________________________________________
(a) Relief From Stay; Prohibiting or Conditioning the Use, Sale, or
Lease of Property.
(1) Motion. A motion for relief from an automatic stay
provided by the Code or a motion to prohibit or condition the
use, sale, or lease of property pursuant to Sec. 363(e) shall be
made in accordance with Rule 9014 and shall be served on any
committee elected pursuant to Sec. 705 or appointed pursuant to
Sec. 1102 of the Code or its authorized agent, or, if the case
is a chapter 9 municipality case or a chapter 11 reorganization
case and no committee of unsecured creditors has been appointed
pursuant to Sec. 1102, on the creditors included on the list
filed pursuant to Rule 1007(d), and on such other entities as
the court may direct.
(2) Ex Parte Relief. Relief from a stay under Sec. 362(a) or
a request to prohibit or condition the use, sale, or lease of
property pursuant to Sec. 363(e) may be granted without prior
notice only if (A) it clearly appears from specific facts shown
by affidavit or by a verified motion that immediate and
irreparable injury, loss, or damage will result to the movant
before the adverse party or the attorney for the adverse party
can be heard in opposition, and (B) the movant's attorney
certifies to the court in writing the efforts, if any, which
have been made to give notice and the reasons why notice should
not be required. The party obtaining relief under this
subdivision and Sec. 362(f) or Sec. 363(e) shall immediately
give oral notice thereof to the trustee or debtor in possession
and to the debtor and forthwith mail or otherwise transmit to
such adverse party or parties a copy of the order granting
relief. On two days notice to the party who obtained relief from
the stay without notice or on shorter notice to that party as
the court may prescribe, the adverse party may appear and move
reinstatement of the stay or reconsideration of the order
prohibiting or conditioning the use, sale, or lease of property.
In that event, the court shall proceed expeditiously to hear and
determine the motion.
(3) Stay of Order. An order granting a motion for relief
from an automatic stay made in accordance with Rule 4001(a)(1)
is stayed until the expiration of 14 days after the entry of the
order, unless the court orders otherwise.
(b) Use of Cash Collateral.
(1) Motion; Service.
(A) Motion. A motion for authority to use cash
collateral shall be made in accordance with Rule 9014
and shall be accompanied by a proposed form of order.
(B) Contents. The motion shall consist of or (if the
motion is more than five pages in length) begin with a
concise statement of the relief requested, not to exceed
five pages, that lists or summarizes, and sets out the
location within the relevant documents of, all material
provisions, including:
(i) the name of each entity with an interest
in the cash collateral;
(ii) the purposes for the use of the cash
collateral;
(iii) the material terms, including
duration, of the use of the cash collateral; and
(iv) any liens, cash payments, or other
adequate protection that will be provided to
each entity with an interest in the cash
collateral or, if no additional adequate
protection is proposed, an explanation of why
each entity's interest is adequately protected.
(C) Service. The motion shall be served on: (1) any
entity with an interest in the cash collateral; (2) any
committee elected under Sec. 705 or appointed under
Sec. 1102 of the Code, or its authorized agent, or, if
the case is a chapter 9 municipality case or a chapter
11 reorganization case and no committee of unsecured
creditors has been appointed under Sec. 1102, the
creditors included on the list filed under Rule 1007(d);
and (3) any other entity that the court directs.
(2) Hearing. The court may commence a final hearing on a
motion for authorization to use cash collateral no earlier than
14 days after service of the motion. If the motion so requests,
the court may conduct a preliminary hearing before such 14-day
period expires, but the court may authorize the use of only that
amount of cash collateral as is necessary to avoid immediate and
irreparable harm to the estate pending a final hearing.
(3) Notice. Notice of hearing pursuant to this subdivision
shall be given to the parties on whom service of the motion is
required by paragraph (1) of this subdivision and to such other
entities as the court may direct.
(c) Obtaining Credit.
(1) Motion; Service.
(A) Motion. A motion for authority to obtain credit
shall be made in accordance with Rule 9014 and shall be
accompanied by a copy of the credit agreement and a
proposed form of order.
(B) Contents. The motion shall consist of or (if the
motion is more than five pages in length) begin with a
concise statement of the relief requested, not to exceed
five pages, that lists or summarizes, and sets out the
location within the relevant documents of, all material
provisions of the proposed credit agreement and form of
order, including interest rate, maturity, events of
default, liens, borrowing limits, and borrowing
conditions. If the proposed credit agreement or form of
order includes any of the provisions listed below, the
concise statement shall also: briefly list or summarize
each one; identify its specific location in the proposed
agreement and form of order; and identify any such
provision that is proposed to remain in effect if
interim approval is granted, but final relief is denied,
as provided under Rule 4001(c)(2). In addition, the
motion shall describe the nature and extent of each
provision listed below:
(i) a grant of priority or a lien on
property of the estate under Sec. 364(c) or (d);
(ii) the providing of adequate protection or
priority for a claim that arose before the
commencement of the case, including the granting
of a lien on property of the estate to secure
the claim, or the use of property of the estate
or credit obtained under Sec. 364 to make cash
payments on account of the claim;
(iii) a determination of the validity,
enforceability, priority, or amount of a claim
that arose before the commencement of the case,
or of any lien securing the claim;
(iv) a waiver or modification of Code
provisions or applicable rules relating to the
automatic stay;
(v) a waiver or modification of any entity's
authority or right to file a plan, seek an
extension of time in which the debtor has the
exclusive right to file a plan, request the use
of cash collateral under Sec. 363(c), or request
authority to obtain credit under Sec. 364;
(vi) the establishment of deadlines for
filing a plan of reorganization, for approval of
a disclosure statement, for a hearing on
confirmation, or for entry of a confirmation
order;
(vii) a waiver or modification of the
applicability of nonbankruptcy law relating to
the perfection of a lien on property of the
estate, or on the foreclosure or other
enforcement of the lien;
(viii) a release, waiver, or limitation on
any claim or other cause of action belonging to
the estate or the trustee, including any
modification of the statute of limitations or
other deadline to commence an action;
(ix) the indemnification of any entity;
(x) a release, waiver, or limitation of any
right under Sec. 506(c); or
(xi) the granting of a lien on any claim or
cause of action arising under Sec. Sec. 544,\1\
545, 547, 548, 549, 553(b), 723(a), or 724(a).
---------------------------------------------------------------------------
\1\ So in original. Probably should be only one section symbol.
---------------------------------------------------------------------------
(C) Service. The motion shall be served on: (1) any
committee elected under Sec. 705 or appointed under
Sec. 1102 of the Code, or its authorized agent, or, if
the case is a chapter 9 municipality case or a chapter
11 reorganization case and no committee of unsecured
creditors has been appointed under Sec. 1102, on the
creditors included on the list filed under Rule 1007(d);
and (2) on any other entity that the court directs.
(2) Hearing. The court may commence a final hearing on a
motion for authority to obtain credit no earlier than 14 days
after service of the motion. If the motion so requests, the
court may conduct a hearing before such 14-day period expires,
but the court may authorize the obtaining of credit only to the
extent necessary to avoid immediate and irreparable harm to the
estate pending a final hearing.
(3) Notice. Notice of hearing pursuant to this subdivision
shall be given to the parties on whom service of the motion is
required by paragraph (1) of this subdivision and to such other
entities as the court may direct.
(d) Agreement Relating to Relief From the Automatic Stay,
Prohibiting or Conditioning the Use, Sale, or Lease of Property,
Providing Adequate Protection, Use of Cash Collateral, and Obtaining
Credit.
(1) Motion; Service.
(A) Motion. A motion for approval of any of the
following shall be accompanied by a copy of the
agreement and a proposed form of order:
(i) an agreement to provide adequate
protection;
(ii) an agreement to prohibit or condition
the use, sale, or lease of property;
(iii) an agreement to modify or terminate
the stay provided for in Sec. 362;
(iv) an agreement to use cash collateral; or
(v) an agreement between the debtor and an
entity that has a lien or interest in property
of the estate pursuant to which the entity
consents to the creation of a lien senior or
equal to the entity's lien or interest in such
property.
(B) Contents. The motion shall consist of or (if the
motion is more than five pages in length) begin with a
concise statement of the relief requested, not to exceed
five pages, that lists or summarizes, and sets out the
location within the relevant documents of, all material
provisions of the agreement. In addition, the concise
statement shall briefly list or summarize, and identify
the specific location of, each provision in the proposed
form of order, agreement, or other document of the type
listed in subdivision (c)(1)(B). The motion shall also
describe the nature and extent of each such provision.
(C) Service. The motion shall be served on: (1) any
committee elected under Sec. 705 or appointed under
Sec. 1102 of the Code, or its authorized agent, or, if
the case is a chapter 9 municipality case or a chapter
11 reorganization case and no committee of unsecured
creditors has been appointed under Sec. 1102, on the
creditors included on the list filed under Rule 1007(d);
and (2) on any other entity the court directs.
(2) Objection. Notice of the motion and the time within
which objections may be filed and served on the debtor in
possession or trustee shall be mailed to the parties on whom
service is required by paragraph (1) of this subdivision and to
such other entities as the court may direct. Unless the court
fixes a different time, objections may be filed within 15 days
of the mailing of notice.
(3) Disposition; Hearing. If no objection is filed, the
court may enter an order approving or disapproving the agreement
without conducting a hearing. If an objection is filed or if the
court determines a hearing is appropriate, the court shall hold
a hearing on no less than five days' notice to the objector, the
movant, the parties on whom service is required by paragraph (1)
of this subdivision and such other entities as the court may
direct.
(4) Agreement in Settlement of Motion. The court may direct
that the procedures prescribed in paragraphs (1), (2), and (3)
of this subdivision shall not apply and the agreement may be
approved without further notice if the court determines that a
motion made pursuant to subdivisions (a), (b), or (c) of this
rule was sufficient to afford reasonable notice of the material
provisions of the agreement and opportunity for a hearing.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 30, 2007, eff. Dec. 1,
2007; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 4002
_____. Duties of Debtor________________________________________________
(a) In General. In addition to performing other duties prescribed by
the Code and rules, the debtor shall:
(1) attend and submit to an examination at the times ordered
by the court;
(2) attend the hearing on a complaint objecting to discharge
and testify, if called as a witness;
(3) inform the trustee immediately in writing as to the
location of real property in which the debtor has an interest
and the name and address of every person holding money or
property subject to the debtor's withdrawal or order if a
schedule of property has not yet been filed pursuant to Rule
1007;
(4) cooperate with the trustee in the preparation of an
inventory, the examination of proofs of claim, and the
administration of the estate; and
(5) file a statement of any change of the debtor's address.
(b) Individual Debtor's Duty To Provide Documentation.
(1) Personal Identification. Every individual debtor shall
bring to the meeting of creditors under Sec. 341:
(A) a picture identification issued by a
governmental unit, or other personal identifying
information that establishes the debtor's identity; and
(B) evidence of social-security number(s), or a
written statement that such documentation does not
exist.
(2) Financial Information. Every individual debtor shall
bring to the meeting of creditors under Sec. 341, and make
available to the trustee, the following documents or copies of
them, or provide a written statement that the documentation does
not exist or is not in the debtor's possession:
(A) evidence of current income such as the most
recent payment advice;
(B) unless the trustee or the United States trustee
instructs otherwise, statements for each of the debtor's
depository and investment accounts, including checking,
savings, and money market accounts, mutual funds and
brokerage accounts for the time period that includes the
date of the filing of the petition; and
(C) documentation of monthly expenses claimed by the
debtor if required by Sec. 707(b)(2)(A) or (B).
(3) Tax Return. At least 7 days before the first date set
for the meeting of creditors under Sec. 341, the debtor shall
provide to the trustee a copy of the debtor's federal income tax
return for the most recent tax year ending immediately before
the commencement of the case and for which a return was filed,
including any attachments, or a transcript of the tax return, or
provide a written statement that the documentation does not
exist.
(4) Tax Returns Provided to Creditors. If a creditor, at
least 14 days before the first date set for the meeting of
creditors under Sec. 341, requests a copy of the debtor's tax
return that is to be provided to the trustee under subdivision
(b)(3), the debtor, at least 7 days before the first date set
for the meeting of creditors under Sec. 341, shall provide to
the requesting creditor a copy of the return, including any
attachments, or a transcript of the tax return, or provide a
written statement that the documentation does not exist.
(5) Confidentiality of Tax Information. The debtor's
obligation to provide tax returns under Rule 4002(b)(3) and
(b)(4) is subject to procedures for safeguarding the
confidentiality of tax information established by the Director
of the Administrative Office of the United States Courts.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 1
2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 4003
_____. Exemptions______________________________________________________
(a) Claim of Exemptions. A debtor shall list the property claimed as
exempt under Sec. 522 of the Code on the schedule of assets required to
be filed by Rule 1007. If the debtor fails to claim exemptions or file
the schedule within the time specified in Rule 1007, a dependent of the
debtor may file the list within 30 days thereafter.
(b) Objecting to a Claim of Exemptions.
(1) Except as provided in paragraphs (2) and (3), a party in
interest may file an objection to the list of property claimed
as exempt within 30 days after the meeting of creditors held
under Sec. 341(a) is concluded or within 30 days after any
amendment to the list or supplemental schedules is filed,
whichever is later. The court may, for cause, extend the time
for filing objections if, before the time to object expires, a
party in interest files a request for an extension.
(2) The trustee may file an objection to a claim of
exemption at any time prior to one year after the closing of the
case if the debtor fraudulently asserted the claim of exemption.
The trustee shall deliver or mail the objection to the debtor
and the debtor's attorney, and to any person filing the list of
exempt property and that person's attorney.
(3) An objection to a claim of exemption based on
Sec. 522(q) shall be filed before the closing of the case. If an
exemption is first claimed after a case is reopened, an
objection shall be filed before the reopened case is closed.
(4) A copy of any objection shall be delivered or mailed to
the trustee, the debtor and the debtor's attorney, and the
person filing the list and that person's attorney.
(c) Burden of Proof. In any hearing under this rule, the objecting
party has the burden of proving that the exemptions are not properly
claimed. After hearing on notice, the court shall determine the issues
presented by the objections.
(d) Avoidance by Debtor of Transfers of Exempt Property. A
proceeding by the debtor to avoid a lien or other transfer of property
exempt under Sec. 522(f) of the Code shall be by motion in accordance
with Rule 9014. Notwithstanding the provisions of subdivision (b), a
creditor may object to a motion filed under Sec. 522(f) by challenging
the validity of the exemption asserted to be impaired by the lien.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2008, eff. Dec. 1,
2008.)
Rule 4004
_____. Grant or Denial of Discharge____________________________________
(a) Time for Filing Complaint Objecting to Discharge; Notice of Time
Fixed. In a chapter 7 liquidation case a complaint objecting to the
debtor's discharge under Sec. 727(a) of the Code shall be filed no later
than 60 days after the first date set for the meeting of creditors under
Sec. 341(a). In a chapter 11 reorganization case, the complaint shall be
filed no later than the first date set for the hearing on confirmation.
At least 28 days' notice of the time so fixed shall be given to the
United States trustee and all creditors as provided in Rule 2002(f) and
(k) and to the trustee and the trustee's attorney.
(b) Extension of Time. On motion of any party in interest, after
hearing on notice, the court may for cause extend the time to file a
complaint objecting to discharge. The motion shall be filed before the
time has expired.
(c) Grant of Discharge.
(1) In a chapter 7 case, on expiration of the time fixed for
filing a complaint objecting to discharge and the time fixed for
filing a motion to dismiss the case under Rule 1017(e), the
court shall forthwith grant the discharge unless:
(A) the debtor is not an individual;
(B) a complaint objecting to the discharge has been
filed;
(C) the debtor has filed a waiver under
Sec. 727(a)(10);
(D) a motion to dismiss the case under Sec. 707 is
pending;
(E) a motion to extend the time for filing a
complaint objecting to the discharge is pending;
(F) a motion to extend the time for filing a motion
to dismiss the case under Rule 1017(e)(1) is pending;
(G) the debtor has not paid in full the filing fee
prescribed by 28 U.S.C. Sec. 1930(a) and any other fee
prescribed by the Judicial Conference of the United
States under 28 U.S.C. Sec. 1930(b) that is payable to
the clerk upon the commencement of a case under the
Code, unless the court has waived the fees under 28
U.S.C. Sec. 1930(f);
(H) the debtor has not filed with the court a
statement of completion of a course concerning personal
financial management as required by Rule 1007(b)(7);
(I) a motion to delay or postpone discharge under
Sec. 727(a)(12) is pending;
(J) a motion to enlarge the time to file a
reaffirmation agreement under Rule 4008(a) is pending;
(K) a presumption has arisen under Sec. 524(m) that
a reaffirmation agreement is an undue hardship; or
(L) a motion is pending to delay discharge, because
the debtor has not filed with the court all tax
documents required to be filed under Sec. 521(f).
(2) Notwithstanding Rule 4004(c)(1), on motion of the
debtor, the court may defer the entry of an order granting a
discharge for 30 days and, on motion within that period, the
court may defer entry of the order to a date certain.
