TITLE 11—APPENDIX
FEDERAL RULES OF BANKRUPTCY PROCEDURE
(Effective August 1, 1983, as amended to January 2, 2014)
Historical Note
The Federal Rules of Bankruptcy Procedure were adopted by order of the Supreme Court on Apr. 25, 1983, transmitted to Congress by the Chief Justice on the same day, and became effective Aug. 1, 1983.
The Rules have been amended Aug. 30, 1983, Pub. L. 98–91, §2(a), 97 Stat. 607, eff. Aug. 1, 1983; July 10, 1984, Pub. L. 98–353, title III, §321, 98 Stat. 357; Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Aug. 1, 1989; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 29, 1994, eff. Aug. 1, 1994; Oct. 22, 1994, Pub. L. 103–394, title I, §114, 108 Stat. 4118; Apr. 27, 1995, eff. Dec. 1, 1995; 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; Apr. 29, 2002, eff. Dec. 1, 2002; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 26, 2004, eff. Dec. 1, 2004; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 30, 2007, eff. Dec. 1, 2007; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009; Apr. 28, 2010, eff. Dec. 1, 2010; Apr. 26, 2011, eff. Dec. 1, 2011; Apr. 23, 2012, eff. Dec. 1, 2012; Apr. 16, 2013, eff. Dec. 1, 2013.
1001.
Scope of Rules and Forms; Short Title.
PART I. COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND ORDER FOR RELIEF
1002.
Commencement of Case.
1003.
Involuntary Petition.
1004.
Involuntary Petition Against a Partnership.
1004.1.
Petition for an Infant or Incompetent Person.
1004.2.
Petition in Chapter 15 Cases.
1005.
Caption of Petition.
1007.
Lists, Schedules, Statements, and Other Documents; Time Limits.
1008.
Verification of Petitions and Accompanying Papers.
1009.
Amendments of Voluntary Petitions, Lists, Schedules and Statements.
1010.
Service of Involuntary Petition and Summons; Petition For Recognition of a Foreign Nonmain Proceeding.
1011.
Responsive Pleading or Motion in Involuntary and Cross-Border Cases.
1013.
Hearing and Disposition of a Petition in an Involuntary Case.
1014.
Dismissal and Change of Venue.
1015.
Consolidation or Joint Administration of Cases Pending in Same Court.
1016.
Death or Incompetency of Debtor.
1017.
Dismissal or Conversion of Case; Suspension.
1018.
Contested Involuntary Petitions; Contested Petitions Commencing Chapter 15 Cases; Proceedings to Vacate Order for Relief; Applicability of Rules in Part VII Governing Adversary Proceedings.
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.
1020.
Small Business Chapter 11 Reorganization Case.
1021.
Health Care Business Case.
PART II. OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS
2001.
Appointment of Interim Trustee Before Order for Relief in a Chapter 7 Liquidation Case.
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.
2003.
Meeting of Creditors or Equity Security Holders.
2005.
Apprehension and Removal of Debtor to Compel Attendance for Examination.
2006.
Solicitation and Voting of Proxies in Chapter 7 Liquidation Cases.
2007.
Review of Appointment of Creditors' Committee Organized Before Commencement of the Case.
2007.1.
Appointment of Trustee or Examiner in a Chapter 11 Reorganization Case.
2007.2.
Appointment of Patient Care Ombudsman in a Health Care Business Case.
2008.
Notice to Trustee of Selection.
2009.
Trustees for Estates When Joint Administration Ordered.
2010.
Qualification by Trustee; Proceeding on Bond.
2011.
Evidence of Debtor in Possession or Qualification of Trustee.
2012.
Substitution of Trustee or Successor Trustee; Accounting.
2013.
Public Record of Compensation Awarded to Trustees, Examiners, and Professionals.
2014.
Employment of Professional Persons.
2015.
Duty to Keep Records, Make Reports, and Give Notice of Case or Change of Status.
2015.1.
Patient Care Ombudsman.
2015.2.
Transfer of Patient in Health Care Business Case.
2015.3.
Reports of Financial Information on Entities in Which a Chapter 11 Estate Holds a Controlling or Substantial Interest.
2016.
Compensation for Services Rendered and Reimbursement of Expenses.
2017.
Examination of Debtor's Transactions with Debtor's Attorney.
2018.
Intervention; Right to Be Heard.
2019.
Disclosure Regarding Creditors and Equity Security Holders in Chapter 9 and Chapter 11 Cases.
2020.
Review of Acts by United States Trustee.
PART III. CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY INTEREST HOLDERS; PLANS
3002.
Filing Proof of Claim or Interest.
3002.1
Notice Relating to Claims Secured by Security Interest in the Debtor's Principal Residence.
