-CITE-

11 USC TITLE 11 - APPENDIX 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

.

-HEAD-

TITLE 11 - APPENDIX

-CITE-

11 USC FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL

BANKRUPTCY FORMS 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

.

-HEAD-

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

-MISC1-

(EFFECTIVE AUGUST 1, 1983, AS AMENDED TO JANUARY 22, 2002)

Part Rule

I. Commencement of Case; Proceedings Relating to Petition and

Order for Relief 1002

II. Officers and Administration; Notices; Meetings; Examinations;

Elections; Attorneys and Accountants 2001

III. Claims and Distribution to Creditors and Equity Interest

Holders; Plans 3001

IV. The Debtor: Duties and Benefits 4001

V. Bankruptcy Courts and Clerks 5001

VI. Collection and Liquidation of the Estate 6001

VII. Adversary Proceedings 7001

VIII. Appeals to District Court or Bankruptcy Appellate Panel

8001

IX. General Provisions 9001

X. United States Trustees X-1001

Official Forms

BANKRUPTCY RULES

Rule

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. Partnership Petition.

1005. Caption of Petition.

1006. Filing Fee.

1007. Lists, Schedules and Statements; 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

Commencing Ancillary Case.

1011. Responsive Pleading or Motion in Involuntary and Ancillary

Cases.

1012. (Abrogated).

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 Ancillary 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. Election to be Considered a Small Business in a Chapter 11

Reorganization 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, United States,

and United States Trustee.

2003. Meeting of Creditors or Equity Security Holders.

2004. Examination.

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.

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.

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. Representation of Creditors and Equity Security Holders in

Chapter 9 Municipality and Chapter 11 Reorganization Cases.

2020. Review of Acts by United States Trustee.

PART III. CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY INTEREST

HOLDERS; PLANS

3001. Proof of Claim.

3002. Filing Proof of Claim or Interest.

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 Sec. 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 Before Confirmation in a

Chapter 9 Municipality or 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.

4002. Duties of Debtor.

4003. Exemptions.

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. Discharge and Reaffirmation Hearing.

PART V. COURTS AND CLERKS

5001. Courts and Clerks' Offices.

5002. Restrictions on Approval of Appointments.

5003. Records Kept by the Clerk.

5004. Disqualification.

5005. Filing and Transmittal of Papers.

5006. Certification of Copies of Papers.

5007. Record of Proceedings and Transcripts.

5008. (Abrogated).

5009. Closing Chapter 7 Liquidation, Chapter 12 Family Farmer's

Debt Adjustment, and Chapter 13 Individual's Debt Adjustment

Cases.

5010. Reopening Cases.

5011. Withdrawal and Abstention from Hearing a Proceeding.

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. (Abrogated).

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.

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. Pleadings Allowed.

7008. General Rules of Pleading.

7009. Pleading Special Matters.

7010. Form of Pleadings.

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.

7022. Interpleader.

7023. Class Proceedings.

7023.1. Derivative Proceedings by Shareholders.

7023.2. Adversary Proceedings Relating to Unincorporated

Associations.

7024. Intervention.

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.

7054. Judgments; Costs.

7055. Default.

7056. Summary Judgment.

7062. Stay of Proceedings to Enforce a Judgment.

7064. Seizure of Person or Property.

7065. Injunctions.

7067. Deposit in Court.

7068. Offer of Judgment.

7069. Execution.

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.

8002. Time for Filing Notice of Appeal.

8003. Leave to 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.

8011. Motions.

8012. Oral Argument.

8013. Disposition of Appeal; Weight Accorded Bankruptcy Judge's

Findings of Fact.

8014. Costs.

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. Harmless Error.

9006. Time.

9007. General Authority to Regulate Notices.

9008. Service or Notice by Publication.

9009. Forms.

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.

9014. Contested Matters.

9015. Jury Trials.

9016. Subpoena.

9017. Evidence.

9018. Secret Confidential, Scandalous, or Defamatory Matter.

9019. Compromise and Arbitration.

9020. Contempt Proceedings.

9021. Entry of Judgment.

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.

9027. Removal.

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.

PART X. (ABROGATED)

OFFICIAL BANKRUPTCY FORMS

Form

1. Voluntary Petition.

2. Declaration under Penalty of Perjury on Behalf of a Corporation

or Partnership.

3. Application and Order to Pay Filing Fee in Installments.

4. List of Creditors Holding 20 Largest Unsecured Claims.

5. Involuntary Petition.

6. Schedules.

7. Statement of Financial Affairs.

8. Chapter 7 Individual Debtor's Statement of Intention.

9. Notice of Commencement of Case under the Bankruptcy Code,

Meeting of Creditors, and Deadlines.