(3) If the debtor is required to file a statement under Rule
1007(b)(8), the court shall not grant a discharge earlier than
30 days after the statement is filed.
(d) Applicability of Rules in Part VII. A proceeding commenced by a
complaint objecting to discharge is governed by Part VII of these rules.
(e) Order of Discharge. An order of discharge shall conform to the
appropriate Official Form.
(f) Registration in Other Districts. An order of discharge that has
become final may be registered in any other district by filing a
certified copy of the order in the office of the clerk of that district.
When so registered the order of discharge shall have the same effect as
an order of the court of the district where registered.
(g) Notice of Discharge. The clerk shall promptly mail a copy of the
final order of discharge to those specified in subdivision (a) of this
rule.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 26, 1999, eff. Dec. 1,
1999; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 29, 2002, eff. Dec. 1,
2002; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 4005
_____. Burden of Proof in Objecting to Discharge_______________________
At the trial on a complaint objecting to a discharge, the plaintiff
has the burden of proving the objection.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 4006
_____. Notice of No Discharge__________________________________________
If an order is entered: denying a discharge; revoking a discharge;
approving a waiver of discharge; or, in the case of an individual
debtor, closing the case without the entry of a discharge, the clerk
shall promptly notify all parties in interest in the manner provided by
Rule 2002.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec.
1, 2008.)
Rule 4007
_____. Determination of Dischargeability of a Debt_____________________
(a) Persons Entitled To File Complaint. A debtor or any creditor may
file a complaint to obtain a determination of the dischargeability of
any debt.
(b) Time for Commencing Proceeding Other Than Under Sec. 523(c) of
the Code. A complaint other than under Sec. 523(c) may be filed at any
time. A case may be reopened without payment of an additional filing fee
for the purpose of filing a complaint to obtain a determination under
this rule.
(c) Time for Filing Complaint Under Sec. 523(c) in a Chapter 7
Liquidation, Chapter 11 Reorganization, Chapter 12 Family Farmer's Debt
Adjustment Case, or Chapter 13 Individual's Debt Adjustment Case; Notice
of Time Fixed. Except as otherwise provided in subdivision (d), a
complaint to determine the dischargeability of a debt under Sec. 523(c)
shall be filed no later than 60 days after the first date set for the
meeting of creditors under Sec. 341(a). The court shall give all
creditors no less than 30 days' notice of the time so fixed in the
manner provided in Rule 2002. On motion of a party in interest, after
hearing on notice, the court may for cause extend the time fixed under
this subdivision. The motion shall be filed before the time has expired.
(d) Time for Filing Complaint Under Sec. 523(a)(6) in a Chapter 13
Individual's Debt Adjustment Case; Notice of Time Fixed. On motion by a
debtor for a discharge under Sec. 1328(b), the court shall enter an
order fixing the time to file a complaint to determine the
dischargeability of any debt under Sec. 523(a)(6) and shall give no less
than 30 days' notice of the time fixed to all creditors in the manner
provided in Rule 2002. On motion of any party in interest, after hearing
on notice, the court may for cause extend the time fixed under this
subdivision. The motion shall be filed before the time has expired.
(e) Applicability of Rules in Part VII. A proceeding commenced by a
complaint filed under this rule is governed by Part VII of these rules.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1,
2008.)
Rule 4008
_____. Filing of Reaffirmation Agreement; Statement in Support of
Reaffirmation Agreement_________________________________________________
(a) Filing of Reaffirmation Agreement. A reaffirmation agreement
shall be filed no later than 60 days after the first date set for the
meeting of creditors under Sec. 341(a) of the Code. The reaffirmation
agreement shall be accompanied by a cover sheet, prepared as prescribed
by the appropriate Official Form. The court may, at any time and in its
discretion, enlarge the time to file a reaffirmation agreement.
(b) Statement in Support of Reaffirmation Agreement. The debtor's
statement required under Sec. 524(k)(6)(A) of the Code shall be
accompanied by a statement of the total income and expenses stated on
schedules I and J. If there is a difference between the total income and
expenses stated on those schedules and the statement required under
Sec. 524(k)(6)(A), the statement required by this subdivision shall
include an explanation of the difference.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec.
1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
PART V--COURTS AND CLERKS
Rule 5001
_____. Courts and Clerks' Offices______________________________________
(a) Courts Always Open. The courts shall be deemed always open for
the purpose of filing any pleading or other proper paper, issuing and
returning process, and filing, making, or entering motions, orders and
rules.
(b) Trials and Hearings; Orders in Chambers. All trials and hearings
shall be conducted in open court and so far as convenient in a regular
court room. Except as otherwise provided in 28 U.S.C. Sec. 152(c), all
other acts or proceedings may be done or conducted by a judge in
chambers and at any place either within or without the district; but no
hearing, other than one ex parte, shall be conducted outside the
district without the consent of all parties affected thereby.
(c) Clerk's Office. The clerk's office with the clerk or a deputy in
attendance shall be open during business hours on all days except
Saturdays, Sundays and the legal holidays listed in Rule 9006(a).
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 5002
_____. Restrictions on Approval of Appointments________________________
(a) Approval of Appointment of Relatives Prohibited. The appointment
of an individual as a trustee or examiner pursuant to Sec. 1104 of the
Code shall not be approved by the court if the individual is a relative
of the bankruptcy judge approving the appointment or the United States
trustee in the region in which the case is pending. The employment of an
individual as an attorney, accountant, appraiser, auctioneer, or other
professional person pursuant to Sec. Sec. 327, 1103, or 1114 shall not
be approved by the court if the individual is a relative of the
bankruptcy judge approving the employment. The employment of an
individual as attorney, accountant, appraiser, auctioneer, or other
professional person pursuant to Sec. Sec. 327, 1103, or 1114 may be
approved by the court if the individual is a relative of the United
States trustee in the region in which the case is pending, unless the
court finds that the relationship with the United States trustee renders
the employment improper under the circumstances of the case. Whenever
under this subdivision an individual may not be approved for appointment
or employment, the individual's firm, partnership, corporation, or any
other form of business association or relationship, and all members,
associates and professional employees thereof also may not be approved
for appointment or employment.
(b) Judicial Determination That Approval of Appointment or
Employment Is Improper. A bankruptcy judge may not approve the
appointment of a person as a trustee or examiner pursuant to Sec. 1104
of the Code or approve the employment of a person as an attorney,
accountant, appraiser, auctioneer, or other professional person pursuant
to Sec. Sec. 327, 1103, or 1114 of the Code if that person is or has
been so connected with such judge or the United States trustee as to
render the appointment or employment improper.
(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 5003
_____. Records Kept By the Clerk_______________________________________
(a) Bankruptcy Dockets. The clerk shall keep a docket in each case
under the Code and shall enter thereon each judgment, order, and
activity in that case as prescribed by the Director of the
Administrative Office of the United States Courts. The entry of a
judgment or order in a docket shall show the date the entry is made.
(b) Claims Register. The clerk shall keep in a claims register a
list of claims filed in a case when it appears that there will be a
distribution to unsecured creditors.
(c) Judgments and Orders. The clerk shall keep, in the form and
manner as the Director of the Administrative Office of the United States
Courts may prescribe, a correct copy of every final judgment or order
affecting title to or lien on real property or for the recovery of money
or property, and any other order which the court may direct to be kept.
On request of the prevailing party, a correct copy of every judgment or
order affecting title to or lien upon real or personal property or for
the recovery of money or property shall be kept and indexed with the
civil judgments of the district court.
(d) Index of Cases; Certificate of Search. The clerk shall keep
indices of all cases and adversary proceedings as prescribed by the
Director of the Administrative Office of the United States Courts. On
request, the clerk shall make a search of any index and papers in the
clerk's custody and certify whether a case or proceeding has been filed
in or transferred to the court or if a discharge has been entered in its
records.
(e) Register of Mailing Addresses of Federal and State Governmental
Units and Certain Taxing Authorities. The United States or the state or
territory in which the court is located may file a statement designating
its mailing address. The United States, state, territory, or local
governmental unit responsible for collecting taxes within the district
in which the case is pending may also file a statement designating an
address for service of requests under Sec. 505(b) of the Code, and the
designation shall describe where further information concerning
additional requirements for filing such requests may be found. The clerk
shall keep, in the form and manner as the Director of the Administrative
Office of the United States Courts may prescribe, a register that
includes the mailing addresses designated under the first sentence of
this subdivision, and a separate register of the addresses designated
for the service of requests under Sec. 505(b) of the Code. The clerk is
not required to include in any single register more than one mailing
address for each department, agency, or instrumentality of the United
States or the state or territory. If more than one address for a
department, agency, or instrumentality is included in the register, the
clerk shall also include information that would enable a user of the
register to determine the circumstances when each address is applicable,
and mailing notice to only one applicable address is sufficient to
provide effective notice. The clerk shall update the register annually,
effective January 2 of each year. The mailing address in the register is
conclusively presumed to be a proper address for the governmental unit,
but the failure to use that mailing address does not invalidate any
notice that is otherwise effective under applicable law.
(f) Other Books and Records of the Clerk. The clerk shall keep any
other books and records required by the Director of the Administrative
Office of the United States Courts.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 17, 2000, eff. Dec.
1, 2000; Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 5004
_____. Disqualification________________________________________________
(a) Disqualification of Judge. A bankruptcy judge shall be governed
by 28 U.S.C. Sec. 455, and disqualified from presiding over the
proceeding or contested matter in which the disqualifying circumstances
\1\ arises or, if appropriate, shall be disqualified from presiding over
the case.
---------------------------------------------------------------------------
\1\ So in original. Probably should be ``circumstance''.
---------------------------------------------------------------------------
(b) Disqualification of Judge from Allowing Compensation. A
bankruptcy judge shall be disqualified from allowing compensation to a
person who is a relative of the bankruptcy judge or with whom the judge
is so connected as to render it improper for the judge to authorize such
compensation.
(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 30, 1987, eff. Aug.
1, 1987.)
Rule 5005
_____. Filing and Transmittal of Papers________________________________
(a) Filing.
(1) Place of Filing. The lists, schedules, statements,
proofs of claim or interest, complaints, motions, applications,
objections and other papers required to be filed by these rules,
except as provided in 28 U.S.C. Sec. 1409, shall be filed with
the clerk in the district where the case under the Code is
pending. The judge of that court may permit the papers to be
filed with the judge, in which event the filing date shall be
noted thereon, and they shall be forthwith transmitted to the
clerk. The clerk shall not refuse to accept for filing any
petition or other paper presented for the purpose of filing
solely because it is not presented in proper form as required by
these rules or any local rules or practices.
(2) Filing by Electronic Means. A court may by local rule
permit or require documents to be filed, signed, or verified by
electronic means that are consistent with technical standards,
if any, that the Judicial Conference of the United States
establishes. A local rule may require filing by electronic means
only if reasonable exceptions are allowed. A document filed by
electronic means in compliance with a local rule constitutes a
written paper for the purpose of applying these rules, the
Federal Rules of Civil Procedure made applicable by these rules,
and Sec. 107 of the Code.
(b) Transmittal to the United States Trustee.
(1) The complaints, motions, applications, objections and
other papers required to be transmitted to the United States
trustee by these rules shall be mailed or delivered to an office
of the United States trustee, or to another place designated by
the United States trustee, in the district where the case under
the Code is pending.
(2) The entity, other than the clerk, transmitting a paper
to the United States trustee shall promptly file as proof of
such transmittal a verified statement identifying the paper and
stating the date on which it was transmitted to the United
States trustee.
(3) Nothing in these rules shall require the clerk to
transmit any paper to the United States trustee if the United
States trustee requests in writing that the paper not be
transmitted.
(c) Error in Filing or Transmittal. A paper intended to be filed
with the clerk but erroneously delivered to the United States trustee,
the trustee, the attorney for the trustee, a bankruptcy judge, a
district judge, the clerk of the bankruptcy appellate panel, or the
clerk of the district court shall, after the date of its receipt has
been noted thereon, be transmitted forthwith to the clerk of the
bankruptcy court. A paper intended to be transmitted to the United
States trustee but erroneously delivered to the clerk, the trustee, the
attorney for the trustee, a bankruptcy judge, a district judge, the
clerk of the bankruptcy appellate panel, or the clerk of the district
court shall, after the date of its receipt has been noted thereon, be
transmitted forthwith to the United States trustee. In the interest of
justice, the court may order that a paper erroneously delivered shall be
deemed filed with the clerk or transmitted to the United States trustee
as of the date of its original delivery.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 23, 1996, eff. Dec. 1,
1996; Apr. 12, 2006, eff. Dec. 1, 2006.)
Rule 5006
_____. Certification of Copies of Papers_______________________________
The clerk shall issue a certified copy of the record of any
proceeding in a case under the Code or of any paper filed with the clerk
on payment of any prescribed fee.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 5007
_____. Record of Proceedings and Transcripts___________________________
(a) Filing of Record or Transcript. The reporter or operator of a
recording device shall certify the original notes of testimony, tape
recording, or other original record of the proceeding and promptly file
them with the clerk. The person preparing any transcript shall promptly
file a certified copy.
(b) Transcript Fees. The fees for copies of transcripts shall be
charged at rates prescribed by the Judicial Conference of the United
States. No fee may be charged for the certified copy filed with the
clerk.
(c) Admissibility of Record in Evidence. A certified sound recording
or a transcript of a proceeding shall be admissible as prima facie
evidence to establish the record.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 5008
_____. Notice Regarding Presumption of Abuse in Chapter 7 Cases of
Individual Debtors______________________________________________________
If a presumption of abuse has arisen under Sec. 707(b) in a chapter
7 case of an individual with primarily consumer debts, the clerk shall
within 10 days after the date of the filing of the petition notify
creditors of the presumption of abuse in accordance with Rule 2002. If
the debtor has not filed a statement indicating whether a presumption of
abuse has arisen, the clerk shall within 10 days after the date of the
filing of the petition notify creditors that the debtor has not filed
the statement and that further notice will be given if a later filed
statement indicates that a presumption of abuse has arisen. If a debtor
later files a statement indicating that a presumption of abuse has
arisen, the clerk shall notify creditors of the presumption of abuse as
promptly as practicable.
(Added Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 5009
_____. Closing Chapter 7 Liquidation, Chapter 12 Family Farmer's Debt
Adjustment, and Chapter 13 Individual's Debt Adjustment Cases___________
If in a chapter 7, chapter 12, or chapter 13 case the trustee has
filed a final report and final account and has certified that the estate
has been fully administered, and if within 30 days no objection has been
filed by the United States trustee or a party in interest, there shall
be a presumption that the estate has been fully administered.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 5010
_____. Reopening Cases_________________________________________________
A case may be reopened on motion of the debtor or other party in
interest pursuant to Sec. 350(b) of the Code. In a chapter 7, 12, or 13
case a trustee shall not be appointed by the United States trustee
unless the court determines that a trustee is necessary to protect the
interests of creditors and the debtor or to insure efficient
administration of the case.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 5011
_____. Withdrawal and Abstention from Hearing a Proceeding_____________
(a) Withdrawal. A motion for withdrawal of a case or proceeding
shall be heard by a district judge.
(b) Abstention From Hearing a Proceeding. A motion for abstention
pursuant to 28 U.S.C. Sec. 1334(c) shall be governed by Rule 9014 and
shall be served on the parties to the proceeding.
(c) Effect of Filing of Motion for Withdrawal or Abstention. The
filing of a motion for withdrawal of a case or proceeding or for
abstention pursuant to 28 U.S.C. Sec. 1334(c) shall not stay the
administration of the case or any proceeding therein before the
bankruptcy judge except that the bankruptcy judge may stay, on such
terms and conditions as are proper, proceedings pending disposition of
the motion. A motion for a stay ordinarily shall be presented first to
the bankruptcy judge. A motion for a stay or relief from a stay filed in
the district court shall state why it has not been presented to or
obtained from the bankruptcy judge. Relief granted by the district judge
shall be on such terms and conditions as the judge deems proper.
(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Apr. 30, 1991, eff.
Aug. 1, 1991.)
PART VI--COLLECTION AND LIQUIDATION OF THE ESTATE
Rule 6001
_____. Burden of Proof As to Validity of Postpetition Transfer_________
Any entity asserting the validity of a transfer under Sec. 549 of
the Code shall have the burden of proof.
Rule 6002
_____. Accounting by Prior Custodian of Property of the Estate_________
(a) Accounting Required. Any custodian required by the Code to
deliver property in the custodian's possession or control to the trustee
shall promptly file and transmit to the United States trustee a report
and account with respect to the property of the estate and the
administration thereof.
(b) Examination of Administration. On the filing and transmittal of
the report and account required by subdivision (a) of this rule and
after an examination has been made into the superseded administration,
after notice and a hearing, the court shall determine the propriety of
the administration, including the reasonableness of all disbursements.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993.)