3003.
Filing Proof of Claim or Equity Security Interest in Chapter 9 Municipality or Chapter 11 Reorganization Cases.
3004.
Filing of Claims by Debtor or Trustee.
3005.
Filing of Claim, Acceptance, or Rejection by Guarantor, Surety, Indorser, or Other Codebtor.
3006.
Withdrawal of Claim; Effect on Acceptance or Rejection of Plan.
3007.
Objections to Claims.
3008.
Reconsideration of Claims.
3009.
Declaration and Payment of Dividends in a Chapter 7 Liquidation Case.
3010.
Small Dividends and Payments in Chapter 7 Liquidation, Chapter 12 Family Farmer's Debt Adjustment, and Chapter 13 Individual's Debt Adjustment Cases.
3011.
Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 Family Farmer's Debt Adjustment, and Chapter 13 Individual's Debt Adjustment Cases.
3012.
Valuation of Security.
3013.
Classification of Claims and Interests.
3014.
Election Under §1111(b) by Secured Creditor in Chapter 9 Municipality or Chapter 11 Reorganization Case.
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.
3016.
Filing of Plan and Disclosure Statement in a Chapter 9 Municipality or Chapter 11 Reorganization Case.
3017.
Court Consideration of Disclosure Statement in a Chapter 9 Municipality or Chapter 11 Reorganization Case.
3017.1.
Court Consideration of Disclosure Statement in a Small Business Case.
3018.
Acceptance or Rejection of Plan in a Chapter 9 Municipality or a Chapter 11 Reorganization Case.
3019.
Modification of Accepted Plan in a Chapter 9 Municipality or a Chapter 11 Reorganization Case.
3020.
Deposit; Confirmation of Plan in a Chapter 9 Municipality or Chapter 11 Reorganization Case.
3021.
Distribution Under Plan.
3022.
Final Decree in Chapter 11 Reorganization Case.
PART IV. THE DEBTOR: DUTIES AND BENEFITS
4001.
Relief from Automatic Stay; Prohibiting or Conditioning the Use, Sale, or Lease of Property; Use of Cash Collateral; Obtaining Credit; Agreements.
4004.
Grant or Denial of Discharge.
4005.
Burden of Proof in Objecting to Discharge.
4006.
Notice of No Discharge.
4007.
Determination of Dischargeability of a Debt.
4008.
Filing of Reaffirmation Agreement; Statement in Support of Reaffirmation Agreement.
PART V. COURTS AND CLERKS
5001.
Courts and Clerks' Offices.
5002.
Restrictions on Approval of Appointments.
5003.
Records Kept By the Clerk.
5005.
Filing and Transmittal of Papers.
5006.
Certification of Copies of Papers.
5007.
Record of Proceedings and Transcripts.
5008.
Notice Regarding Presumption of Abuse in Chapter 7 Cases of Individual Debtors.
5009.
Closing Chapter 7 Liquidation, Chapter 12 Family Farmer's Debt Adjustment, Chapter 13 Individual's Debt Adjustment, and Chapter 15 Ancillary and Cross-Border Cases.
5011.
Withdrawal and Abstention from Hearing a Proceeding.
5012.
Agreements Concerning Coordination of Proceedings in Chapter 15 Cases.
PART VI. COLLECTION AND LIQUIDATION OF THE ESTATE
6001.
Burden of Proof As to Validity of Postpetition Transfer.
6002.
Accounting by Prior Custodian of Property of the Estate.
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.
6004.
Use, Sale, or Lease of Property.
6005.
Appraisers and Auctioneers.
6006.
Assumption, Rejection or Assignment of an Executory Contract or Unexpired Lease.
6007.
Abandonment or Disposition of Property.
6008.
Redemption of Property from Lien or Sale.
6009.
Prosecution and Defense of Proceedings by Trustee or Debtor in Possession.
6010.
Proceeding to Avoid Indemnifying Lien or Transfer to Surety.
6011.
Disposal of Patient Records in Health Care Business Case.
PART VII. ADVERSARY PROCEEDINGS
7001.
Scope of Rules of Part VII.
7002.
References to Federal Rules of Civil Procedure.
7003.
Commencement of Adversary Proceeding.
7004.
Process; Service of Summons, Complaint.
7005.
Service and Filing of Pleadings and Other Papers.
7007.1.
Corporate Ownership Statement.
7008.
General Rules of Pleading.
7009.
Pleading Special Matters.
7012.
Defenses and Objections—When and How Presented—By Pleading or Motion—Motion for Judgment on the Pleadings.
7013.
Counterclaim and Cross-Claim.
7014.
Third-Party Practice.
7015.
Amended and Supplemental Pleadings.
7016.