10. Proof of Claim.

11A. General Power of Attorney.

11B. Special Power of Attorney.

12. Order and Notice for Hearing on Disclosure Statement.

13. Order Approving Disclosure Statement and Fixing Time for Filing

Acceptances or Rejections of Plan, Combined with Notice Thereof.

14. Ballot for Accepting or Rejecting a Plan.

15. Order Confirming Plan.

16A. Caption.

16B. Caption (Short Title).

16C. Caption of Complaint in Adversary Proceeding Filed by a

Debtor.

16D. Caption for Use in Adversary Proceeding other than for a

Complaint Filed by a Debtor.

17. Notice of Appeal under 28 U.S.C. Sec. 158(a) or (b) from a

Judgment, Order, or Decree of a Bankruptcy Judge.

18. Discharge of Debtor.

19. Certification and Signature of Non-Attorney Bankruptcy Petition

Preparer (See 11 U.S.C. Sec. 110).

20A. Notice of Motion or Objection.

20B. Notice of Objection to Claim.

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11 USC APPENDIX - BANKRUPTCY RULES 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

BANKRUPTCY RULES

.

-HEAD-

BANKRUPTCY RULES

-MISC1-

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.''

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11 USC APPENDIX - BANKRUPTCY RULES Rule 1001 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

BANKRUPTCY RULES

-HEAD-

Rule 1001. Scope of Rules and Forms; Short Title

-STATUTE-

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.

-SOURCE-

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff.

Aug. 1, 1991.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

Section 247 of Public Law 95-598, 92 Stat. 2549 amended 28 U.S.C.

Sec. 2075 by omitting the last sentence. The effect of the

amendment is to require that procedural rules promulgated pursuant

to 28 U.S.C. Sec. 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. Sec. 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, Sec. 402(b). From October 1, 1979 through March

31, 1984, the courts of bankruptcy as defined in Sec. 1(10) of the

Bankruptcy Act, and created in Sec. 2a of that Act continue to be

the courts of bankruptcy. Public Law 95-598, Sec. 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. Sec. 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, Sec. 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 Sec. 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 Sec. 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.

Sec. 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. Sec. 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.

Sec. 157(b)(1) and (c)(2) are subject to appellate review by the

district courts or bankruptcy appellate panels under 28 U.S.C. Sec.

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.

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11 USC APPENDIX - BANKRUPTCY RULES PART I - COMMENCEMENT

OF CASE; PROCEEDINGS RELATING TO PETITION

AND ORDER FOR RELIEF 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

.

-HEAD-

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1002 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1002. Commencement of Case

-STATUTE-

(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.

-SOURCE-

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff.

Aug. 1, 1991.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

Under Sec. 301-303 of the Code, a voluntary or involuntary case

is commenced by filing a petition with the bankruptcy court. The

voluntary petition may request relief under chapter 7, 9, 11, or 13

whereas an involuntary petition may be filed only under chapter 7

or 11. Section 109 of the Code specifies the types of debtors for

whom the different forms of relief are available and Sec. 303(a)

indicates the persons against whom involuntary petitions may be

filed.

The rule in subdivision (a) is in harmony with the Code in that

it requires the filing to be with the bankruptcy court.

The number of copies of the petition to be filed is specified in

this rule but a local rule may require additional copies. This

rule provides for filing sufficient copies for the court's files

and for the trustee in a chapter 7 or 13 case.

Official Form No. 1 may be used to seek relief voluntarily under

any of the chapters. Only the original need be signed and

verified, but the copies must be conformed to the original. See

Rules 1008 and 9011(c). As provided in Sec. 362(a) of the Code, the

filing of a petition acts as a stay of certain acts and proceedings

against the debtor, property of the debtor, and property of the

estate.

NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT

Rules 1002(a), governing a voluntary petition, 1003(a), governing

an involuntary petition, and 1003(e), governing a petition in a

case ancillary to a foreign proceeding, are combined into this Rule

1002. If a bankruptcy clerk has been appointed for the district,

the petition is filed with the bankruptcy clerk. Otherwise, the

petition is filed with the clerk of the district court.

The elimination of the reference to the Official Forms of the

petition is not intended to change the practice. Rule 9009

provides that the Official Forms ''shall be observed and used'' in

cases and proceedings under the Code.

Subdivision (b) which provided for the distribution of copies of

the petition to agencies of the United States has been deleted.

Some of these agencies no longer wish to receive copies of the

petition, while others not included in subdivision (b) have now

requested copies. The Director of the Administrative Office will

determine on an ongoing basis which government agencies will be

provided a copy of the petition.

The number of copies of a petition that must be filed is a matter

for local rule.