Rule 6003
_____. Interim and Final Relief Immediately Following the Commencement
of the Case--Applications for Employment; Motions for Use, Sale, or
Lease of Property; and Motions for Assumption or Assignment of Executory
Contracts_______________________________________________________________
Except to the extent that relief is necessary to avoid immediate and
irreparable harm, the court shall not, within 21 days after the filing
of the petition, grant relief regarding the following:
(a) an application under Rule 2014;
(b) a motion to use, sell, lease, or otherwise incur an
obligation regarding property of the estate, including a motion
to pay all or part of a claim that arose before the filing of
the petition, but not a motion under Rule 4001; and
(c) a motion to assume or assign an executory contract or
unexpired lease in accordance with Sec. 365.
(Added Apr. 30, 2007, eff. Dec. 1, 2007; amended Mar. 26, 2009, eff.
Dec. 1, 2009.)
Rule 6004
_____. Use, Sale, or Lease of Property_________________________________
(a) Notice of Proposed Use, Sale, or Lease of Property. Notice of a
proposed use, sale, or lease of property, other than cash collateral,
not in the ordinary course of business shall be given pursuant to Rule
2002(a)(2), (c)(1), (i), and (k) and, if applicable, in accordance with
Sec. 363(b)(2) of the Code.
(b) Objection to Proposal. Except as provided in subdivisions (c)
and (d) of this rule, an objection to a proposed use, sale, or lease of
property shall be filed and served not less than seven days before the
date set for the proposed action or within the time fixed by the court.
An objection to the proposed use, sale, or lease of property is governed
by Rule 9014.
(c) Sale Free and Clear of Liens and Other Interests. A motion for
authority to sell property free and clear of liens or other interests
shall be made in accordance with Rule 9014 and shall be served on the
parties who have liens or other interests in the property to be sold.
The notice required by subdivision (a) of this rule shall include the
date of the hearing on the motion and the time within which objections
may be filed and served on the debtor in possession or trustee.
(d) Sale of Property Under $2,500. Notwithstanding subdivision (a)
of this rule, when all of the nonexempt property of the estate has an
aggregate gross value less than $2,500, it shall be sufficient to give a
general notice of intent to sell such property other than in the
ordinary course of business to all creditors, indenture trustees,
committees appointed or elected pursuant to the Code, the United States
trustee and other persons as the court may direct. An objection to any
such sale may be filed and served by a party in interest within 14 days
of the mailing of the notice, or within the time fixed by the court. An
objection is governed by Rule 9014.
(e) Hearing. If a timely objection is made pursuant to subdivision
(b) or (d) of this rule, the date of the hearing thereon may be set in
the notice given pursuant to subdivision (a) of this rule.
(f) Conduct of Sale Not in the Ordinary Course of Business.
(1) Public or Private Sale. All sales not in the ordinary
course of business may be by private sale or by public auction.
Unless it is impracticable, an itemized statement of the
property sold, the name of each purchaser, and the price
received for each item or lot or for the property as a whole if
sold in bulk shall be filed on completion of a sale. If the
property is sold by an auctioneer, the auctioneer shall file the
statement, transmit a copy thereof to the United States trustee,
and furnish a copy to the trustee, debtor in possession, or
chapter 13 debtor. If the property is not sold by an auctioneer,
the trustee, debtor in possession, or chapter 13 debtor shall
file the statement and transmit a copy thereof to the United
States trustee.
(2) Execution of Instruments. After a sale in accordance
with this rule the debtor, the trustee, or debtor in possession,
as the case may be, shall execute any instrument necessary or
ordered by the court to effectuate the transfer to the
purchaser.
(g) Sale of Personally Identifiable Information.
(1) Motion. A motion for authority to sell or lease
personally identifiable information under Sec. 363(b)(1)(B)
shall include a request for an order directing the United States
trustee to appoint a consumer privacy ombudsman under Sec. 332.
Rule 9014 governs the motion which shall be served on: any
committee elected under Sec. 705 or appointed under Sec. 1102 of
the Code, or if the case is a chapter 11 reorganization case and
no committee of unsecured creditors has been appointed under
Sec. 1102, on the creditors included on the list of creditors
filed under Rule 1007(d); and on such other entities as the
court may direct. The motion shall be transmitted to the United
States trustee.
(2) Appointment. If a consumer privacy ombudsman is
appointed under Sec. 332, no later than seven days before the
hearing on the motion under Sec. 363(b)(1)(B), the United States
trustee shall file a notice of the appointment, including the
name and address of the person appointed. The United States
trustee's notice shall be accompanied by a verified statement of
the person appointed setting forth the person's connections with
the debtor, creditors, any other party in interest, their
respective attorneys and accountants, the United States trustee,
or any person employed in the office of the United States
trustee.
(h) Stay of Order Authorizing Use, Sale, or Lease of Property. An
order authorizing the use, sale, or lease of property other than cash
collateral is stayed until the expiration of 14 days after entry of the
order, unless the court orders otherwise.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1,
2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 6005
_____. Appraisers and Auctioneers______________________________________
The order of the court approving the employment of an appraiser or
auctioneer shall fix the amount or rate of compensation. No officer or
employee of the Judicial Branch of the United States or the United
States Department of Justice shall be eligible to act as appraiser or
auctioneer. No residence or licensing requirement shall disqualify an
appraiser or auctioneer from employment.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 6006
_____. Assumption, Rejection or Assignment of an Executory Contract or
Unexpired Lease_________________________________________________________
(a) Proceeding To Assume, Reject, or Assign. A proceeding to assume,
reject, or assign an executory contract or unexpired lease, other than
as part of a plan, is governed by Rule 9014.
(b) Proceeding To Require Trustee To Act. A proceeding by a party to
an executory contract or unexpired lease in a chapter 9 municipality
case, chapter 11 reorganization case, chapter 12 family farmer's debt
adjustment case, or chapter 13 individual's debt adjustment case, to
require the trustee, debtor in possession, or debtor to determine
whether to assume or reject the contract or lease is governed by Rule
9014.
(c) Notice. Notice of a motion made pursuant to subdivision (a) or
(b) of this rule shall be given to the other party to the contract or
lease, to other parties in interest as the court may direct, and, except
in a chapter 9 municipality case, to the United States trustee.
(d) Stay of Order Authorizing Assignment. An order authorizing the
trustee to assign an executory contract or unexpired lease under
Sec. 365(f) is stayed until the expiration of 14 days after the entry of
the order, unless the court orders otherwise.
(e) Limitations. The trustee shall not seek authority to assume or
assign multiple executory contracts or unexpired leases in one motion
unless: (1) all executory contracts or unexpired leases to be assumed or
assigned are between the same parties or are to be assigned to the same
assignee; (2) the trustee seeks to assume, but not assign to more than
one assignee, unexpired leases of real property; or (3) the court
otherwise authorizes the motion to be filed. Subject to subdivision (f),
the trustee may join requests for authority to reject multiple executory
contracts or unexpired leases in one motion.
(f) Omnibus Motions. A motion to reject or, if permitted under
subdivision (e), a motion to assume or assign multiple executory
contracts or unexpired leases that are not between the same parties
shall:
(1) state in a conspicuous place that parties receiving the
omnibus motion should locate their names and their contracts or
leases listed in the motion;
(2) list parties alphabetically and identify the
corresponding contract or lease;
(3) specify the terms, including the curing of defaults, for
each requested assumption or assignment;
(4) specify the terms, including the identity of each
assignee and the adequate assurance of future performance by
each assignee, for each requested assignment;
(5) be numbered consecutively with other omnibus motions to
assume, assign, or reject executory contracts or unexpired
leases; and
(6) be limited to no more than 100 executory contracts or
unexpired leases.
(g) Finality of Determination. The finality of any order respecting
an executory contract or unexpired lease included in an omnibus motion
shall be determined as though such contract or lease had been the
subject of a separate motion.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1,
1999; Apr. 30 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 6007
_____. Abandonment or Disposition of Property__________________________
(a) Notice of Proposed Abandonment or Disposition; Objections;
Hearing. Unless otherwise directed by the court, the trustee or debtor
in possession shall give notice of a proposed abandonment or disposition
of property to the United States trustee, all creditors, indenture
trustees, and committees elected pursuant to Sec. 705 or appointed
pursuant to Sec. 1102 of the Code. A party in interest may file and
serve an objection within 14 days of the mailing of the notice, or
within the time fixed by the court. If a timely objection is made, the
court shall set a hearing on notice to the United States trustee and to
other entities as the court may direct.
(b) Motion by Party in Interest. A party in interest may file and
serve a motion requiring the trustee or debtor in possession to abandon
property of the estate.
[(c) Hearing] (Abrogated Apr. 22, 1993, eff. Aug. 1, 1993)
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 6008
_____. Redemption of Property from Lien or Sale________________________
On motion by the debtor, trustee, or debtor in possession and after
hearing on notice as the court may direct, the court may authorize the
redemption of property from a lien or from a sale to enforce a lien in
accordance with applicable law.
Rule 6009
_____. Prosecution and Defense of Proceedings by Trustee or Debtor in
Possession______________________________________________________________
With or without court approval, the trustee or debtor in possession
may prosecute or may enter an appearance and defend any pending action
or proceeding by or against the debtor, or commence and prosecute any
action or proceeding in behalf of the estate before any tribunal.
Rule 6010
_____. Proceeding to Avoid Indemnifying Lien or Transfer to Surety_____
If a lien voidable under Sec. 547 of the Code has been dissolved by
the furnishing of a bond or other obligation and the surety thereon has
been indemnified by the transfer of, or the creation of a lien upon,
nonexempt property of the debtor, the surety shall be joined as a
defendant in any proceeding to avoid the indemnifying transfer or lien.
Such proceeding is governed by the rules in Part VII.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 6011
_____. Disposal of Patient Records in Health Care Business Case________
(a) Notice by Publication Under Sec. 351(1)(A). A notice regarding
the claiming or disposing of patient records under Sec. 351(1)(A) shall
not identify any patient by name or other identifying information, but
shall:
(1) identify with particularity the health care facility
whose patient records the trustee proposes to destroy;
(2) state the name, address, telephone number, email
address, and website, if any, of a person from whom information
about the patient records may be obtained;
(3) state how to claim the patient records; and
(4) state the date by which patient records must be claimed,
and that if they are not so claimed the records will be
destroyed.
(b) Notice by Mail Under Sec. 351(1)(B). Subject to applicable
nonbankruptcy law relating to patient privacy, a notice regarding the
claiming or disposing of patient records under Sec. 351(1)(B) shall, in
addition to including the information in subdivision (a), direct that a
patient's family member or other representative who receives the notice
inform the patient of the notice. Any notice under this subdivision
shall be mailed to the patient and any family member or other contact
person whose name and address have been given to the trustee or the
debtor for the purpose of providing information regarding the patient's
health care, to the Attorney General of the State where the health care
facility is located, and to any insurance company known to have provided
health care insurance to the patient.
(c) Proof of Compliance With Notice Requirement. Unless the court
orders the trustee to file proof of compliance with Sec. 351(1)(B) under
seal, the trustee shall not file, but shall maintain, the proof of
compliance for a reasonable time.
(d) Report of Destruction of Records. The trustee shall file, no
later than 30 days after the destruction of patient records under
Sec. 351(3), a report certifying that the unclaimed records have been
destroyed and explaining the method used to effect the destruction. The
report shall not identify any patient by name or other identifying
information.
(Added Apr. 23, 2008, eff. Dec. 1, 2008.)
PART VII--ADVERSARY PROCEEDINGS
Rule 7001
_____. Scope of Rules of Part VII______________________________________
An adversary proceeding is governed by the rules of this Part VII.
The following are adversary proceedings:
(1) a proceeding to recover money or property, other than a
proceeding to compel the debtor to deliver property to the
trustee, or a proceeding under Sec. 554(b) or Sec. 725 of the
Code, Rule 2017, or Rule 6002;
(2) a proceeding to determine the validity, priority, or
extent of a lien or other interest in property, other than a
proceeding under Rule 4003(d);
(3) a proceeding to obtain approval under Sec. 363(h) for
the sale of both the interest of the estate and of a co-owner in
property;
(4) a proceeding to object to or revoke a discharge;
(5) a proceeding to revoke an order of confirmation of a
chapter 11, chapter 12, or chapter 13 plan;
(6) a proceeding to determine the dischargeability of a
debt;
(7) a proceeding to obtain an injunction or other equitable
relief, except when a chapter 9, chapter 11, chapter 12, or
chapter 13 plan provides for the relief;
(8) a proceeding to subordinate any allowed claim or
interest, except when a chapter 9, chapter 11, chapter 12, or
chapter 13 plan provides for subordination;
(9) a proceeding to obtain a declaratory judgment relating
to any of the foregoing; or
(10) a proceeding to determine a claim or cause of action
removed under 28 U.S.C. Sec. 1452.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999.)
Rule 7002
_____. References to Federal Rules of Civil Procedure__________________
Whenever a Federal Rule of Civil Procedure applicable to adversary
proceedings makes reference to another Federal Rule of Civil Procedure,
the reference shall be read as a reference to the Federal Rule of Civil
Procedure as modified in this Part VII.
Rule 7003
_____. Commencement of Adversary Proceeding____________________________
Rule 3 F.R.Civ.P. applies in adversary proceedings.
Rule 7004
_____. Process; Service of Summons, Complaint__________________________
(a) Summons; Service; Proof of Service.
(1) Except as provided in Rule 7004(a)(2), Rule 4(a), (b),
(c)(1), (d)(1), (e)-(j), (l), and (m) F.R.Civ.P. applies in
adversary proceedings. Personal service under Rule 4(e)-(j)
F.R.Civ.P. may be made by any person at least 18 years of age
who is not a party, and the summons may be delivered by the
clerk to any such person.
(2) The clerk may sign, seal, and issue a summons
electronically by putting an ``s/'' before the clerk's name and
including the court's seal on the summons.
(b) Service by First Class Mail. Except as provided in subdivision
(h), in addition to the methods of service authorized by Rule 4(e)-(j)
F.R.Civ.P., service may be made within the United States by first class
mail postage prepaid as follows:
(1) Upon an individual other than an infant or incompetent,
by mailing a copy of the summons and complaint to the
individual's dwelling house or usual place of abode or to the
place where the individual regularly conducts a business or
profession.
(2) Upon an infant or an incompetent person, by mailing a
copy of the summons and complaint to the person upon whom
process is prescribed to be served by the law of the state in
which service is made when an action is brought against such a
defendant in the courts of general jurisdiction of that state.
The summons and complaint in that case shall be addressed to the
person required to be served at that person's dwelling house or
usual place of abode or at the place where the person regularly
conducts a business or profession.
(3) Upon a domestic or foreign corporation or upon a
partnership or other unincorporated association, by mailing a
copy of the summons and complaint to the attention of an
officer, a managing or general agent, or to any other agent
authorized by appointment or by law to receive service of
process and, if the agent is one authorized by statute to
receive service and the statute so requires, by also mailing a
copy to the defendant.
(4) Upon the United States, by mailing a copy of the summons
and complaint addressed to the civil process clerk at the office
of the United States attorney for the district in which the
action is brought and by mailing a copy of the summons and
complaint to the Attorney General of the United States at
Washington, District of Columbia, and in any action attacking
the validity of an order of an officer or an agency of the
United States not made a party, by also mailing a copy of the
summons and complaint to that officer or agency. The court shall
allow a reasonable time for service pursuant to this subdivision
for the purpose of curing the failure to mail a copy of the
summons and complaint to multiple officers, agencies, or
corporations of the United States if the plaintiff has mailed a
copy of the summons and complaint either to the civil process
clerk at the office of the United States attorney or to the
Attorney General of the United States.
(5) Upon any officer or agency of the United States, by
mailing a copy of the summons and complaint to the United States
as prescribed in paragraph (4) of this subdivision and also to
the officer or agency. If the agency is a corporation, the
mailing shall be as prescribed in paragraph (3) of this
subdivision of this rule. The court shall allow a reasonable
time for service pursuant to this subdivision for the purpose of
curing the failure to mail a copy of the summons and complaint
to multiple officers, agencies, or corporations of the United
States if the plaintiff has mailed a copy of the summons and
complaint either to the civil process clerk at the office of the
United States attorney or to the Attorney General of the United
States. If the United States trustee is the trustee in the case
and service is made upon the United States trustee solely as
trustee, service may be made as prescribed in paragraph (10) of
this subdivision of this rule.
(6) Upon a state or municipal corporation or other
governmental organization thereof subject to suit, by mailing a
copy of the summons and complaint to the person or office upon
whom process is prescribed to be served by the law of the state
in which service is made when an action is brought against such
a defendant in the courts of general jurisdiction of that state,
or in the absence of the designation of any such person or
office by state law, then to the chief executive officer
thereof.
(7) Upon a defendant of any class referred to in paragraph
(1) or (3) of this subdivision of this rule, it is also
sufficient if a copy of the summons and complaint is mailed to
the entity upon whom service is prescribed to be served by any
statute of the United States or by the law of the state in which
service is made when an action is brought against such a
defendant in the court of general jurisdiction of that state.