Pre-Trial Procedure; Formulating Issues.
7017.
Parties Plaintiff and Defendant; Capacity.
7018.
Joinder of Claims and Remedies.
7019.
Joinder of Persons Needed for Just Determination.
7020.
Permissive Joinder of Parties.
7021.
Misjoinder and Non-Joinder of Parties.
7023.1.
Derivative Actions.
7023.2.
Adversary Proceedings Relating to Unincorporated Associations.
7025.
Substitution of Parties.
7026.
General Provisions Governing Discovery.
7027.
Depositions Before Adversary Proceedings or Pending Appeal.
7028.
Persons Before Whom Depositions May Be Taken.
7029.
Stipulations Regarding Discovery Procedure.
7030.
Depositions Upon Oral Examination.
7031.
Deposition Upon Written Questions.
7032.
Use of Depositions in Adversary Proceedings.
7033.
Interrogatories to Parties.
7034.
Production of Documents and Things and Entry Upon Land for Inspection and Other Purposes.
7035.
Physical and Mental Examination of Persons.
7036.
Requests for Admission.
7037.
Failure to Make Discovery: Sanctions.
7040.
Assignment of Cases for Trial.
7041.
Dismissal of Adversary Proceedings.
7042.
Consolidation of Adversary Proceedings; Separate Trials.
7052.
Findings by the Court.
7058.
Entering Judgment in Adversary Proceeding.
7062.
Stay of Proceedings to Enforce a Judgment.
7064.
Seizure of Person or Property.
7070.
Judgment for Specific Acts; Vesting Title.
7071.
Process in Behalf of and Against Persons Not Parties.
7087.
Transfer of Adversary Proceeding.
PART VIII. APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE PANEL
8001.
Manner of Taking Appeal; Voluntary Dismissal; Certification to Court of Appeals.
8002.
Time for Filing Notice of Appeal.
8004.
Service of the Notice of Appeal.
8005.
Stay Pending Appeal.
8006.
Record and Issues on Appeal.
8007.
Completion and Transmission of the Record; Docketing of the Appeal.
8008.
Filing and Service.
8009.
Briefs and Appendix; Filing and Service.
8010.
Form of Briefs; Length.
8013.
Disposition of Appeal; Weight Accorded Bankruptcy Judge's Findings of Fact.
8015.
Motion for Rehearing.
8016.
Duties of Clerk of District Court and Bankruptcy Appellate Panel.
8017.
Stay of Judgment of District Court or Bankruptcy Appellate Panel.
8018.
Rules by Circuit Councils and District Courts; Procedure When There is No Controlling Law.
8019.
Suspension of Rules in Part VIII.
8020.
Damages and Costs for Frivolous Appeal.
PART IX. GENERAL PROVISIONS
9001.
General Definitions.
9002.
Meanings of Words in the Federal Rules of Civil Procedure When Applicable to Cases under the Code.
9003.
Prohibition of Ex Parte Contacts.
9004.
General Requirements of Form.
9005.1.
Constitutional Challenge to a Statute—Notice, Certification, and Intervention.
9006.
Computing and Extending Time; Time for Motion Papers.
9007.
General Authority to Regulate Notices.
9008.
Service or Notice by Publication.
9010.
Representation and Appearances; Powers of Attorney.
9011.
Signing of Papers; Representations to the Court; Sanctions; Verification and Copies of Papers.
9012.
Oaths and Affirmations.
9013.
Motions: Form and Service.
9018.
Secret, Confidential, Scandalous, or Defamatory Matter.
9019.
Compromise and Arbitration.
9020.
Contempt Proceedings.
9022.
Notice of Judgment or Order.
9023.
New Trials; Amendment of Judgments.
9024.
Relief from Judgment or Order.
9025.
Security: Proceedings Against Sureties.
9026.
Exceptions Unnecessary.
9028.
Disability of a Judge.
9029.
Local Bankruptcy Rules; Procedure When There is No Controlling Law.
9030.
Jurisdiction and Venue Unaffected.
9031.
Masters Not Authorized.
9032.
Effect of Amendment of Federal Rules of Civil Procedure.
9033.
Review of Proposed Findings of Fact and Conclusions of Law in Non-Core Proceedings.
9034.
Transmittal of Pleadings, Motion Papers, Objections, and Other Papers to the United States Trustee.
9035.
Applicability of Rules in Judicial Districts in Alabama and North Carolina.
9036.
Notice by Electronic Transmission.
9037.
Privacy Protection For Filings Made with the Court.