NOTES OF ADVISORY COMMITTEE ON RULES - 1991 AMENDMENT

Subdivision (b) is derived from Rule X-1002(a). The duties of the

United States trustee pursuant to the Code and 28 U.S.C. Sec.

586(a) require that the United States trustee be apprised of the

commencement of every case under chapters 7, 11, 12 and 13 and this

is most easily accomplished by providing that office with a copy of

the petition. Although 28 U.S.C. Sec. 586(a) does not give the

United States trustee an administrative role in chapter 9 cases,

Sec. 1102 of the Code requires the United States trustee to appoint

committees and that section is applicable in chapter 9 cases

pursuant to Sec. 901(a). It is therefore appropriate that the

United States trustee receive a copy of every chapter 9 petition.

Notwithstanding subdivision (b), pursuant to Rule 5005(b)(3), the

clerk is not required to transmit a copy of the petition to the

United States trustee if the United States trustee requests that it

not be transmitted. Many rules require the clerk to transmit a

certain document to the United States trustee, but Rule 5005(b)(3)

relieves the clerk of that duty under this or any other rule if the

United States trustee requests that such document not be

transmitted.

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11 USC APPENDIX - BANKRUPTCY RULES Rule 1003 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1003. Involuntary Petition

-STATUTE-

(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.

-SOURCE-

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

Subdivision (a). Official Form No. 11 (Involuntary Case:

Creditors' Petition), is prescribed for use by petitioning

creditors to have a debtor's assets liquidated under chapter 7 of

the Code or the business reorganized under chapter 11. It contains

the required allegations as specified in Sec. 303(b) of the Code.

Official Form 12 is prescribed for use by fewer than all the

general partners to obtain relief for the partnership as governed

by Sec. 303(b)(3) of the Code and Rule 1004(b).

Although the number of copies to be filed is specified in Rule

1002, a local rule may require additional copies.

Only the original need be signed and verified, but the copies

must be conformed to the original. See Rules 1008 and 9011(c). The

petition must be filed with the bankruptcy court. This provision

implements Sec. 303(b) which provides that an involuntary case is

commenced by filing the petition with the court.

As provided in Sec. 362 of the Code, the filing of the petition

acts as a stay of certain acts and proceedings against the debtor,

the debtor's property and property of the estate.

Subdivision (c) retains the explicitness of former Bankruptcy

Rule 104(d) that a transfer of a claim for the purpose of

commencing a case under the Code is a ground for disqualification

of a party to the transfer as a petitioner.

Section 303(b) ''is not intended to overrule Bankruptcy Rule

104(d), which places certain restrictions on the transfer of claims

for the purpose of commencing an involuntary case.'' House Report

No. 95-595, 95th Cong., 1st Sess. (1977) 322; Senate Report No.

95-989, 95th Cong., 2d Sess. (1978) 33.

The subdivision requires disclosure of any transfer of the

petitioner's claim as well as a transfer to the petitioner and

applies to transfers for security as well as unconditional

transfers, Cf. In re 69th & Crandon Bldg. Corp., 97 F.2d 392, 395

(7th Cir.), cert. denied, 305 U.S. 629 (1938), recognizing the

right of a creditor to sign a bankruptcy petition notwithstanding a

prior assignment of his claim for the purpose of security. This

rule does not, however, qualify the requirement of Sec. 303(b)(1)

that a petitioning creditor must have a claim not contingent as to

liability.

Subdivision (d). Section 303(c) of the Code permits a creditor to

join in the petition at any time before the case is dismissed or

relief is ordered. While this rule does not require the court to

give all creditors notice of the petition, the list of creditors

filed by the debtor affords a petitioner the information needed to

enable him to give notice for the purpose of obtaining the

co-petitioners required to make the petition sufficient. After a

reasonable opportunity has been afforded other creditors to join in

an involuntary petition, the hearing on the petition should be held

without further delay.

Subdivision (e). This subdivision implements Sec. 304. A petition

for relief under Sec. 304 may only be filed by a foreign

representative who is defined in Sec. 101(20) generally as a

representative of an estate in a foreign proceeding. The term

''foreign proceeding'' is defined in Sec. 101(19).

Section 304(b) permits a petition filed thereunder to be

contested by a party in interest. Subdivision (e)(2) therefore

requires that the summons and petition be served on any person

against whom the relief permitted by Sec. 304(b) is sought as well

as on any other party the court may direct.

The rules applicable to the procedure when an involuntary

petition is filed are made applicable generally when a case

ancillary to a foreign proceeding is commenced. These rules

include Rule 1010 with respect to issuance and service of a

summons, Rule 1011 concerning responsive pleadings and motions, and

Rule 1018 which makes various rules in Part VII applicable in

proceedings on contested petitions.