(8) Upon any defendant, it is also sufficient if a copy of
the summons and complaint is mailed to an agent of such
defendant authorized by appointment or by law to receive service
of process, at the agent's dwelling house or usual place of
abode or at the place where the agent regularly carries on a
business or profession and, if the authorization so requires, by
mailing also a copy of the summons and complaint to the
defendant as provided in this subdivision.
(9) Upon the debtor, after a petition has been filed by or
served upon the debtor and until the case is dismissed or
closed, by mailing a copy of the summons and complaint to the
debtor at the address shown in the petition or to such other
address as the debtor may designate in a filed writing.
(10) Upon the United States trustee, when the United States
trustee is the trustee in the case and service is made upon the
United States trustee solely as trustee, by mailing a copy of
the summons and complaint to an office of the United States
trustee or another place designated by the United States trustee
in the district where the case under the Code is pending.
(c) Service by Publication. If a party to an adversary proceeding to
determine or protect rights in property in the custody of the court
cannot be served as provided in Rule 4(e)-(j) F.R.Civ.P. or subdivision
(b) of this rule, the court may order the summons and complaint to be
served by mailing copies thereof by first class mail, postage prepaid,
to the party's last known address, and by at least one publication in
such manner and form as the court may direct.
(d) Nationwide Service of Process. The summons and complaint and all
other process except a subpoena may be served anywhere in the United
States.
(e) Summons: Time Limit for Service Within the United States.
Service made under Rule 4(e), (g), (h)(1), (i), or (j)(2) F.R.Civ.P.
shall be by delivery of the summons and complaint within 14 days after
the summons is issued. If service is by any authorized form of mail, the
summons and complaint shall be deposited in the mail within 14 days
after the summons is issued. If a summons is not timely delivered or
mailed, another summons shall be issued and served. This subdivision
does not apply to service in a foreign country.
(f) Personal Jurisdiction. If the exercise of jurisdiction is
consistent with the Constitution and laws of the United States, serving
a summons or filing a waiver of service in accordance with this rule or
the subdivisions of Rule 4 F.R.Civ.P. made applicable by these rules is
effective to establish personal jurisdiction over the person of any
defendant with respect to a case under the Code or a civil proceeding
arising under the Code, or arising in or related to a case under the
Code.
(g) Service on Debtor's Attorney. If the debtor is represented by an
attorney, whenever service is made upon the debtor under this Rule,
service shall also be made upon the debtor's attorney by any means
authorized under Rule 5(b) F.R.Civ.P.
(h) Service of Process on an Insured Depository Institution. Service
on an insured depository institution (as defined in section 3 of the
Federal Deposit Insurance Act) in a contested matter or adversary
proceeding shall be made by certified mail addressed to an officer of
the institution unless--
(1) the institution has appeared by its attorney, in which
case the attorney shall be served by first class mail;
(2) the court orders otherwise after service upon the
institution by certified mail of notice of an application to
permit service on the institution by first class mail sent to an
officer of the institution designated by the institution; or
(3) the institution has waived in writing its entitlement to
service by certified mail by designating an officer to receive
service.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Pub. L. 103-394, title I, Sec. 114, Oct. 22, 1994, 108 Stat.
4118; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 26, 1999, eff. Dec. 1,
1999; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 12, 2006, eff. Dec. 1,
2006; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 7005
_____. Service and Filing of Pleadings and Other Papers________________
Rule 5 F.R.Civ.P. applies in adversary proceedings.
Rule 7007
_____. Pleadings Allowed_______________________________________________
Rule 7 F.R.Civ.P. applies in adversary proceedings.
Rule 7007.1
_____. Corporate Ownership Statement___________________________________
(a) Required Disclosure. Any corporation that is a party to an
adversary proceeding, other than the debtor or a governmental unit,
shall file two copies of a statement that identifies any corporation,
other than a governmental unit, that directly or indirectly owns 10% or
more of any class of the corporation's equity interests, or states that
there are no entities to report under this subdivision.
(b) Time for Filing. A party shall file the statement required under
Rule 7007.1(a) with its first appearance, pleading, motion, response, or
other request addressed to the court. A party shall file a supplemental
statement promptly upon any change in circumstances that this rule
requires the party to identify or disclose.
(Added Mar. 27, 2003, eff. Dec. 1, 2003; amended Apr. 30, 2007, eff.
Dec. 1, 2007.)
Rule 7008
_____. General Rules of Pleading_______________________________________
(a) Applicability of Rule 8 F.R.Civ.P. Rule 8 F.R.Civ.P. applies in
adversary proceedings. The allegation of jurisdiction required by Rule
8(a) shall also contain a reference to the name, number, and chapter of
the case under the Code to which the adversary proceeding relates and to
the district and division where the case under the Code is pending. In
an adversary proceeding before a bankruptcy judge, the complaint,
counterclaim, cross-claim, or third-party complaint shall contain a
statement that the proceeding is core or non-core and, if non-core, that
the pleader does or does not consent to entry of final orders or
judgment by the bankruptcy judge.
(b) Attorney's Fees. A request for an award of attorney's fees shall
be pleaded as a claim in a complaint, cross-claim, third-party
complaint, answer, or reply as may be appropriate.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 7009
_____. Pleading Special Matters________________________________________
Rule 9 F.R.Civ.P. applies in adversary proceedings.
Rule 7010
_____. Form of Pleadings_______________________________________________
Rule 10 F.R.Civ.P. applies in adversary proceedings, except that the
caption of each pleading in such a proceeding shall conform
substantially to the appropriate Official Form.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 7012
_____. Defenses and Objections--When and How Presented--By Pleading or
Motion--Motion for Judgment on the Pleadings____________________________
(a) When Presented. If a complaint is duly served, the defendant
shall serve an answer within 30 days after the issuance of the summons,
except when a different time is prescribed by the court. The court shall
prescribe the time for service of the answer when service of a complaint
is made by publication or upon a party in a foreign country. A party
served with a pleading stating a cross-claim shall serve an answer
thereto within 21 days after service. The plaintiff shall serve a reply
to a counterclaim in the answer within 21 days after service of the
answer or, if a reply is ordered by the court, within 21 days after
service of the order, unless the order otherwise directs. The United
States or an officer or agency thereof shall serve an answer to a
complaint within 35 days after the issuance of the summons, and shall
serve an answer to a cross-claim, or a reply to a counterclaim, within
35 days after service upon the United States attorney of the pleading in
which the claim is asserted. The service of a motion permitted under
this rule alters these periods of time as follows, unless a different
time is fixed by order of the court: (1) if the court denies the motion
or postpones its disposition until the trial on the merits, the
responsive pleading shall be served within 14 days after notice of the
court's action; (2) if the court grants a motion for a more definite
statement, the responsive pleading shall be served within 14 days after
the service of a more definite statement.
(b) Applicability of Rule 12(b)-(i) F.R.Civ.P. Rule 12(b)-(i)
F.R.Civ.P. applies in adversary proceedings. A responsive pleading shall
admit or deny an allegation that the proceeding is core or non-core. If
the response is that the proceeding is non-core, it shall include a
statement that the party does or does not consent to entry of final
orders or judgment by the bankruptcy judge. In non-core proceedings
final orders and judgments shall not be entered on the bankruptcy
judge's order except with the express consent of the parties.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec.
1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 7013
_____. Counterclaim and Cross-Claim____________________________________
Rule 13 F.R.Civ.P. applies in adversary proceedings, except that a
party sued by a trustee or debtor in possession need not state as a
counterclaim any claim that the party has against the debtor, the
debtor's property, or the estate, unless the claim arose after the entry
of an order for relief. A trustee or debtor in possession who fails to
plead a counterclaim through oversight, inadvertence, or excusable
neglect, or when justice so requires, may by leave of court amend the
pleading, or commence a new adversary proceeding or separate action.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 7014
_____. Third-Party Practice____________________________________________
Rule 14 F.R.Civ.P. applies in adversary proceedings.
Rule 7015
_____. Amended and Supplemental Pleadings______________________________
Rule 15 F.R.Civ.P. applies in adversary proceedings.
Rule 7016
_____. Pre-Trial Procedure; Formulating Issues_________________________
Rule 16 F.R.Civ.P. applies in adversary proceedings.
Rule 7017
_____. Parties Plaintiff and Defendant; Capacity_______________________
Rule 17 F.R.Civ.P. applies in adversary proceedings, except as
provided in Rule 2010(b).
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 7018
_____. Joinder of Claims and Remedies__________________________________
Rule 18 F.R.Civ.P. applies in adversary proceedings.
Rule 7019
_____. Joinder of Persons Needed for Just Determination________________
Rule 19 F.R.Civ.P. applies in adversary proceedings, except that (1)
if an entity joined as a party raises the defense that the court lacks
jurisdiction over the subject matter and the defense is sustained, the
court shall dismiss such entity from the adversary proceedings and (2)
if an entity joined as a party properly and timely raises the defense of
improper venue, the court shall determine, as provided in 28 U.S.C.
Sec. 1412, whether that part of the proceeding involving the joined
party shall be transferred to another district, or whether the entire
adversary proceeding shall be transferred to another district.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 7020
_____. Permissive Joinder of Parties___________________________________
Rule 20 F.R.Civ.P. applies in adversary proceedings.
Rule 7021
_____. Misjoinder and Non-Joinder of Parties___________________________
Rule 21 F.R.Civ.P. applies in adversary proceedings.
Rule 7022
_____. Interpleader____________________________________________________
Rule 22(a) F.R.Civ.P. applies in adversary proceedings. This rule
supplements--and does not limit--the joinder of parties allowed by Rule
7020.
(As amended Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 7023
_____. Class Proceedings_______________________________________________
Rule 23 F.R.Civ.P. applies in adversary proceedings.
Rule 7023.1
_____. Derivative Actions______________________________________________
Rule 23.1 F.R.Civ.P. applies in adversary proceedings.
(As amended Apr. 23, 2008, eff. Dec. 1, 2008.)
Rule 7023.2
_____. Adversary Proceedings Relating to Unincorporated Associations___
Rule 23.2 F.R.Civ.P. applies in adversary proceedings.
Rule 7024
_____. Intervention____________________________________________________
Rule 24 F.R.Civ.P. applies in adversary proceedings.
Rule 7025
_____. Substitution of Parties_________________________________________
Subject to the provisions of Rule 2012, Rule 25 F.R.Civ.P. applies
in adversary proceedings.
Rule 7026
_____. General Provisions Governing Discovery__________________________
Rule 26 F.R.Civ.P. applies in adversary proceedings.
Rule 7027
_____. Depositions Before Adversary Proceedings or Pending Appeal______
Rule 27 F.R.Civ.P. applies to adversary proceedings.
Rule 7028
_____. Persons Before Whom Depositions May Be Taken____________________
Rule 28 F.R.Civ.P. applies in adversary proceedings.
Rule 7029
_____. Stipulations Regarding Discovery Procedure______________________
Rule 29 F.R.Civ.P. applies in adversary proceedings.
Rule 7030
_____. Depositions Upon Oral Examination_______________________________
Rule 30 F.R.Civ.P. applies in adversary proceedings.
Rule 7031
_____. Deposition Upon Written Questions_______________________________
Rule 31 F.R.Civ.P. applies in adversary proceedings.
Rule 7032
_____. Use of Depositions in Adversary Proceedings_____________________
Rule 32 F.R.Civ.P. applies in adversary proceedings.
Rule 7033
_____. Interrogatories to Parties______________________________________
Rule 33 F.R.Civ.P. applies in adversary proceedings.
Rule 7034
_____. Production of Documents and Things and Entry Upon Land for
Inspection and Other Purposes___________________________________________
Rule 34 F.R.Civ.P. applies in adversary proceedings.
Rule 7035
_____. Physical and Mental Examination of Persons______________________
Rule 35 F.R.Civ.P. applies in adversary proceedings.
Rule 7036
_____. Requests for Admission__________________________________________
Rule 36 F.R.Civ.P. applies in adversary proceedings.
Rule 7037
_____. Failure to Make Discovery: Sanctions____________________________
Rule 37 F.R.Civ.P. applies in adversary proceedings.
Rule 7040
_____. Assignment of Cases for Trial___________________________________
Rule 40 F.R.Civ.P. applies in adversary proceedings.
Rule 7041
_____. Dismissal of Adversary Proceedings______________________________
Rule 41 F.R.Civ.P. applies in adversary proceedings, except that a
complaint objecting to the debtor's discharge shall not be dismissed at
the plaintiff's instance without notice to the trustee, the United
States trustee, and such other persons as the court may direct, and only
on order of the court containing terms and conditions which the court
deems proper.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 7042
_____. Consolidation of Adversary Proceedings; Separate Trials_________
Rule 42 F.R.Civ.P. applies in adversary proceedings.
Rule 7052
_____. Findings by the Court___________________________________________
Rule 52 F.R.Civ.P. applies in adversary proceedings, except that any
motion under subdivision (b) of that rule for amended or additional
findings shall be filed no later than 14 days after entry of judgment.
In these proceedings, the reference in Rule 52 F.R.Civ.P. to the entry
of judgment under Rule 58 F.R.Civ.P. shall be read as a reference to the
entry of a judgment or order under Rule 5003(a).
(As amended Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 7054
_____. Judgments; Costs________________________________________________
(a) Judgments. Rule 54(a)-(c) F.R.Civ.P. applies in adversary
proceedings.
(b) Costs. The court may allow costs to the prevailing party except
when a statute of the United States or these rules otherwise provides.
Costs against the United States, its officers and agencies shall be
imposed only to the extent permitted by law. Costs may be taxed by the
clerk on one day's notice; on motion served within five days thereafter,
the action of the clerk may be reviewed by the court.
Rule 7055
_____. Default_________________________________________________________
Rule 55 F.R.Civ.P. applies in adversary proceedings.
Rule 7056
_____. Summary Judgment________________________________________________
Rule 56 F.R.Civ.P. applies in adversary proceedings.
Rule 7058
_____. Entering Judgment in Adversary Proceeding_______________________
Rule 58 F.R.Civ.P. applies in adversary proceedings. In these
proceedings, the reference in Rule 58 F.R.Civ.P. to the civil docket
shall be read as a reference to the docket maintained by the clerk under
Rule 5003(a).
(Added Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 7062
_____. Stay of Proceedings to Enforce a Judgment_______________________
Rule 62 F.R.Civ.P. applies in adversary proceedings.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26, 1999, eff. Dec.
1, 1999.)
Rule 7064
_____. Seizure of Person or Property___________________________________
Rule 62 F.R.Civ.P. applies in adversary proceedings.
Rule 7065
_____. Injunctions_____________________________________________________
Rule 65 F.R.Civ.P. applies in adversary proceedings, except that a
temporary restraining order or preliminary injunction may be issued on
application of a debtor, trustee, or debtor in possession without
compliance with Rule 65(c).
Rule 7067
_____. Deposit in Court________________________________________________
Rule 67 F.R.Civ.P. applies in adversary proceedings.
Rule 7068
_____. Offer of Judgment_______________________________________________
Rule 68 F.R.Civ.P. applies in adversary proceedings.
Rule 7069
_____. Execution_______________________________________________________
Rule 69 F.R.Civ.P. applies in adversary proceedings.
Rule 7070
_____. Judgment for Specific Acts; Vesting Title_______________________
Rule 70 F.R.Civ.P. applies in adversary proceedings and the court
may enter a judgment divesting the title of any party and vesting title
in others whenever the real or personal property involved is within the
jurisdiction of the court.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 7071
_____. Process in Behalf of and Against Persons Not Parties____________
Rule 71 F.R.Civ.P. applies in adversary proceedings.
Rule 7087
_____. Transfer of Adversary Proceeding________________________________
On motion and after a hearing, the court may transfer an adversary
proceeding or any part thereof to another district pursuant to 28 U.S.C.
Sec. 1412, except as provided in Rule 7019(2).
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
PART VIII--APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE PANEL
Rule 8001
_____. Manner of Taking Appeal; Voluntary Dismissal; Certification to
Court of Appeals________________________________________________________
(a) Appeal as of Right; How Taken. An appeal from a judgment, order,
or decree of a bankruptcy judge to a district court or bankruptcy
appellate panel as permitted by 28 U.S.C. Sec. 158(a)(1) or (a)(2) shall
be taken by filing a notice of appeal with the clerk within the time
allowed by Rule 8002. An appellant's failure to take any step other than
timely filing a notice of appeal does not affect the validity of the
appeal, but is ground only for such action as the district court or
bankruptcy appellate panel deems appropriate, which may include
dismissal of the appeal. The notice of appeal shall (1) conform
substantially to the appropriate Official Form, (2) contain the names of
all parties to the judgment, order, or decree appealed from and the
names, addresses, and telephone numbers of their respective attorneys,
and (3) be accompanied by the prescribed fee. Each appellant shall file
a sufficient number of copies of the notice of appeal to enable the
clerk to comply promptly with Rule 8004.
(b) Appeal by Leave; How Taken. An appeal from an interlocutory
judgment, order, or decree of a bankruptcy judge as permitted by 28
U.S.C. Sec. 158(a)(3) shall be taken by filing a notice of appeal, as
prescribed in subdivision (a) of this rule, accompanied by a motion for
leave to appeal prepared in accordance with Rule 8003 and with proof of
service in accordance with Rule 8008.