PART X. [ABROGATED]
OFFICIAL FORMS [see United States Courts website]
BANKRUPTCY RULES
Effective Date; Application; Supersedure of Prior Rules; Transmission to Congress
Sections 2 to 4 of the Order of the Supreme Court, dated Apr. 25, 1983, provided:
"2. That the aforementioned Bankruptcy Rules shall take effect on August 1, 1983, and shall be applicable to proceedings then pending, except to the extent that in the opinion of the court their application in a pending proceeding would not be feasible or would work injustice, in which event the former procedure applies.
"3. That the Bankruptcy Rules, heretofore prescribed by this Court, be, and they hereby are, superseded by the new rules, effective August 1, 1983.
"4. That the Chief Justice be, and he hereby is, authorized to transmit these new Bankruptcy Rules to the Congress in accordance with the provisions of Section 2075 of Title 28, United States Code."
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.)
Notes of Advisory Committee on Rules—1983
Section 247 of Public Law 95–598, 92 Stat. 2549 amended 28 U.S.C. §2075 by omitting the last sentence. The effect of the amendment is to require that procedural rules promulgated pursuant to 28 U.S.C. §2075 be consistent with the bankruptcy statute, both titles 11 and 28 U.S.C. Thus, although Rule 1001 sets forth the scope of the bankruptcy rules and forms, any procedural matters contained in title 11 or 28 U.S.C. with respect to cases filed under 11 U.S.C. would control. See 1 Collier, Bankruptcy 3.04 [2][c] (15th ed. 1980).
28 U.S.C. §151 establishes a United States Bankruptcy Court in each district as an adjunct to the district court. This provision does not, however, become effective until April 1, 1984. Public Law 95–598, §402(b). From October 1, 1979 through March 31, 1984, the courts of bankruptcy as defined in §1(10) of the Bankruptcy Act, and created in §2a of that Act continue to be the courts of bankruptcy. Public Law 95–598, §404(a). From their effective date these rules and forms are to be applicable in cases filed under chapters 7, 9, 11 and 13 of title 11 regardless of whether the court is established by the Bankruptcy Act or by 28 U.S.C. §151. Rule 9001 contains a broad and general definition of "bankruptcy court," "court" and "United States Bankruptcy Court" for this purpose.
"Bankruptcy Code" or "Code" as used in these rules means title 11 of the United States Code, the codification of the bankruptcy law. Public Law 95–598, §101. See Rule 9001.
"Bankruptcy Act" as used in the notes to these rules means the Bankruptcy Act of 1898 as amended which was repealed by §401(a) of Public Law 95–598.
These rules apply to all cases filed under the Code except as otherwise specifically stated.
The final sentence of the rule is derived from former Bankruptcy Rule 903. The objective of "expeditious and economical administration" of cases under the Code has frequently been recognized by the courts to be "a chief purpose of the bankruptcy laws." See Katchen v. Landy, 382 U.S. 323, 328 (1966): Bailey v. Glover, 88 U.S. (21 Wall.) 342, 346–47 (1874): Ex parte Christy, 44 U.S. (3 How.) 292, 312–14, 320–22 (1845). The rule also incorporates the wholesome mandate of the last sentence of Rule 1 of the Federal Rules of Civil Procedure. 2 Moore, Federal Practice 1.13 (2d ed. 1980); 4 Wright & Miller, Federal Practice and Procedure-Civil §1029 (1969).
Notes of Advisory Committee on Rules—1987 Amendment
Title I of the Bankruptcy Amendments and Federal Judgeship Act of 1984, Pub. L. No. 98–353, 98 Stat. 333 (hereinafter the 1984 amendments), created a new bankruptcy judicial system in which the role of the district court was substantially increased. 28 U.S.C. §1334 confers on the United States district courts original and exclusive jurisdiction over all cases under title 11 of the United States Code and original but not exclusive jurisdiction over civil proceedings arising under title 11 and civil proceedings arising in or related to a case under title 11.
Pursuant to 28 U.S.C. §157(a) the district court may but need not refer cases and proceedings within the district court's jurisdiction to the bankruptcy judges for the district. Judgments or orders of the bankruptcy judges entered pursuant to 28 U.S.C. §157(b)(1) and (c)(2) are subject to appellate review by the district courts or bankruptcy appellate panels under 28 U.S.C. §158(a).
Rule 81(a)(1) F.R.Civ.P. provides that the civil rules do not apply to proceedings in bankruptcy, except as they may be made applicable by rules promulgated by the Supreme Court, e.g., Part VII of these rules. This amended Bankruptcy Rule 1001 makes the Bankruptcy Rules applicable to cases and proceedings under title 11, whether before the district judges or the bankruptcy judges of the district.
Notes of Advisory Committee on Rules—1991 Amendment
The citation to these rules is amended to conform to the citation form of the Federal Rules of Civil Procedure, Federal Rules of Appellate Procedure, and Federal Rules of Criminal Procedure.