The venue for a case ancillary to a foreign proceeding is

provided in 28 U.S.C. Sec. 1474.

NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT

The subject matter of subdivisions (a), (b), and (e) has been

incorporated in Rules 1002, 1010, 1011, and 1018.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1004 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1004. Partnership Petition

-STATUTE-

(a) Voluntary Petition

A voluntary petition may be filed on behalf of the partnership by

one or more general partners if all general partners consent to the

petition.

(b) Involuntary Petition; Notice and Summons

After filing of an involuntary petition under Sec. 303(b)(3) of

the Code, (1) the petitioning partners or other petitioners shall

cause forthwith a copy of the petition to be sent to or served on

each general partner who is not a petitioner; and (2) the clerk

shall issue forthwith a summons for service on each general partner

who is not a petitioner. Rule 1010 applies to the form and service

of the summons.

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

This rule is adapted from former Bankruptcy Rule 105 and

complements Sec. 301 and 303(b)(3) of the Code.

Subdivision (a) specifies that while all general partners must

consent to the filing of a voluntary petition, it is not necessary

that they all execute the petition. It may be executed and filed

on behalf of the partnership by fewer than all.

Subdivision (b) implements Sec. 303(b)(3) of the Code which

provides that an involuntary petition may be filed by fewer than

all the general partners or, when all the general partners are

debtors, by a general partner, trustee of the partner or creditors

of the partnership. Rule 1010, which governs service of a petition

and summons in an involuntary case, specifies the time and mode of

service on the partnership. When a petition is filed against a

partnership under Sec. 303(b)(3), this rule requires an additional

service on the nonfiling general partners. It is the purpose of

this subdivision to protect the interests of the nonpetitioning

partners and the partnership.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1005 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1005. Caption of Petition

-STATUTE-

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 name,

social security number and employer's tax identification number of

the debtor and all other names used by the debtor within six 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 petitioners.

-SOURCE-

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

The title of the case should include all names used by the

debtor, such as trade names, former married names and maiden name.

See also Official Form No. 1 and the Advisory Committee Note to

that Form. Additional names of the debtor are also required to

appear in the caption of each notice to creditors. See Rule

2002(m).

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1006 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1006. Filing Fee

-STATUTE-

(a) General Requirement

Every petition shall be accompanied by the filing fee except as

provided in subdivision (b) 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 for Permission 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 stating that the

debtor is unable to pay the filing fee except in installments. The

application shall state the proposed terms of the installment

payments and that the applicant has neither paid any money nor

transferred any property to an attorney for services in connection

with the case.

(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. The filing fee must be paid

in full before the debtor or chapter 13 trustee may pay an attorney

or any other person who renders services to the debtor in

connection with the case.

-SOURCE-

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 1996, eff.

Dec. 1, 1996.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

28 U.S.C. Sec. 1930 specifies the filing fees for petitions under

chapters 7, 9, 11 and 13 of the Code. It also permits the payment

in installments by individual debtors.

Subdivision (b) is adapted from former Bankruptcy Rule 107. The

administrative cost of installments in excess of four is

disproportionate to the benefits conferred. Prolonging the period

beyond 180 days after the commencement of the case causes

undesirable delays in administration. Paragraph (2) accordingly

continues the imposition of a maximum of four on the number of

installments and retains the maximum period of installment payments

allowable on an original application at 120 days. Only in

extraordinary cases should it be necessary to give an applicant an

extension beyond the four months. The requirement of paragraph (3)

that filing fees be paid in full before the debtor may pay an

attorney for services in connection with the case codifies the rule

declared in In re Latham, 271 Fed. 538 (N.D.N.Y. 1921), and In re

Darr, 232 Fed. 415 (N.D. Cal. 1916).

NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT

Subdivision (b)(3) is expanded to prohibit payments by the debtor

or the chapter 13 trustee not only to attorneys but to any person

who renders services to the debtor in connection with the case.

NOTES OF ADVISORY COMMITTEE ON RULES - 1996 AMENDMENT

The Judicial Conference prescribes miscellaneous fees pursuant to

28 U.S.C. Sec. 1930(b). In 1992, a $30 miscellaneous administrative

fee was prescribed for all chapter 7 and chapter 13 cases. The

Judicial Conference fee schedule was amended in 1993 to provide

that an individual debtor may pay this fee in installments.

Subdivision (a) of this rule is amended to clarify that every

petition must be accompanied by any fee prescribed under 28 U.S.C.

Sec. 1930(b) that is required to be paid when a petition is filed,

as well as the filing fee prescribed by 28 U.S.C. Sec. 1930(a). By

defining ''filing fee'' to include Judicial Conference fees, the

procedures set forth in subdivision (b) for paying the filing fee

in installments will also apply with respect to any Judicial

Conference fee required to be paid at the commencement of the case.