(c) Voluntary Dismissal.
(1) Before Docketing. If an appeal has not been docketed,
the appeal may be dismissed by the bankruptcy judge on the
filing of a stipulation for dismissal signed by all the parties,
or on motion and notice by the appellant.
(2) After Docketing. If an appeal has been docketed and the
parties to the appeal sign and file with the clerk of the
district court or the clerk of the bankruptcy appellate panel an
agreement that the appeal be dismissed and pay any court costs
or fees that may be due, the clerk of the district court or the
clerk of the bankruptcy appellate panel shall enter an order
dismissing the appeal. An appeal may also be dismissed on motion
of the appellant on terms and conditions fixed by the district
court or bankruptcy appellate panel.
[(d) Effect of Taking a Direct Appeal to the Court of Appeals]
(Abrogated Mar. 30, 1987, eff. Aug. 1, 1987)
(e) Election To Have Appeal Heard by District Court Instead of
Bankruptcy Appellate Panel; Withdrawal of Election.
(1) Separate Writing for Election. An election to have an
appeal heard by the district court under 28 U.S.C.
Sec. 158(c)(1) may be made only by a statement of election
contained in a separate writing filed within the time prescribed
by 28 U.S.C. Sec. 158(c)(1).
(2) Withdrawal of Election. A request to withdraw the
election may be filed only by written stipulation of all the
parties to the appeal or their attorneys of record. Upon such a
stipulation, the district court may either transfer the appeal
to the bankruptcy appellate panel or retain the appeal in the
district court.
(f) Certification for Direct Appeal to Court of Appeals.
(1) Timely Appeal Required. A certification of a judgment,
order, or decree of a bankruptcy court to a court of appeals
under 28 U.S.C. Sec. 158(d)(2) shall not be effective until a
timely appeal has been taken in the manner required by
subdivisions (a) or (b) of this rule and the notice of appeal
has become effective under Rule 8002.
(2) Court Where Certification Made and Filed. A
certification that a circumstance specified in 28 U.S.C.
Sec. 158(d)(2)(A)(i)-(iii) exists shall be filed in the court in
which a matter is pending for purposes of 28 U.S.C.
Sec. 158(d)(2) and this rule. A matter is pending in a
bankruptcy court until the docketing, in accordance with Rule
8007(b), of an appeal taken under 28 U.S.C. Sec. 158(a)(1) or
(2), or the grant of leave to appeal under 28 U.S.C.
Sec. 158(a)(3). A matter is pending in a district court or
bankruptcy appellate panel after the docketing, in accordance
with Rule 8007(b), of an appeal taken under 28 U.S.C.
Sec. 158(a)(1) or (2), or the grant of leave to appeal under 28
U.S.C. Sec. 158(a)(3).
(A) Certification by Court on Request or Court's Own
Initiative.
(i) Before Docketing or Grant of Leave to
Appeal. Only a bankruptcy court may make a
certification on request or on its own
initiative while the matter is pending in the
bankruptcy court.
(ii) After Docketing or Grant of Leave to
Appeal. Only the district court or bankruptcy
appellate panel involved may make a
certification on request of the parties or on
its own initiative while the matter is pending
in the district court or bankruptcy appellate
panel.
(B) Certification by All Appellants and Appellees
Acting Jointly. A certification by all the appellants
and appellees, if any, acting jointly may be made by
filing the appropriate Official Form with the clerk of
the court in which the matter is pending. The
certification may be accompanied by a short statement of
the basis for the certification, which may include the
information listed in subdivision (f)(3)(C) of this
rule.
(3) Request for Certification; Filing; Service; Contents.
(A) A request for certification shall be filed,
within the time specified by 28 U.S.C. Sec. 158(d)(2),
with the clerk of the court in which the matter is
pending.
(B) Notice of the filing of a request for
certification shall be served in the manner required for
service of a notice of appeal under Rule 8004.
(C) A request for certification shall include the
following:
(i) the facts necessary to understand the
question presented;
(ii) the question itself;
(iii) the relief sought;
(iv) the reasons why the appeal should be
allowed and is authorized by statute or rule,
including why a circumstance specified in 28
U.S.C. Sec. 158(d)(2)(A)(i)-(iii) exists; and
(v) an attached copy of the judgment, order,
or decree complained of and any related opinion
or memorandum.
(D) A party may file a response to a request for
certification or a cross request within 14 days after
the notice of the request is served, or another time
fixed by the court.
(E) Rule 9014 does not govern a request, cross
request, or any response. The matter shall be submitted
without oral argument unless the court otherwise
directs.
(F) A certification of an appeal under 28 U.S.C.
Sec. 158(d)(2) shall be made in a separate document
served on the parties.
(4) Certification on Court's Own Initiative.
(A) A certification of an appeal on the court's own
initiative under 28 U.S.C. Sec. 158(d)(2) shall be made
in a separate document served on the parties in the
manner required for service of a notice of appeal under
Rule 8004. The certification shall be accompanied by an
opinion or memorandum that contains the information
required by subdivision (f)(3)(C)(i)-(iv) of this rule.
(B) A party may file a supplementary short statement
of the basis for certification within 14 days after the
certification.
(5) Duties of Parties After Certification. A petition for
permission to appeal in accordance with F.R.App.P. 5 shall be
filed no later than 30 days after a certification has become
effective as provided in subdivision (f)(1).
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 23, 2008, eff. Dec. 1,
2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 8002
_____. Time for Filing Notice of Appeal________________________________
(a) Fourteen-Day Period. The notice of appeal shall be filed with
the clerk within 14 days of the date of the entry of the judgment,
order, or decree appealed from. If a timely notice of appeal is filed by
a party, any other party may file a notice of appeal within 14 days of
the date on which the first notice of appeal was filed, or within the
time otherwise prescribed by this rule, whichever period last expires. A
notice of appeal filed after the announcement of a decision or order but
before entry of the judgment, order, or decree shall be treated as filed
after such entry and on the day thereof. If a notice of appeal is
mistakenly filed with the district court or the bankruptcy appellate
panel, the clerk of the district court or the clerk of the bankruptcy
appellate panel shall note thereon the date on which it was received and
transmit it to the clerk and it shall be deemed filed with the clerk on
the date so noted.
(b) Effect of Motion on Time for Appeal. If any party makes a timely
motion of a type specified immediately below, the time for appeal for
all parties runs from the entry of the order disposing of the last such
motion outstanding. This provision applies to a timely motion:
(1) to amend or make additional findings of fact under Rule
7052, whether or not granting the motion would alter the
judgment;
(2) to alter or amend the judgment under Rule 9023;
(3) for a new trial under Rule 9023; or
(4) for relief under Rule 9024 if the motion is filed no
later than 14 days after the entry of judgment. A notice of
appeal filed after announcement or entry of the judgment, order,
or decree but before disposition of any of the above motions is
ineffective to appeal from the judgment, order, or decree, or
part thereof, specified in the notice of appeal, until the entry
of the order disposing of the last such motion outstanding.
Appellate review of an order disposing of any of the above
motions requires the party, in compliance with Rule 8001, to
amend a previously filed notice of appeal. A party intending to
challenge an alteration or amendment of the judgment, order, or
decree shall file a notice, or an amended notice, of appeal
within the time prescribed by this Rule 8002 measured from the
entry of the order disposing of the last such motion
outstanding. No additional fees will be required for filing an
amended notice.
(c) Extension of Time for Appeal.
(1) The bankruptcy judge may extend the time for filing the
notice of appeal by any party, unless the judgment, order, or
decree appealed from:
(A) grants relief from an automatic stay under
Sec. 362, Sec. 922, Sec. 1201, or Sec. 1301;
(B) authorizes the sale or lease of property or the
use of cash collateral under Sec. 363;
(C) authorizes the obtaining of credit under
Sec. 364;
(D) authorizes the assumption or assignment of an
executory contract or unexpired lease under Sec. 365;
(E) approves a disclosure statement under Sec. 1125;
or
(F) confirms a plan under Sec. 943, Sec. 1129,
Sec. 1225, or Sec. 1325 of the Code.
(2) A request to extend the time for filing a notice of
appeal must be made by written motion filed before the time for
filing a notice of appeal has expired, except that such a motion
filed not later than 21 days after the expiration of the time
for filing a notice of appeal may be granted upon a showing of
excusable neglect. An extension of time for filing a notice of
appeal may not exceed 21 days from the expiration of the time
for filing a notice of appeal otherwise prescribed by this rule
or 14 days from the date of entry of the order granting the
motion, whichever is later.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 29, 1994, eff. Aug. 1, 1994; Apr. 11, 1997, eff. Dec. 1,
1997; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 8003
_____. Leave to Appeal_________________________________________________
(a) Content of Motion; Answer. A motion for leave to appeal under 28
U.S.C. Sec. 158(a) shall contain: (1) a statement of the facts necessary
to an understanding of the questions to be presented by the appeal; (2)
a statement of those questions and of the relief sought; (3) a statement
of the reasons why an appeal should be granted; and (4) a copy of the
judgment, order, or decree complained of and of any opinion or
memorandum relating thereto. Within 14 days after service of the motion,
an adverse party may file with the clerk an answer in opposition.
(b) Transmittal; Determination of Motion. The clerk shall transmit
the notice of appeal, the motion for leave to appeal and any answer
thereto to the clerk of the district court or the clerk of the
bankruptcy appellate panel as soon as all parties have filed answers or
the time for filing an answer has expired. The motion and answer shall
be submitted without oral argument unless otherwise ordered.
(c) Appeal Improperly Taken Regarded as a Motion for Leave to
Appeal. If a required motion for leave to appeal is not filed, but a
notice of appeal is timely filed, the district court or bankruptcy
appellate panel may grant leave to appeal or direct that a motion for
leave to appeal be filed. The district court or the bankruptcy appellate
panel may also deny leave to appeal but in so doing shall consider the
notice of appeal as a motion for leave to appeal. Unless an order
directing that a motion for leave to appeal be filed provides otherwise,
the motion shall be filed within 14 days of entry of the order.
(d) Requirement of Leave to Appeal. If leave to appeal is required
by 28 U.S.C. Sec. 158(a) and has not earlier been granted, the
authorization of a direct appeal by a court of appeals under 28 U.S.C.
Sec. 158(d)(2) shall be deemed to satisfy the requirement for leave to
appeal.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec.
1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 8004
_____. Service of the Notice of Appeal_________________________________
The clerk shall serve notice of the filing of a notice of appeal by
mailing a copy thereof to counsel of record of each party other than the
appellant or, if a party is not represented by counsel, to the party's
last known address. Failure to serve notice shall not affect the
validity of the appeal. The clerk shall note on each copy served the
date of the filing of the notice of appeal and shall note in the docket
the names of the parties to whom copies are mailed and the date of the
mailing. The clerk shall forthwith transmit to the United States trustee
a copy of the notice of appeal, but failure to transmit such notice
shall not affect the validity of the appeal.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 8005
_____. Stay Pending Appeal_____________________________________________
A motion for a stay of the judgment, order, or decree of a
bankruptcy judge, for approval of a supersedeas bond, or for other
relief pending appeal must ordinarily be presented to the bankruptcy
judge in the first instance. Notwithstanding Rule 7062 but subject to
the power of the district court and the bankruptcy appellate panel
reserved hereinafter, the bankruptcy judge may suspend or order the
continuation of other proceedings in the case under the Code or make any
other appropriate order during the pendency of an appeal on such terms
as will protect the rights of all parties in interest. A motion for such
relief, or for modification or termination of relief granted by a
bankruptcy judge, may be made to the district court or the bankruptcy
appellate panel, but the motion shall show why the relief, modification,
or termination was not obtained from the bankruptcy judge. The district
court or the bankruptcy appellate panel may condition the relief it
grants under this rule on the filing of a bond or other appropriate
security with the bankruptcy court. When an appeal is taken by a
trustee, a bond or other appropriate security may be required, but when
an appeal is taken by the United States or an officer or agency thereof
or by direction of any department of the Government of the United States
a bond or other security shall not be required.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 8006
_____. Record and Issues on Appeal_____________________________________
Within 14 days after filing the notice of appeal as provided by Rule
8001(a), entry of an order granting leave to appeal, or entry of an
order disposing of the last timely motion outstanding of a type
specified in Rule 8002(b), whichever is later, the appellant shall file
with the clerk and serve on the appellee a designation of the items to
be included in the record on appeal and a statement of the issues to be
presented. Within 14 days after the service of the appellant's statement
the appellee may file and serve on the appellant a designation of
additional items to be included in the record on appeal and, if the
appellee has filed a cross appeal, the appellee as cross appellant shall
file and serve a statement of the issues to be presented on the cross
appeal and a designation of additional items to be included in the
record. A cross appellee may, within 14 days of service of the cross
appellant's statement, file and serve on the cross appellant a
designation of additional items to be included in the record. The record
on appeal shall include the items so designated by the parties, the
notice of appeal, the judgment, order, or decree appealed from, and any
opinion, findings of fact, and conclusions of law of the court. Any
party filing a designation of the items to be included in the record
shall provide to the clerk a copy of the items designated or, if the
party fails to provide the copy, the clerk shall prepare the copy at the
party's expense. If the record designated by any party includes a
transcript of any proceeding or a part thereof, the party shall,
immediately after filing the designation, deliver to the reporter and
file with the clerk a written request for the transcript and make
satisfactory arrangements for payment of its cost. All parties shall
take any other action necessary to enable the clerk to assemble and
transmit the record.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 29, 1994, eff. Aug. 1, 1994; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 8007
_____. Completion and Transmission of the Record; Docketing of the
Appeal__________________________________________________________________
(a) Duty of Reporter To Prepare and File Transcript. On receipt of a
request for a transcript, the reporter shall acknowledge on the request
the date it was received and the date on which the reporter expects to
have the transcript completed and shall transmit the request, so
endorsed, to the clerk or the clerk of the bankruptcy appellate panel.
On completion of the transcript the reporter shall file it with the
clerk and, if appropriate, notify the clerk of the bankruptcy appellate
panel. If the transcript cannot be completed within 30 days of receipt
of the request the reporter shall seek an extension of time from the
clerk or the clerk of the bankruptcy appellate panel and the action of
the clerk shall be entered in the docket and the parties notified. If
the reporter does not file the transcript within the time allowed, the
clerk or the clerk of the bankruptcy appellate panel shall notify the
bankruptcy judge.
(b) Duty of Clerk To Transmit Copy of Record; Docketing of Appeal.
When the record is complete for purposes of appeal, the clerk shall
transmit a copy thereof forthwith to the clerk of the district court or
the clerk of the bankruptcy appellate panel. On receipt of the
transmission the clerk of the district court or the clerk of the
bankruptcy appellate panel shall enter the appeal in the docket and give
notice promptly to all parties to the judgment, order, or decree
appealed from of the date on which the appeal was docketed. If the
bankruptcy appellate panel directs that additional copies of the record
be furnished, the clerk of the bankruptcy appellate panel shall notify
the appellant and, if the appellant fails to provide the copies, the
clerk shall prepare the copies at the expense of the appellant.
(c) Record for Preliminary Hearing. If prior to the time the record
is transmitted a party moves in the district court or before the
bankruptcy appellate panel for dismissal, for a stay pending appeal, for
additional security on the bond on appeal or on a supersedeas bond, or
for any intermediate order, the clerk at the request of any party to the
appeal shall transmit to the clerk of the district court or the clerk of
the bankruptcy appellate panel a copy of the parts of the record as any
party to the appeal shall designate.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 8008
_____. Filing and Service______________________________________________
(a) Filing. Papers required or permitted to be filed with the clerk
of the district court or the clerk of the bankruptcy appellate panel may
be filed by mail addressed to the clerk, but filing is not timely unless
the papers are received by the clerk within the time fixed for filing,
except that briefs are deemed filed on the day of mailing. An original
and one copy of all papers shall be filed when an appeal is to the
district court; an original and three copies shall be filed when an
appeal is to a bankruptcy appellate panel. The district court or
bankruptcy appellate panel may require that additional copies be
furnished. Rule 5005(a)(2) applies to papers filed with the clerk of the
district court or the clerk of the bankruptcy appellate panel if filing
by electronic means is authorized by local rule promulgated pursuant to
Rule 8018.
(b) Service of All Papers Required. Copies of all papers filed by
any party and not required by these rules to be served by the clerk of
the district court or the clerk of the bankruptcy appellate panel shall,
at or before the time of filing, be served by the party or a person
acting for the party on all other parties to the appeal. Service on a
party represented by counsel shall be made on counsel.
(c) Manner of Service. Service may be personal or by mail. Personal
service includes delivery of the copy to a clerk or other responsible
person at the office of counsel. Service by mail is complete on mailing.
(d) Proof of Service. Papers presented for filing shall contain an
acknowledgment of service by the person served or proof of service in
the form of a statement of the date and manner of service and of the
names of the persons served, certified by the person who made service.