GAP Report on Rule 1006. No changes since publication, except for

a stylistic change in subdivision (a).

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1007 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1007. Lists, Schedules and Statements; Time Limits

-STATUTE-

(a) List of Creditors and Equity Security Holders

(1) Voluntary Case. In a voluntary case, the debtor shall file

with the petition a list containing the name and address of each

creditor unless the petition is accompanied by a schedule of

liabilities.

(2) Involuntary Case. In an involuntary case, the debtor shall

file within 15 days after entry of the order for relief, a list

containing the name and address of each creditor unless a schedule

of liabilities has been filed.

(3) Equity Security Holders. In a chapter 11 reorganization case,

unless the court orders otherwise, the debtor shall file within 15

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) 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 pursuant to Sec. 705 or

appointed pursuant to Sec. 1102 of the Code, or other party as the

court may direct.

(b) Schedules and Statements Required

(1) Except in a chapter 9 municipality case, the debtor, unless

the court orders otherwise, shall file schedules of assets and

liabilities, a schedule of current income and expenditures, a

schedule of executory contracts and unexpired leases, and a

statement of financial affairs, prepared as prescribed by the

appropriate Official Forms.

(2) An individual debtor in a chapter 7 case shall file a

statement of intention as required by Sec. 521(2) 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.

(c) Time Limits

The schedules and statements, other than the statement of

intention, shall be filed with the petition in a voluntary case, or

if the petition is accompanied by a list of all the debtor's

creditors and their addresses, within 15 days thereafter, except as

otherwise provided in subdivisions (d), (e), and (h) of this rule.

In an involuntary case the schedules and statements, other than the

statement of intention, shall be filed by the debtor within 15 days

after entry of the order for relief. Schedules and statements

filed prior to the conversion of a case to another chapter shall be

deemed filed in the converted case unless the court directs

otherwise. Any extension of time for the filing of the schedules

and statements may be granted only on motion for cause shown and on

notice to the United States trustee and to 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.

(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) (Abrogated)

(g) Partnership and Partners

The general partners of a debtor partnership shall prepare and

file the 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 10 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).

-SOURCE-

(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.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

This rule is an adaptation of former Rules 108, 8-106, 10-108 and

11-11. As specified in the rule, it is applicable in all types of

cases filed under the Code.

Subdivision (a) requires at least a list of creditors with their

names and addresses to be filed with the petition. This list is

needed for notice of the meeting of creditors (Rule 2002) and

notice of the order for relief (Sec. 342 of the Code). The list

will also serve to meet the requirements of Sec. 521(1) of the

Code. Subdivision (a) recognizes that it may be impossible to file

the schedules required by Sec. 521(1) and subdivision (b) of the

rule at the time the petition is filed but in order for the case to

proceed expeditiously and efficiently it is necessary that the

clerk have the names and addresses of creditors. It should be

noted that subdivision (d) of the rule requires a special list of

the 20 largest unsecured creditors in chapter 9 and 11 cases. That

list is for the purpose of selecting a committee of unsecured

creditors.

Subdivision (b) is derived from former Rule 11-11 and conforms

with Sec. 521. This subdivision indicates the forms to be used.

The court may dispense with the filing of schedules and the

statement of affairs pursuant to Sec. 521.

Subdivisions (c) and (f) specify the time periods for filing the

papers required by the rule as well as the number of copies. The

provisions dealing with an involuntary case are derived from former

Bankruptcy Rule 108. Under the Code, a chapter 11 case may be

commenced by an involuntary petition (Sec. 303(a)), whereas under

the Act, a Chapter XI case could have been commenced only by a

voluntary petition. A motion for an extension of time to file the

schedules and statements is required to be made on notice to

parties, as the court may direct, including a creditors' committee

if one has been appointed under Sec. 1102 of the Code and a trustee

or examiner if one has been appointed pursuant to Sec. 1104 of the

Code. Although written notice is preferable, it is not required by

the rule; in proper circumstances the notice may be by telephone or

otherwise.

Subdivision (d) is new and requires that a list of the 20 largest

unsecured creditors, excluding insiders as defined in Sec. 101(25)

of the Code, be filed with the petition. The court, pursuant to

Sec. 1102 of the Code, is required to appoint a committee of

unsecured creditors as soon as practicable after the order for

relief. That committee generally is to consist of the seven

largest unsecured creditors who are willing to serve. The list

should, as indicated on Official Form No. 9, specify the nature and

amount of the claim. It is important for the court to be aware of

the different types of claims existing in the case and this form

should supply such information.

Subdivision (e) applies only in chapter 9 municipality cases. It

gives greater discretion to the court to determine the time for

filing a list of creditors and any other matter related to the

list. A list of creditors must at some point be filed since one is

required by Sec. 924 of the Code. When the plan affects special

assessments, the definitions in Sec. 902(2) and (3) for ''special

tax payer'' and ''special tax payer affected by the plan'' become

relevant.

Subdivision (g) is derived from former Rules 108(c) and 11-11.

Nondebtor general partners are liable to the partnership's trustee

for any deficiency in the partnership's estate to pay creditors in

full as provided by Sec. 723 of the Code. Subdivision (g)

authorizes the court to require a partner to file a statement of

personal assets and liabilities to provide the trustee with the

relevant information.

Subdivision (h) is derived from former Bankruptcy Rule 108(e) for

chapter 7, 11 and 13 purposes. It implements the provisions in and

language of Sec. 541(a)(5) of the Code.

Subdivisions (i) and (j) are adapted from Sec. 165 and 166 of the

Act and former Rule 10-108(b) and (c) without change in substance.

The term ''party in interest'' is not defined in the Code or the

rules, but reference may be made to Sec. 1109(b) of the Code. In

the context of this subdivision, the term would include the debtor,

the trustee, any indenture trustee, creditor, equity security

holder or committee appointed pursuant to Sec. 1102 of the Code.

Subdivision (k) is derived from former Rules 108(d) and

10-108(a).

NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT

Subdivisions (b), (c), and (g) are amended to provide for the

filing of a schedule of current income and current expenditures and

the individual debtor's statement of intention. These documents

are required by the 1984 amendments to Sec. 521 of the Code.

Official Form No. 6A is prescribed for use by an individual debtor

for filing a schedule of current income and current expenditures in

a chapter 7 or chapter 11 case. Although a partnership or

corporation is also required by Sec. 521(1) to file a schedule of

current income and current expenditures, no Official Form is

prescribed therefor.

The time for filing the statement of intention is governed by

Sec. 521(2)(A). A copy of the statement of intention must be served

on the trustee and the creditors named in the statement within the

same time. The provisions of subdivision (c) governing the time

for filing when a chapter 11 or chapter 13 case is converted to a

chapter 7 case have been omitted from subdivision (c) as amended.

Filing after conversion is now governed exclusively by Rule 1019.

Subdivision (f) has been abrogated. The number of copies of the

documents required by this rule will be determined by local rule.

Subdivision (h) is amended to include a direct reference to Sec.

541(a)(5).

Subdivision (k) provides that the court may not order an entity

other than the debtor to prepare and file the statement of

intention.

NOTES OF ADVISORY COMMITTEE ON RULES - 1991 AMENDMENT

References to Official Form numbers and to the Chapter 13

Statement are deleted and subdivision (b) is amended in

anticipation of future revision and renumbering of the Official

Forms. The debtor in a chapter 12 or chapter 13 case shall file the

list, schedules and statements required in subdivisions (a)(1),

(b)(1), and (h). It is expected that the information currently

provided in the Chapter 13 Statement will be included in the

schedules and statements as revised not later than the effective

date of these rule amendments.

Subdivisions (a)(4) and (c) are amended to provide the United

States trustee with notice of any motion to extend the time for the

filing of any lists, schedules, or statements. Such notice enables

the United States trustee to take appropriate steps to avoid undue

delay in the administration of the case. See 28 U.S.C. Sec.

586(a)(3)(G). Subdivisions (a)(4) and (c) are amended further to

provide notice to committees elected under Sec. 705 or appointed

pursuant to Sec. 1102 of the Code. Committees of retired employees

appointed pursuant to Sec. 1114 are not included.

The additions of references to unexpired leases in subdivisions

(b)(1) and (g) indicate that the schedule requires the inclusion of

unexpired leases as well as other executory contracts.

The words ''with the court'' in subdivisions (b)(1), (e), and (g)

are deleted as unnecessary. See Rules 5005(a) and 9001(3).

Subdivision (l), which is derived from Rule X-1002(a), provides

the United States trustee with the information required to perform

certain administrative duties such as the appointment of a

committee of unsecured creditors. In a chapter 7 case, the United

States trustee should be aware of the debtor's intention with

respect to collateral that secures a consumer debt so that the

United States trustee may monitor the progress of the case.

Pursuant to Sec. 307 of the Code, the United States trustee has

standing to raise, appear and be heard on issues and the lists,

schedules and statements contain information that, when provided to

the United States trustee, enable that office to participate

effectively in the case. The United States trustee has standing to

move to dismiss a chapter 7 or 13 case for failure to file timely

the list, schedules or statement required by Sec. 521(1) of the

Code. See Sec. 707(a)(3) and 1307(c)(9). It is therefore necessary

for the United States trustee to receive notice of any extension of

time to file such documents. Upon request, the United States

trustee also may receive from the trustee or debtor in possession a

list of equity security holders.