The clerk of the district court or the clerk of the bankruptcy appellate
panel may permit papers to be filed without acknowledgment or proof of
service but shall require the acknowledgment or proof of service to be
filed promptly thereafter.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 1996, eff. Dec.
1, 1996.)
Rule 8009
_____. Briefs and Appendix; Filing and Service_________________________
(a) Briefs. Unless the district court or the bankruptcy appellate
panel by local rule or by order excuses the filing of briefs or
specifies different time limits:
(1) The appellant shall serve and file a brief within 14
days after entry of the appeal on the docket pursuant to Rule
8007.
(2) The appellee shall serve and file a brief within 14 days
after service of the brief of appellant. If the appellee has
filed a cross appeal, the brief of the appellee shall contain
the issues and argument pertinent to the cross appeal,
denominated as such, and the response to the brief of the
appellant.
(3) The appellant may serve and file a reply brief within 14
days after service of the brief of the appellee, and if the
appellee has cross-appealed, the appellee may file and serve a
reply brief to the response of the appellant to the issues
presented in the cross appeal within 14 days after service of
the reply brief of the appellant. No further briefs may be filed
except with leave of the district court or the bankruptcy
appellate panel.
(b) Appendix to Brief. If the appeal is to a bankruptcy appellate
panel, the appellant shall serve and file with the appellant's brief
excerpts of the record as an appendix, which shall include the
following:
(1) The complaint and answer or other equivalent pleadings;
(2) Any pretrial order;
(3) The judgment, order, or decree from which the appeal is
taken;
(4) Any other orders relevant to the appeal;
(5) The opinion, findings of fact, or conclusions of law
filed or delivered orally by the court and citations of the
opinion if published;
(6) Any motion and response on which the court rendered
decision;
(7) The notice of appeal;
(8) The relevant entries in the bankruptcy docket; and
(9) The transcript or portion thereof, if so required by a
rule of the bankruptcy appellate panel.
An appellee may also serve and file an appendix which contains material
required to be included by the appellant but omitted by appellant.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec.
1, 2009.)
Rule 8010
_____. Form of Briefs; Length__________________________________________
(a) Form of Briefs. Unless the district court or the bankruptcy
appellate panel by local rule otherwise provides, the form of brief
shall be as follows:
(1) Brief of the Appellant. The brief of the appellant shall
contain under appropriate headings and in the order here
indicated:
(A) A table of contents, with page references, and a
table of cases alphabetically arranged, statutes and
other authorities cited, with references to the pages of
the brief where they are cited.
(B) A statement of the basis of appellate
jurisdiction.
(C) A statement of the issues presented and the
applicable standard of appellate review.
(D) A statement of the case. The statement shall
first indicate briefly the nature of the case, the
course of the proceedings, and the disposition in the
court below. There shall follow a statement of the facts
relevant to the issues presented for review, with
appropriate references to the record.
(E) An argument. The argument may be preceded by a
summary. The argument shall contain the contentions of
the appellant with respect to the issues presented, and
the reasons therefor, with citations to the authorities,
statutes and parts of the record relied on.
(F) A short conclusion stating the precise relief
sought.
(2) Brief of the Appellee. The brief of the appellee shall
conform to the requirements of paragraph (1)(A)-(E) of this
subdivision, except that a statement of the basis of appellate
jurisdiction, of the issues, or of the case need not be made
unless the appellee is dissatisfied with the statement of the
appellant.
(b) Reproduction of Statutes, Rules, Regulations, or Similar
Material. If determination of the issues presented requires reference to
the Code or other statutes, rules, regulations, or similar material,
relevant parts thereof shall be reproduced in the brief or in an
addendum or they may be supplied to the court in pamphlet form.
(c) Length of Briefs. Unless the district court or the bankruptcy
appellate panel by local rule or order otherwise provides, principal
briefs shall not exceed 50 pages, and reply briefs shall not exceed 25
pages, exclusive of pages containing the table of contents, tables of
citations and any addendum containing statutes, rules, regulations, or
similar material.
Rule 8011
_____. Motions_________________________________________________________
(a) Content of Motions; Response; Reply. A request for an order or
other relief shall be made by filing with the clerk of the district
court or the clerk of the bankruptcy appellate panel a motion for such
order or relief with proof of service on all other parties to the
appeal. The motion shall contain or be accompanied by any matter
required by a specific provision of these rules governing such a motion,
shall state with particularity the grounds on which it is based, and
shall set forth the order or relief sought. If a motion is supported by
briefs, affidavits or other papers, they shall be served and filed with
the motion. Any party may file a response in opposition to a motion
other than one for a procedural order within seven days after service of
the motion, but the district court or the bankruptcy appellate panel may
shorten or extend the time for responding to any motion.
(b) Determination of Motions for Procedural Orders. Notwithstanding
subdivision (a) of this rule, motions for procedural orders, including
any motion under Rule 9006, may be acted on at any time, without
awaiting a response thereto and without hearing. Any party adversely
affected by such action may move for reconsideration, vacation, or
modification of the action.
(c) Determination of all Motions. All motions will be decided
without oral argument unless the court orders otherwise. A motion for a
stay, or for other emergency relief may be denied if not presented
promptly.
(d) Emergency Motions. Whenever a movant requests expedited action
on a motion on the ground that, to avoid irreparable harm, relief is
needed in less time than would normally be required for the district
court or bankruptcy appellate panel to receive and consider a response,
the word ``Emergency'' shall precede the title of the motion. The motion
shall be accompanied by an affidavit setting forth the nature of the
emergency. The motion shall state whether all grounds advanced in
support thereof were submitted to the bankruptcy judge and, if any
grounds relied on were not submitted, why the motion should not be
remanded to the bankruptcy judge for reconsideration. The motion shall
include the office addresses and telephone numbers of moving and
opposing counsel and shall be served pursuant to Rule 8008. Prior to
filing the motion, the movant shall make every practicable effort to
notify opposing counsel in time for counsel to respond to the motion.
The affidavit accompanying the motion shall also state when and how
opposing counsel was notified or if opposing counsel was not notified
why it was not practicable to do so.
(e) Power of a Single Judge To Entertain Motions. A single judge of
a bankruptcy appellate panel may grant or deny any request for relief
which under these rules may properly be sought by motion, except that a
single judge may not dismiss or otherwise decide an appeal or a motion
for leave to appeal. The action of a single judge may be reviewed by the
panel.
Rule 8012
_____. Oral Argument___________________________________________________
Oral argument shall be allowed in all cases unless the district
judge or the judges of the bankruptcy appellate panel unanimously
determine after examination of the briefs and record, or appendix to the
brief, that oral argument is not needed. Any party shall have an
opportunity to file a statement setting forth the reason why oral
argument should be allowed.
Oral argument will not be allowed if (1) the appeal is frivolous;
(2) the dispositive issue or set of issues has been recently
authoritatively decided; or (3) the facts and legal arguments are
adequately presented in the briefs and record and the decisional process
would not be significantly aided by oral argument.
Rule 8013
_____. Disposition of Appeal; Weight Accorded Bankruptcy Judge's
Findings of Fact________________________________________________________
On an appeal the district court or bankruptcy appellate panel may
affirm, modify, or reverse a bankruptcy judge's judgment, order, or
decree or remand with instructions for further proceedings. Findings of
fact, whether based on oral or documentary evidence, shall not be set
aside unless clearly erroneous, and due regard shall be given to the
opportunity of the bankruptcy court to judge the credibility of the
witnesses.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 8014
_____. Costs___________________________________________________________
Except as otherwise provided by law, agreed to by the parties, or
ordered by the district court or the bankruptcy appellate panel, costs
shall be taxed against the losing party on an appeal. If a judgment is
affirmed or reversed in part, or is vacated, costs shall be allowed only
as ordered by the court. Costs incurred in the production of copies of
briefs, the appendices, and the record and in the preparation and
transmission of the record, the cost of the reporter's transcript, if
necessary for the determination of the appeal, the premiums paid for
cost of supersedeas bonds or other bonds to preserve rights pending
appeal and the fee for filing the notice of appeal shall be taxed by the
clerk as costs of the appeal in favor of the party entitled to costs
under this rule.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 8015
_____. Motion for Rehearing____________________________________________
Unless the district court or the bankruptcy appellate panel by local
rule or by court order otherwise provides, a motion for rehearing may be
filed within 14 days after entry of the judgment of the district court
or the bankruptcy appellate panel. If a timely motion for rehearing is
filed, the time for appeal to the court of appeals for all parties shall
run from the entry of the order denying rehearing or the entry of
subsequent judgment.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec.
1, 2009.)
Rule 8016
_____. Duties of Clerk of District Court and Bankruptcy Appellate Panel
(a) Entry of Judgment. The clerk of the district court or the clerk
of the bankruptcy appellate panel shall prepare, sign and enter the
judgment following receipt of the opinion of the court or the appellate
panel or, if there is no opinion, following the instruction of the court
or the appellate panel. The notation of a judgment in the docket
constitutes entry of judgment.
(b) Notice of Orders or Judgments; Return of Record. Immediately on
the entry of a judgment or order the clerk of the district court or the
clerk of the bankruptcy appellate panel shall transmit a notice of the
entry to each party to the appeal, to the United States trustee, and to
the clerk, together with a copy of any opinion respecting the judgment
or order, and shall make a note of the transmission in the docket.
Original papers transmitted as the record on appeal shall be returned to
the clerk on disposition of the appeal.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 8017
_____. Stay of Judgment of District Court or Bankruptcy Appellate Panel
(a) Automatic Stay of Judgment on Appeal. Judgments of the district
court or the bankruptcy appellate panel are stayed until the expiration
of 14 days after entry, unless otherwise ordered by the district court
or the bankruptcy appellate panel.
(b) Stay Pending Appeal to the Court of Appeals. On motion and
notice to the parties to the appeal, the district court or the
bankruptcy appellate panel may stay its judgment pending an appeal to
the court of appeals. The stay shall not extend beyond 30 days after the
entry of the judgment of the district court or the bankruptcy appellate
panel unless the period is extended for cause shown. If before the
expiration of a stay entered pursuant to this subdivision there is an
appeal to the court of appeals by the party who obtained the stay, the
stay shall continue until final disposition by the court of appeals. A
bond or other security may be required as a condition to the grant or
continuation of a stay of the judgment. A bond or other security may be
required if a trustee obtains a stay but a bond or security shall not be
required if a stay is obtained by the United States or an officer or
agency thereof or at the direction of any department of the Government
of the United States.
(c) Power of Court of Appeals Not Limited. This rule does not limit
the power of a court of appeals or any judge thereof to stay proceedings
during the pendency of an appeal or to suspend, modify, restore, or
grant an injunction during the pendency of an appeal or to make any
order appropriate to preserve the status quo or the effectiveness of the
judgment subsequently to be entered.
(As amended Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 8018
_____. Rules by Circuit Councils and District Courts; Procedure When
There is No Controlling Law_____________________________________________
(a) Local Rules by Circuit Councils and District Courts.
(1) Circuit councils which have authorized bankruptcy
appellate panels pursuant to 28 U.S.C. Sec. 158(b) and the
district courts may, acting by a majority of the judges of the
council or district court, make and amend rules governing
practice and procedure for appeals from orders or judgments of
bankruptcy judges to the respective bankruptcy appellate panel
or district court consistent with--but not duplicative of--Acts
of Congress and the rules of this Part VIII. Local rules shall
conform to any uniform numbering system prescribed by the
Judicial Conference of the United States. Rule 83 F.R.Civ.P.
governs the procedure for making and amending rules to govern
appeals.
(2) A local rule imposing a requirement of form shall not be
enforced in a manner that causes a party to lose rights because
of a nonwillful failure to comply with the requirement.
(b) Procedure When There is No Controlling Law. A bankruptcy
appellate panel or district judge may regulate practice in any manner
consistent with federal law, these rules, Official Forms, and local
rules of the circuit council or district court. No sanction or other
disadvantage may be imposed for noncompliance with any requirement not
in federal law, federal rules, Official Forms, or the local rules of the
circuit council or district court unless the alleged violator has been
furnished in the particular case with actual notice of the requirement.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 27, 1995, eff. Dec.
1, 1995.)
Rule 8019
_____. Suspension of Rules in Part VIII________________________________
In the interest of expediting decision or for other cause, the
district court or the bankruptcy appellate panel may suspend the
requirements or provisions of the rules in Part VIII, except Rules 8001,
8002 and 8013, and may order proceedings in accordance with the
direction.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 8020
_____. Damages and Costs for Frivolous Appeal__________________________
If a district court or bankruptcy appellate panel determines that an
appeal from an order, judgment, or decree of a bankruptcy judge is
frivolous, it may, after a separately filed motion or notice from the
district court or bankruptcy appellate panel and reasonable opportunity
to respond, award just damages and single or double costs to the
appellee.
(Added Apr. 11, 1997, eff. Dec. 1, 1997.)
PART IX--GENERAL PROVISIONS
Rule 9001
_____. General Definitions_____________________________________________
The definitions of words and phrases in Sec. 101, Sec. 902 and
Sec. 1101 and the rules of construction in Sec. 102 of the Code govern
their use in these rules. In addition, the following words and phrases
used in these rules have the meanings indicated:
(1) ``Bankruptcy clerk'' means a clerk appointed pursuant to
28 U.S.C. Sec. 156(b).
(2) ``Bankruptcy Code'' or ``Code'' means title 11 of the
United States Code.
(3) ``Clerk'' means bankruptcy clerk, if one has been
appointed, otherwise clerk of the district court.
(4) ``Court'' or ``judge'' means the judicial officer before
whom a case or proceeding is pending.
(5) ``Debtor.'' When any act is required by these rules to
be performed by a debtor or when it is necessary to compel
attendance of a debtor for examination and the debtor is not a
natural person: (A) if the debtor is a corporation, ``debtor''
includes, if designated by the court, any or all of its
officers, members of its board of directors or trustees or of a
similar controlling body, a controlling stockholder or member,
or any other person in control; (B) if the debtor is a
partnership, ``debtor'' includes any or all of its general
partners or, if designated by the court, any other person in
control.
(6) ``Firm'' includes a partnership or professional
corporation of attorneys or accountants.
(7) ``Judgment'' means any appealable order.
(8) ``Mail'' means first class, postage prepaid.
(9) ``Notice provider'' means any entity approved by the
Administrative Office of the United States Courts to give notice
to creditors under Rule 2002(g)(4).
(10) ``Regular associate'' means any attorney regularly
employed by, associated with, or counsel to an individual or
firm.
(11) ``Trustee'' includes a debtor in possession in a
chapter 11 case.
(12) ``United States trustee'' includes an assistant United
States trustee and any designee of the United States trustee.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 25, 2005, eff. Dec. 1, 2005.)
Rule 9002
_____. Meanings of Words in the Federal Rules of Civil Procedure When
Applicable to Cases Under the Code______________________________________
The following words and phrases used in the Federal Rules of Civil
Procedure made applicable to cases under the Code by these rules have
the meanings indicated unless they are inconsistent with the context:
(1) ``Action'' or ``civil action'' means an adversary
proceeding or, when appropriate, a contested petition, or
proceedings to vacate an order for relief or to determine any
other contested matter.
(2) ``Appeal'' means an appeal as provided by 28 U.S.C.
Sec. 158.
(3) ``Clerk'' or ``clerk of the district court'' means the
court officer responsible for the bankruptcy records in the
district.
(4) ``District Court,'' ``trial court,'' ``court,''
``district judge,'' or ``judge'' means bankruptcy judge if the
case or proceeding is pending before a bankruptcy judge.
(5) ``Judgment'' includes any order appealable to an
appellate court.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug.
1, 1993.)
Rule 9003
_____. Prohibition of Ex Parte Contacts________________________________
(a) General Prohibition. Except as otherwise permitted by applicable
law, any examiner, any party in interest, and any attorney, accountant,
or employee of a party in interest shall refrain from ex parte meetings
and communications with the court concerning matters affecting a
particular case or proceeding.
(b) United States Trustee. Except as otherwise permitted by
applicable law, the United States trustee and assistants to and
employees or agents of the United States trustee shall refrain from ex
parte meetings and communications with the court concerning matters
affecting a particular case or proceeding. This rule does not preclude
communications with the court to discuss general problems of
administration and improvement of bankruptcy administration, including
the operation of the United States trustee system.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 9004
_____. General Requirements of Form____________________________________
(a) Legibility; Abbreviations. All petitions, pleadings, schedules
and other papers shall be clearly legible. Abbreviations in common use
in the English language may be used.
(b) Caption. Each paper filed shall contain a caption setting forth
the name of the court, the title of the case, the bankruptcy docket
number, and a brief designation of the character of the paper.
Rule 9005
_____. Harmless Error__________________________________________________
Rule 61 F.R.Civ.P. applies in cases under the Code. When
appropriate, the court may order the correction of any error or defect
or the cure of any omission which does not affect substantial rights.
Rule 9005.1
_____. Constitutional Challenge to a Statute--Notice, Certification,
and Intervention________________________________________________________
Rule 5.1 F.R.Civ.P. applies in cases under the Code.