NOTES OF ADVISORY COMMITTEE ON RULES - 1996 AMENDMENT

Subdivision (c) is amended to provide that schedules and

statements filed prior to the conversion of a case to another

chapter shall be deemed filed in the converted case, whether or not

the case was a chapter 7 case prior to conversion. This amendment

is in recognition of the 1991 amendments to the Official Forms that

abrogated the Chapter 13 Statement and made the same forms for

schedules and statements applicable in all cases.

This subdivision also contains a technical correction. The

phrase ''superseded case'' creates the erroneous impression that

conversion of a case results in a new case that is distinct from

the original case. The effect of conversion of a case is governed

by Sec. 348 of the Code.

GAP Report on Rule 1007(c). No changes since publication, except

for stylistic changes.

COMMITTEE NOTES ON RULES - 2001 AMENDMENT

Subdivision (m) is added to enable the person required to mail

notices under Rule 2002 to mail them to the appropriate guardian or

other representative when the debtor knows that a creditor or other

person listed is an infant or incompetent person.

The proper mailing address of the representative is determined in

accordance with Rule 7004(b)(2), which requires mailing to the

person's dwelling house or usual place of abode or at the place

where the person regularly conducts a business or profession.

Changes Made After Publication and Comments. No changes were

made.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1008 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1008. Verification of Petitions and Accompanying Papers

-STATUTE-

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.

-SOURCE-

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

This rule retains the requirement under the Bankruptcy Act and

rules that petitions and accompanying papers must be verified.

Only the original need be signed and verified, but the copies must

be conformed to the original. See Rule 9011(c).

The verification may be replaced by an unsworn declaration as

provided in 28 U.S.C. Sec. 1746. See also, Official Form No. 1 and

Advisory Committee Note.

NOTES OF ADVISORY COMMITTEE ON RULES - 1991 AMENDMENT

The amendments to this rule are stylistic.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1009 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1009. Amendments of Voluntary Petitions, Lists, Schedules and

Statements

-STATUTE-

(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(2)(B)

of the Code. The debtor shall give notice of the amendment to the

trustee and to any entity affected thereby.

(c) Transmission to United States Trustee

The clerk shall forthwith transmit to the United States trustee a

copy of every amendment filed pursuant to subdivision (a) or (b) of

this rule.

-SOURCE-

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff.

Aug. 1, 1991.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

This rule continues the permissive approach adopted by former

Bankruptcy Rule 110 to amendments of voluntary petitions and

accompanying papers. Notice of any amendment is required to be

given to the trustee. This is particularly important with respect

to any amendment of the schedule of property affecting the debtor's

claim of exemptions. Notice of any amendment of the schedule of

liabilities is to be given to any creditor whose claim is changed

or newly listed.

The rule does not continue the provision permitting the court to

order an amendment on its own initiative. Absent a request in some

form by a party in interest, the court should not be involved in

administrative matters affecting the estate.

If a list or schedule is amended to include an additional

creditor, the effect on the dischargeability of the creditor's

claim is governed by the provisions of Sec. 523(a)(3) of the Code.

NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT

Subdivision (a) is amended to require notice and a hearing in the

event a party in interest other than the debtor seeks to amend.

The number of copies of the amendment will be determined by local

rule of court.

Subdivision (b) is added to treat amendments of the statement of

intention separately from other amendments. The intention of the

individual debtor must be performed within 45 days of the filing of

the statement, unless the court extends the period. Subdivision

(b) limits the time for amendment to the time for performance under

Sec. 521(2)(B) of the Code or any extension granted by the court.

NOTES OF ADVISORY COMMITTEE ON RULES - 1991 AMENDMENT

The amendments to subdivision (a) are stylistic.

Subdivision (c) is derived from Rule X-1002(a) and is designed to

provide the United States trustee with current information to

enable that office to participate effectively in the case.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1010 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1010. Service of Involuntary Petition and Summons; Petition

Commencing Ancillary Case

-STATUTE-

On the filing of an involuntary petition or a petition commencing

a case ancillary to a foreign 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

commencing an ancillary case is filed, service shall be made on the

parties against whom relief is sought pursuant to Sec. 304(b) of

the Code and on any other parties 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.

-SOURCE-

(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.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

This rule provides the procedure for service of the involuntary

petition and summons. It does not deal with service of a summons

and complaint instituting an adversary proceeding pursuant to Part

VII.