(Added Apr. 30, 2007, eff. Dec. 1, 2007.)
Rule 9006
_____. Computing and Extending Time____________________________________
(a) Computing Time. The following rules apply in computing any time
period specified in these rules, in the Federal Rules of Civil
Procedure, in any local rule or court order, or in any statute that does
not specify a method of computing time.
(1) Period Stated in Days or a Longer Unit. When the period
is stated in days or a longer unit of time:
(A) exclude the day of the event that triggers the
period;
(B) count every day, including intermediate
Saturdays, Sundays, and legal holidays; and
(C) include the last day of the period, but if the
last day is a Saturday, Sunday, or legal holiday, the
period continues to run until the end of the next day
that is not a Saturday, Sunday, or legal holiday.
(2) Period Stated in Hours. When the period is stated in
hours:
(A) begin counting immediately on the occurrence of
the event that triggers the period;
(B) count every hour, including hours during
intermediate Saturdays, Sundays, and legal holidays; and
(C) if the period would end on a Saturday, Sunday,
or legal holiday, then continue the period until the
same time on the next day that is not a Saturday,
Sunday, or legal holiday.
(3) Inaccessibility of Clerk's Office. Unless the court
orders otherwise, if the clerk's office is inaccessible:
(A) on the last day for filing under Rule
9006(a)(1), then the time for filing is extended to the
first accessible day that is not a Saturday, Sunday, or
legal holiday; or
(B) during the last hour for filing under Rule
9006(a)(2), then the time for filing is extended to the
same time on the first accessible day that is not a
Saturday, Sunday, or legal holiday.
(4) ``Last Day'' Defined. Unless a different time is set by
a statute, local rule, or order in the case, the last day ends:
(A) for electronic filing, at midnight in the
court's time zone; and
(B) for filing by other means, when the clerk's
office is scheduled to close.
(5) ``Next Day'' Defined. The ``next day'' is determined by
continuing to count forward when the period is measured after an
event and backward when measured before an event.
(6) ``Legal Holiday'' Defined. ``Legal holiday'' means:
(A) the day set aside by statute for observing New
Year's Day, Martin Luther King Jr.'s Birthday,
Washington's Birthday, Memorial Day, Independence Day,
Labor Day, Columbus Day, Veterans' Day, Thanksgiving
Day, or Christmas Day;
(B) any day declared a holiday by the President or
Congress; and
(C) for periods that are measured after an event,
any other day declared a holiday by the state where the
district court is located. (In this rule, ``state''
includes the District of Columbia and any United States
commonwealth or territory.)
(b) Enlargement.
(1) In General. Except as provided in paragraphs (2) and (3)
of this subdivision, when an act is required or allowed to be
done at or within a specified period by these rules or by a
notice given thereunder or by order of court, the court for
cause shown may at any time in its discretion (1) with or
without motion or notice order the period enlarged if the
request therefor is made before the expiration of the period
originally prescribed or as extended by a previous order or (2)
on motion made after the expiration of the specified period
permit the act to be done where the failure to act was the
result of excusable neglect.
(2) Enlargement Not Permitted. The court may not enlarge the
time for taking action under Rules 1007(d), 2003(a) and (d),
7052, 9023, and 9024.
(3) Enlargement Governed By Other Rules. The court may
enlarge the time for taking action under Rules 1006(b)(2),
1017(e), 3002(c), 4003(b), 4004(a), 4007(c), 4008(a), 8002, and
9033, only to the extent and under the conditions stated in
those rules. In addition, the court may enlarge the time to file
the statement required under Rule 1007(b)(7), and to file
schedules and statements in a small business case under
Sec. 1116(3) of the Code, only to the extent and under the
conditions stated in Rule 1007(c).
(c) Reduction.
(1) In General. Except as provided in paragraph (2) of this
subdivision, when an act is required or allowed to be done at or
within a specified time by these rules or by a notice given
thereunder or by order of court, the court for cause shown may
in its discretion with or without motion or notice order the
period reduced.
(2) Reduction Not Permitted. The court may not reduce the
time for taking action under Rules 2002(a)(7), 2003(a), 3002(c),
3014, 3015, 4001(b)(2), (c)(2), 4003(a), 4004(a), 4007(c),
4008(a), 8002, and 9033(b). In addition, the court may not
reduce the time under Rule 1007(c) to file the statement
required by Rule 1007(b)(7).
(d) For Motions--Affidavits. A written motion, other than one which
may be heard ex parte, and notice of any hearing shall be served not
later than seven days before the time specified for such hearing, unless
a different period is fixed by these rules or by order of the court.
Such an order may for cause shown be made on ex parte application. When
a motion is supported by affidavit, the affidavit shall be served with
the motion; and, except as otherwise provided in Rule 9023, opposing
affidavits may be served not later than one day before the hearing,
unless the court permits them to be served at some other time.
(e) Time of Service. Service of process and service of any paper
other than process or of notice by mail is complete on mailing.
(f) Additional Time After Service by Mail or Under Rule 5(b)(2)(D),
(E), or (F) F.R.Civ.P. When there is a right or requirement to act or
undertake some proceedings within a prescribed period after service and
that service is by mail or under Rule 5(b)(2)(D), (E), or (F)
F.R.Civ.P., three days are added after the prescribed period would
otherwise expire under Rule 9006(a).
(g) Grain Storage Facility Cases. This rule shall not limit the
court's authority under Sec. 557 of the Code to enter orders governing
procedures in cases in which the debtor is an owner or operator of a
grain storage facility.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Aug.
1, 1989; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 1996, eff. Dec. 1,
1996; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2001, eff. Dec. 1,
2001; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 23, 2008, eff. Dec. 1,
2008; Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 9007
_____. General Authority to Regulate Notices___________________________
When notice is to be given under these rules, the court shall
designate, if not otherwise specified herein, the time within which, the
entities to whom, and the form and manner in which the notice shall be
given. When feasible, the court may order any notices under these rules
to be combined.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 9008
_____. Service or Notice by Publication________________________________
Whenever these rules require or authorize service or notice by
publication, the court shall, to the extent not otherwise specified in
these rules, determine the form and manner thereof, including the
newspaper or other medium to be used and the number of publications.
Rule 9009
_____. Forms___________________________________________________________
Except as otherwise provided in Rule 3016(d), the Official Forms
prescribed by the Judicial Conference of the United States shall be
observed and used with alterations as may be appropriate. Forms may be
combined and their contents rearranged to permit economies in their use.
The Director of the Administrative Office of the United States Courts
may issue additional forms for use under the Code. The forms shall be
construed to be consistent with these rules and the Code.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec.
1, 2008.)
Rule 9010
_____. Representation and Appearances; Powers of Attorney______________
(a) Authority To Act Personally or by Attorney. A debtor, creditor,
equity security holder, indenture trustee, committee or other party may
(1) appear in a case under the Code and act either in the entity's own
behalf or by an attorney authorized to practice in the court, and (2)
perform any act not constituting the practice of law, by an authorized
agent, attorney in fact, or proxy.
(b) Notice of Appearance. An attorney appearing for a party in a
case under the Code shall file a notice of appearance with the
attorney's name, office address and telephone number, unless the
attorney's appearance is otherwise noted in the record.
(c) Power of Attorney. The authority of any agent, attorney in fact,
or proxy to represent a creditor for any purpose other than the
execution and filing of a proof of claim or the acceptance or rejection
of a plan shall be evidenced by a power of attorney conforming
substantially to the appropriate Official Form. The execution of any
such power of attorney shall be acknowledged before one of the officers
enumerated in 28 U.S.C. Sec. 459, Sec. 953, Rule 9012, or a person
authorized to administer oaths under the laws of the state where the
oath is administered.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 9011
_____. Signing of Papers; Representations to the Court; Sanctions;
Verification and Copies of Papers_______________________________________
(a) Signature. Every petition, pleading, written motion, and other
paper, except a list, schedule, or statement, or amendments thereto,
shall be signed by at least one attorney of record in the attorney's
individual name. A party who is not represented by an attorney shall
sign all papers. Each paper shall state the signer's address and
telephone number, if any. An unsigned paper shall be stricken unless
omission of the signature is corrected promptly after being called to
the attention of the attorney or party.
(b) Representations to the Court. By presenting to the court
(whether by signing, filing, submitting, or later advocating) a
petition, pleading, written motion, or other paper, an attorney or
unrepresented party is certifying that to the best of the person's
knowledge, information, and belief, formed after an inquiry reasonable
under the circumstances,-- \1\
---------------------------------------------------------------------------
\1\ So in original. The comma probably should not appear.
---------------------------------------------------------------------------
(1) it is not being presented for any improper purpose, such
as to harass or to cause unnecessary delay or needless increase
in the cost of litigation;
(2) the claims, defenses, and other legal contentions
therein are warranted by existing law or by a nonfrivolous
argument for the extension, modification, or reversal of
existing law or the establishment of new law;
(3) the allegations and other factual contentions have
evidentiary support or, if specifically so identified, are
likely to have evidentiary support after a reasonable
opportunity for further investigation or discovery; and
(4) the denials of factual contentions are warranted on the
evidence or, if specifically so identified, are reasonably based
on a lack of information or belief.
(c) Sanctions. If, after notice and a reasonable opportunity to
respond, the court determines that subdivision (b) has been violated,
the court may, subject to the conditions stated below, impose an
appropriate sanction upon the attorneys, law firms, or parties that have
violated subdivision (b) or are responsible for the violation.
(1) How Initiated.
(A) By Motion. A motion for sanctions under this
rule shall be made separately from other motions or
requests and shall describe the specific conduct alleged
to violate subdivision (b). It shall be served as
provided in Rule 7004. The motion for sanctions may not
be filed with or presented to the court unless, within
21 days after service of the motion (or such other
period as the court may prescribe), the challenged
paper, claim, defense, contention, allegation, or denial
is not withdrawn or appropriately corrected, except that
this limitation shall not apply if the conduct alleged
is the filing of a petition in violation of subdivision
(b). If warranted, the court may award to the party
prevailing on the motion the reasonable expenses and
attorney's fees incurred in presenting or opposing the
motion. Absent exceptional circumstances, a law firm
shall be held jointly responsible for violations
committed by its partners, associates, and employees.
(B) On Court's Initiative. On its own initiative,
the court may enter an order describing the specific
conduct that appears to violate subdivision (b) and
directing an attorney, law firm, or party to show cause
why it has not violated subdivision (b) with respect
thereto.
(2) Nature of Sanction; Limitations. A sanction imposed for
violation of this rule shall be limited to what is sufficient to
deter repetition of such conduct or comparable conduct by others
similarly situated. Subject to the limitations in subparagraphs
(A) and (B), the sanction may consist of, or include, directives
of a nonmonetary nature, an order to pay a penalty into court,
or, if imposed on motion and warranted for effective deterrence,
an order directing payment to the movant of some or all of the
reasonable attorneys' fees and other expenses incurred as a
direct result of the violation.
(A) Monetary sanctions may not be awarded against a
represented party for a violation of subdivision (b)(2).
(B) Monetary sanctions may not be awarded on the
court's initiative unless the court issues its order to
show cause before a voluntary dismissal or settlement of
the claims made by or against the party which is, or
whose attorneys are, to be sanctioned.
(3) Order. When imposing sanctions, the court shall describe
the conduct determined to constitute a violation of this rule
and explain the basis for the sanction imposed.
(d) Inapplicability To Discovery. Subdivisions (a) through (c) of
this rule do not apply to disclosures and discovery requests, responses,
objections, and motions that are subject to the provisions of Rules 7026
through 7037.
(e) Verification. Except as otherwise specifically provided by these
rules, papers filed in a case under the Code need not be verified.
Whenever verification is required by these rules, an unsworn declaration
as provided in 28 U.S.C. Sec. 1746 satisfies the requirement of
verification.
(f) Copies of Signed or Verified Papers. When these rules require
copies of a signed or verified paper, it shall suffice if the original
is signed or verified and the copies are conformed to the original.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 11, 1997, eff. Dec. 1, 1997.)
Rule 9012
_____. Oaths and Affirmations__________________________________________
(a) Persons Authorized To Administer Oaths. The following persons
may administer oaths and affirmations and take acknowledgments: a
bankruptcy judge, clerk, deputy clerk, United States trustee, officer
authorized to administer oaths in proceedings before the courts of the
United States or under the laws of the state where the oath is to be
taken, or a diplomatic or consular officer of the United States in any
foreign country.
(b) Affirmation in Lieu of Oath. When in a case under the Code an
oath is required to be taken a solemn affirmation may be accepted in
lieu thereof.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991.)
Rule 9013
_____. Motions: Form and Service_______________________________________
A request for an order, except when an application is authorized by
these rules, shall be by written motion, unless made during a hearing.
The motion shall state with particularity the grounds therefor, and
shall set forth the relief or order sought. Every written motion other
than one which may be considered ex parte shall be served by the moving
party on the trustee or debtor in possession and on those entities
specified by these rules or, if service is not required or the entities
to be served are not specified by these rules, the moving party shall
serve the entities the court directs.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 9014
_____. Contested Matters_______________________________________________
(a) Motion. In a contested matter not otherwise governed by these
rules, relief shall be requested by motion, and reasonable notice and
opportunity for hearing shall be afforded the party against whom relief
is sought. No response is required under this rule unless the court
directs otherwise.
(b) Service. The motion shall be served in the manner provided for
service of a summons and complaint by Rule 7004. Any paper served after
the motion shall be served in the manner provided by Rule 5(b) F. R.
Civ. P.
(c) Application of Part VII Rules. Except as otherwise provided in
this rule, and unless the court directs otherwise, the following rules
shall apply: 7009, 7017, 7021, 7025, 7026, 7028-7037, 7041, 7042, 7052,
7054-7056, 7064, 7069, and 7071. The following subdivisions of Fed. R.
Civ. P. 26, as incorporated by Rule 7026, shall not apply in a contested
matter unless the court directs otherwise: 26(a)(1) (mandatory
disclosure), 26(a)(2) (disclosures regarding expert testimony) and
26(a)(3) (additional pre-trial disclosure), and 26(f) (mandatory meeting
before scheduling conference/discovery plan). An entity that desires to
perpetuate testimony may proceed in the same manner as provided in Rule
7027 for the taking of a deposition before an adversary proceeding. The
court may at any stage in a particular matter direct that one or more of
the other rules in Part VII shall apply. The court shall give the
parties notice of any order issued under this paragraph to afford them a
reasonable opportunity to comply with the procedures prescribed by the
order.
(d) Testimony of Witnesses. Testimony of witnesses with respect to
disputed material factual issues shall be taken in the same manner as
testimony in an adversary proceeding.
(e) Attendance of Witnesses. The court shall provide procedures that
enable parties to ascertain at a reasonable time before any scheduled
hearing whether the hearing will be an evidentiary hearing at which
witnesses may testify.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 26, 1999, eff. Dec.
1, 1999; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 26, 2004, eff. Dec. 1,
2004.)
Rule 9015
_____. Jury Trials_____________________________________________________
(a) Applicability of Certain Federal Rules of Civil Procedure. Rules
38, 39, 47-49, and 51, F.R.Civ.P., and Rule 81(c) F.R.Civ.P. insofar as
it applies to jury trials, apply in cases and proceedings, except that a
demand made under Rule 38(b) F.R.Civ.P. shall be filed in accordance
with Rule 5005.
(b) Consent To Have Trial Conducted by Bankruptcy Judge. If the
right to a jury trial applies, a timely demand has been filed pursuant
to Rule 38(b) F.R.Civ.P., and the bankruptcy judge has been specially
designated to conduct the jury trial, the parties may consent to have a
jury trial conducted by a bankruptcy judge under 28 U.S.C. Sec. 157(e)
by jointly or separately filing a statement of consent within any
applicable time limits specified by local rule.
(c) Applicability of Rule 50 F.R.Civ.P. Rule 50 F.R.Civ.P. applies
in cases and proceedings, except that any renewed motion for judgment or
request for a new trial shall be filed no later than 14 days after the
entry of judgment.
(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Mar. 26, 2009, eff.
Dec. 1, 2009.)
Rule 9016
_____. Subpoena________________________________________________________
Rule 45 F.R.Civ.P. applies in cases under the Code.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 9017
_____. Evidence________________________________________________________
The Federal Rules of Evidence and Rules 43, 44 and 44.1 F.R.Civ.P.
apply in cases under the Code.
Rule 9018
_____. Secret, Confidential, Scandalous, or Defamatory Matter__________
On motion or on its own initiative, with or without notice, the
court may make any order which justice requires (1) to protect the
estate or any entity in respect of a trade secret or other confidential
research, development, or commercial information, (2) to protect any
entity against scandalous or defamatory matter contained in any paper
filed in a case under the Code, or (3) to protect governmental matters
that are made confidential by statute or regulation. If an order is
entered under this rule without notice, any entity affected thereby may
move to vacate or modify the order, and after a hearing on notice the
court shall determine the motion.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 9019
_____. Compromise and Arbitration______________________________________
(a) Compromise. On motion by the trustee and after notice and a
hearing, the court may approve a compromise or settlement. Notice shall
be given to creditors, the United States trustee, the debtor, and
indenture trustees as provided in Rule 2002 and to any other entity as
the court may direct.
(b) Authority To Compromise or Settle Controversies Within Classes.
After a hearing on such notice as the court may direct, the court may
fix a class or classes of controversies and authorize the trustee to
compromise or settle controversies within such class or classes without
further hearing or notice.
(c) Arbitration. On stipulation of the parties to any controversy
affecting the estate the court may authorize the matter to be submitted
to final and binding arbitration.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993.)
Rule 9020
_____. Contempt Proceedings____________________________________________
Rule 9014 governs a motion for an order of contempt made by the
United States trustee or a party in interest.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 2001, eff. Dec. 1, 2001.)
Rule 9021
_____. Entry of Judgment_______________________________________________
A judgment or order is effective when entered under Rule 5003.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec.
1, 2009.)
Rule 9022
_____. Notice of Judgment or Order_____________________________________
(a) Judgment or Order of Bankruptcy Judge. Immediately on the entry
of a judgment or order the clerk shall serve a notice of entry in the
manner provided in Rule 5(b) F.R.Civ.P. on the contesting parties and on
other entities as the court directs. Unless the case is a chapter 9
municipality case, the clerk shall forthwith transmit to the United
States trustee a copy of the judgment or order. Service of the notice
shall be noted in the docket. Lack of notice of the entry does not
affect the time to appeal or relieve or authorize the court to relieve a
party for failure to appeal within the time allowed, except as permitted
in Rule 8002.
(b) Judgment or Order of District Judge. Notice of a judgment or
order entered by a district judge is governed by Rule 77(d) F.R.Civ.P.
Unless the case is a chapter 9 municipality case, the clerk shall
forthwith transmit to the United States trustee a copy of a judgment or
order entered by a district judge.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 23, 2001, eff. Dec. 1, 2001.)
Rule 9023
_____. New Trials; Amendment of Judgments______________________________
Except as provided in this rule and Rule 3008, Rule 59 F.R.Civ.P.
applies in cases under the Code. A motion for a new trial or to alter or
amend a judgment shall be filed, and a court may on its own order a new
trial, no later than 14 days after entry of judgment.
(As amended Mar. 26, 2009, eff. Dec. 1, 2009.)
Rule 9024
_____. Relief from Judgment or Order___________________________________
Rule 60 F.R.Civ.P. applies in cases under the Code except that (1) a
motion to reopen a case under the Code or for the reconsideration of an
order allowing or disallowing a claim against the estate entered without
a contest is not subject to the one year limitation prescribed in Rule
60(c), (2) a complaint to revoke a discharge in a chapter 7 liquidation
case may be filed only within the time allowed by Sec. 727(e) of the
Code, and (3) a complaint to revoke an order confirming a plan may be
filed only within the time allowed by Sec. 1144, Sec. 1230, or
Sec. 1330.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec.
1, 2008.)
Rule 9025
_____. Security: Proceedings Against Sureties__________________________
Whenever the Code or these rules require or permit the giving of
security by a party, and security is given in the form of a bond or
stipulation or other undertaking with one or more sureties, each surety
submits to the jurisdiction of the court, and liability may be
determined in an adversary proceeding governed by the rules in Part VII.
Rule 9026
_____. Exceptions Unnecessary__________________________________________
Rule 46 F.R.Civ.P. applies in cases under the Code.
Rule 9027
_____. Removal_________________________________________________________
(a) Notice of Removal.
(1) Where Filed; Form and Content. A notice of removal shall
be filed with the clerk for the district and division within
which is located the state or federal court where the civil
action is pending. The notice shall be signed pursuant to Rule
9011 and contain a short and plain statement of the facts which
entitle the party filing the notice to remove, contain a
statement that upon removal of the claim or cause of action the
proceeding is core or non-core and, if non-core, that the party
filing the notice does or does not consent to entry of final
orders or judgment by the bankruptcy judge, and be accompanied
by a copy of all process and pleadings.
(2) Time for Filing; Civil Action Initiated Before
Commencement of the Case Under the Code. If the claim or cause
of action in a civil action is pending when a case under the
Code is commenced, a notice of removal may be filed only within
the longest of (A) 90 days after the order for relief in the
case under the Code, (B) 30 days after entry of an order
terminating a stay, if the claim or cause of action in a civil
action has been stayed under Sec. 362 of the Code, or (C) 30
days after a trustee qualifies in a chapter 11 reorganization
case but not later than 180 days after the order for relief.
(3) Time for filing; civil action initiated after
commencement of the case under the Code. If a claim or cause of
action is asserted in another court after the commencement of a
case under the Code, a notice of removal may be filed with the
clerk only within the shorter of (A) 30 days after receipt,
through service or otherwise, of a copy of the initial pleading
setting forth the claim or cause of action sought to be removed,
or (B) 30 days after receipt of the summons if the initial
pleading has been filed with the court but not served with the
summons.
(b) Notice. Promptly after filing the notice of removal, the party
filing the notice shall serve a copy of it on all parties to the removed
claim or cause of action.
(c) Filing in Non-Bankruptcy Court. Promptly after filing the notice
of removal, the party filing the notice shall file a copy of it with the
clerk of the court from which the claim or cause of action is removed.
Removal of the claim or cause of action is effected on such filing of a
copy of the notice of removal. The parties shall proceed no further in
that court unless and until the claim or cause of action is remanded.
(d) Remand. A motion for remand of the removed claim or cause of
action shall be governed by Rule 9014 and served on the parties to the
removed claim or cause of action.
(e) Procedure After Removal.
(1) After removal of a claim or cause of action to a
district court the district court or, if the case under the Code
has been referred to a bankruptcy judge of the district, the
bankruptcy judge, may issue all necessary orders and process to
bring before it all proper parties whether served by process
issued by the court from which the claim or cause of action was
removed or otherwise.
(2) The district court or, if the case under the Code has
been referred to a bankruptcy judge of the district, the
bankruptcy judge, may require the party filing the notice of
removal to file with the clerk copies of all records and
proceedings relating to the claim or cause of action in the
court from which the claim or cause of action was removed.
(3) Any party who has filed a pleading in connection with
the removed claim or cause of action, other than the party
filing the notice of removal, shall file a statement admitting
or denying any allegation in the notice of removal that upon
removal of the claim or cause of action the proceeding is core
or non-core. If the statement alleges that the proceeding is
non-core, it shall state that the party does or does not consent
to entry of final orders or judgment by the bankruptcy judge. A
statement required by this paragraph shall be signed pursuant to
Rule 9011 and shall be filed not later than 14 days after the
filing of the notice of removal. Any party who files a statement
pursuant to this paragraph shall mail a copy to every other
party to the removed claim or cause of action.
(f) Process After Removal. If one or more of the defendants has not
been served with process, the service has not been perfected prior to
removal, or the process served proves to be defective, such process or
service may be completed or new process issued pursuant to Part VII of
these rules. This subdivision shall not deprive any defendant on whom
process is served after removal of the defendant's right to move to
remand the case.
(g) Applicability of Part VII. The rules of Part VII apply to a
claim or cause of action removed to a district court from a federal or
state court and govern procedure after removal. Repleading is not
necessary unless the court so orders. In a removed action in which the
defendant has not answered, the defendant shall answer or present the
other defenses or objections available under the rules of Part VII
within 21 days following the receipt through service or otherwise of a
copy of the initial pleading setting forth the claim for relief on which
the action or proceeding is based, or within 21 days following the
service of summons on such initial pleading, or within seven days
following the filing of the notice of removal, whichever period is
longest.
(h) Record Supplied. When a party is entitled to copies of the
records and proceedings in any civil action or proceeding in a federal
or a state court, to be used in the removed civil action or proceeding,
and the clerk of the federal or state court, on demand accompanied by
payment or tender of the lawful fees, fails to deliver certified copies,
the court may, on affidavit reciting the facts, direct such record to be
supplied by affidavit or otherwise. Thereupon the proceedings, trial and
judgment may be had in the court, and all process awarded, as if
certified copies had been filed.
(i) Attachment or Sequestration; Securities. When a claim or cause
of action is removed to a district court, any attachment or
sequestration of property in the court from which the claim or cause of
action was removed shall hold the property to answer the final judgment
or decree in the same manner as the property would have been held to
answer final judgment or decree had it been rendered by the court from
which the claim or cause of action was removed. All bonds, undertakings,
or security given by either party to the claim or cause of action prior
to its removal shall remain valid and effectual notwithstanding such
removal. All injunctions issued, orders entered and other proceedings
had prior to removal shall remain in full force and effect until
dissolved or modified by the court.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 29, 2002, eff. Dec. 1, 2002; Mar. 26, 2009, eff. Dec. 1,
2009.)
Rule 9028
_____. Disability of a Judge___________________________________________
Rule 63 F.R.Civ.P. applies in cases under the Code.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 9029
_____. Local Bankruptcy Rules; Procedure When There is No Controlling
Law_____________________________________________________________________
(a) Local Bankruptcy Rules.
(1) Each district court acting by a majority of its district
judges may make and amend rules governing practice and procedure
in all cases and proceedings within the district court's
bankruptcy jurisdiction which are consistent with--but not
duplicative of--Acts of Congress and these rules and which do
not prohibit or limit the use of the Official Forms. Rule 83
F.R.Civ.P. governs the procedure for making local rules. A
district court may authorize the bankruptcy judges of the
district, subject to any limitation or condition it may
prescribe and the requirements of 83 F.R.Civ.P., to make and
amend rules of practice and procedure which are consistent
with--but not duplicative of--Acts of Congress and these rules
and which do not prohibit or limit the use of the Official
Forms. Local rules shall conform to any uniform numbering system
prescribed by the Judicial Conference of the United States.
(2) A local rule imposing a requirement of form shall not be
enforced in a manner that causes a party to lose rights because
of a nonwillful failure to comply with the requirement.
(b) Procedure When There is No Controlling Law. A judge may regulate
practice in any manner consistent with federal law, these rules,
Official Forms, and local rules of the district. No sanction or other
disadvantage may be imposed for noncompliance with any requirement not
in federal law, federal rules, Official Forms, or the local rules of the
district unless the alleged violator has been furnished in the
particular case with actual notice of the requirement.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug.
1, 1991; Apr. 27, 1995, eff. Dec. 1, 1995.)
Rule 9030
_____. Jurisdiction and Venue Unaffected_______________________________
These rules shall not be construed to extend or limit the
jurisdiction of the courts or the venue of any matters therein.
(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)
Rule 9031
_____. Masters Not Authorized__________________________________________
Rule 53 F.R.Civ.P. does not apply in cases under the Code.
Rule 9032
_____. Effect of Amendment of Federal Rules of Civil Procedure_________
The Federal Rules of Civil Procedure which are incorporated by
reference and made applicable by these rules shall be the Federal Rules
of Civil Procedure in effect on the effective date of these rules and as
thereafter amended, unless otherwise provided by such amendment or by
these rules.
(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 9033
_____. Review of Proposed Findings of Fact and Conclusions of Law in
Non-Core Proceedings____________________________________________________
(a) Service. In non-core proceedings heard pursuant to 28 U.S.C.
Sec. 157(c)(1), the bankruptcy judge shall file proposed findings of
fact and conclusions of law. The clerk shall serve forthwith copies on
all parties by mail and note the date of mailing on the docket.
(b) Objections: Time for Filing. Within 14 days after being served
with a copy of the proposed findings of fact and conclusions of law a
party may serve and file with the clerk written objections which
identify the specific proposed findings or conclusions objected to and
state the grounds for such objection. A party may respond to another
party's objections within 14 days after being served with a copy
thereof. A party objecting to the bankruptcy judge's proposed findings
or conclusions shall arrange promptly for the transcription of the
record, or such portions of it as all parties may agree upon or the
bankruptcy judge deems sufficient, unless the district judge otherwise
directs.
(c) Extension of Time. The bankruptcy judge may for cause extend the
time for filing objections by any party for a period not to exceed 21
days from the expiration of the time otherwise prescribed by this rule.
A request to extend the time for filing objections must be made before
the time for filing objections has expired, except that a request made
no more than 21 days after the expiration of the time for filing
objections may be granted upon a showing of excusable neglect.
(d) Standard of Review. The district judge shall make a de novo
review upon the record or, after additional evidence, of any portion of
the bankruptcy judge's findings of fact or conclusions of law to which
specific written objection has been made in accordance with this rule.
The district judge may accept, reject, or modify the proposed findings
of fact or conclusions of law, receive further evidence, or recommit the
matter to the bankruptcy judge with instructions.
(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Mar. 26, 2009, eff.
Dec. 1, 2009.)
Rule 9034
_____. Transmittal of Pleadings, Motion Papers, Objections, and Other
Papers to the United States Trustee_____________________________________
Unless the United States trustee requests otherwise or the case is a
chapter 9 municipality case, any entity that files a pleading, motion,
objection, or similar paper relating to any of the following matters
shall transmit a copy thereof to the United States trustee within the
time required by these rules for service of the paper:
(a) a proposed use, sale, or lease of property of the estate
other than in the ordinary course of business;
(b) the approval of a compromise or settlement of a
controversy;
(c) the dismissal or conversion of a case to another
chapter;
(d) the employment of professional persons;
(e) an application for compensation or reimbursement of
expenses;
(f) a motion for, or approval of an agreement relating to,
the use of cash collateral or authority to obtain credit;
(g) the appointment of a trustee or examiner in a chapter 11
reorganization case;
(h) the approval of a disclosure statement;
(i) the confirmation of a plan;
(j) an objection to, or waiver or revocation of, the
debtor's discharge;
(k) any other matter in which the United States trustee
requests copies of filed papers or the court orders copies
transmitted to the United States trustee.
(Added Apr. 30, 1991, eff. Aug. 1, 1991.)
Rule 9035
_____. Applicability of Rules in Judicial Districts in Alabama and
North Carolina__________________________________________________________
In any case under the Code that is filed in or transferred to a
district in the State of Alabama or the State of North Carolina and in
which a United States trustee is not authorized to act, these rules
apply to the extent that they are not inconsistent with any federal
statute effective in the case.
(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff.
Dec. 1, 1997.)
Rule 9036
_____. Notice by Electronic Transmission_______________________________
Whenever the clerk or some other person as directed by the court is
required to send notice by mail and the entity entitled to receive the
notice requests in writing that, instead of notice by mail, all or part
of the information required to be contained in the notice be sent by a
specified type of electronic transmission, the court may direct the
clerk or other person to send the information by such electronic
transmission. Notice by electronic means is complete on transmission.
(Added Apr. 22, 1993, eff. Aug. 1, 1993; amended Apr. 25, 2005, eff.
Dec. 1, 2005.)
Rule 9037
_____. Privacy Protection For Filings Made with the Court______________
(a) Redacted Filings. Unless the court orders otherwise, in an
electronic or paper filing made with the court that contains an
individual's social-security number, taxpayer-identification number, or
birth date, the name of an individual, other than the debtor, known to
be and identified as a minor, or a financial-account number, a party or
nonparty making the filing may include only:
(1) the last four digits of the social-security number and
taxpayer-identification number;
(2) the year of the individual's birth;
(3) the minor's initials; and
(4) the last four digits of the financial-account number.
(b) Exemptions From the Redaction Requirement. The redaction
requirement does not apply to the following:
(1) a financial-account number that identifies the property
allegedly subject to forfeiture in a forfeiture proceeding;
(2) the record of an administrative or agency proceeding
unless filed with a proof of claim;
(3) the official record of a state-court proceeding;
(4) the record of a court or tribunal, if that record was
not subject to the redaction requirement when originally filed;
(5) a filing covered by subdivision (c) of this rule; and
(6) a filing that is subject to Sec. 110 of the Code.
(c) Filings Made Under Seal. The court may order that a filing be
made under seal without redaction. The court may later unseal the filing
or order the entity that made the filing to file a redacted version for
the public record.
(d) Protective Orders. For cause, the court may by order in a case
under the Code:
(1) require redaction of additional information; or
(2) limit or prohibit a nonparty's remote electronic access
to a document filed with the court.
(e) Option for Additional Unredacted Filing Under Seal. An entity
making a redacted filing may also file an unredacted copy under seal.
The court must retain the unredacted copy as part of the record.
(f) Option for Filing a Reference List. A filing that contains
redacted information may be filed together with a reference list that
identifies each item of redacted information and specifies an
appropriate identifier that uniquely corresponds to each item listed.
The list must be filed under seal and may be amended as of right. Any
reference in the case to a listed identifier will be construed to refer
to the corresponding item of information.
(g) Waiver of Protection of Identifiers. An entity waives the
protection of subdivision (a) as to the entity's own information by
filing it without redaction and not under seal.
(Added Apr. 30, 2007, eff. Dec. 1, 2007.)
[PART X--UNITED STATES TRUSTEES] (Abrogated Apr. 30, 1991, eff. Aug. 1,
1991)