While this rule is similar to former Bankruptcy Rule 111, it

substitutes the clerk of the bankruptcy court for the clerk of the

district court as the person who is to issue the summons.

The modes of service prescribed by the rule are personal or by

mail, when service can be effected in one of these ways in the

United States. Such service is to be made in the manner prescribed

in adversary proceedings by Rule 7004(a) and (b). If service must

be made in a foreign country, the mode of service is one of that

set forth in Rule 4(i) F.R.Civ.P.

When the methods set out in Rule 7004(a) and (b) cannot be

utilized, service by publication coupled with mailing to the last

known address is authorized. Cf. Rule 7004(c). The court

determines the form and manner of publication as provided in Rule

9007. The publication need not set out the petition or the order

directing service by publication. In order to apprise the debtor

fairly, however, the publication should include all the information

required to be in the summons by Official Form No. 13 and a notice

indicating how service is being effected and how a copy of the

petition may be obtained.

There are no territorial limits on the service authorized by this

rule, which continues the practice under the former rules and Act.

There must, however, be a basis for jurisdiction pursuant to Sec.

109(a) of the Code for the court to order relief. Venue provisions

are set forth in 28 U.S.C. Sec. 1472.

Subdivision (f) of Rule 7004 and subdivisions (g) and (h) of Rule

4 F.R.Civ.P. govern time and proof of service and amendment of

process or of proof of service.

Rule 1004 provides for transmission to nonpetitioning partners of

a petition filed against the partnership by fewer than all the

general partners.

NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT

The rule has been broadened to include service of a petition

commencing a case ancillary to a foreign proceeding, previously

included in Rule 1003(e)(2).

NOTES OF ADVISORY COMMITTEE ON RULES - 1991 AMENDMENT

Reference to the Official Form number is deleted in anticipation

of future revision and renumbering of the Official Forms.

Rule 4(g) and (h) F.R.Civ.P. made applicable by this rule refers

to Rule 4(g) and (h) F.R.Civ.P. in effect on January 1, 1990,

notwithstanding any subsequent amendment thereto. See Rule

7004(g).

NOTES OF ADVISORY COMMITTEE ON RULES - 1993 AMENDMENT

This rule is amended to delete the reference to the Official

Form. The Official Form for the summons was abrogated in 1991.

Other amendments are stylistic and make no substantive change.

NOTES OF ADVISORY COMMITTEE ON RULES - 1997 AMENDMENT

The amendments to this rule are technical, are promulgated solely

to conform to changes in subdivision designations in Rule 4,

F.R.Civ.P., and in Rule 7004, and are not intended to effectuate

any material change in substance.

In 1996, the letter designation of subdivision (f) of Rule 7004

(Summons; Time Limit for Service) was changed to subdivision (e).

In 1993, the provisions of Rule 4, F.R.Civ.P., relating to proof of

service contained in Rule 4(g) (Return) and Rule 4(h) (Amendments),

were placed in the new subdivision (l) of Rule 4 (Proof of

Service). The technical amendments to Rule 1010 are designed solely

to conform to these new subdivision designations.

The 1996 amendments to Rule 7004 and the 1993 amendments to Rule

4, F.R.Civ.P., have not affected the availability of service by

first class mail in accordance with Rule 7004(b) for the service of

a summons and petition in an involuntary case commenced under Sec.

303 or an ancillary case commenced under Sec. 304 of the Code.

GAP Report on Rule 1010. These amendments, which are technical

and conforming, were not published for comment.

-REFTEXT-

REFERENCES IN TEXT

The Federal Rules of Civil Procedure, referred to in text, are

set out in the Appendix to Title 28, Judiciary and Judicial

Procedure.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1011 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1011. Responsive Pleading or Motion in Involuntary and

Ancillary Cases

-STATUTE-

(a) Who May Contest Petition

The debtor named in an involuntary petition or a party in

interest to a petition commencing a case ancillary to a foreign

proceeding may contest the petition. In the case of a petition

against a partnership under Rule 1004(b), 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 20 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.

-SOURCE-

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

This rule is derived from former Bankruptcy Rule 112. A petition

filed by fewer than all the general partners under Rule 1004(b) to

have an order for relief entered with respect to the partnership is

referred to as a petition against the partnership because of the

adversary character of the proceeding it commences. Cf. Sec.

303(b)(3) of the Code; 2 Collier Bankruptcy 303.05(5)(a) (15th ed.

1981); 2 id. 18.33(2), 18.46 (14th ed. 1966). One who denies an

allegation of membership in the firm is nevertheless recognized as

a party entitled to contest a petition filed against a partnership

under subdivision (b) of Rule 1004 in view of the possible

consequences to him of an order for relief against the entity

alleged to include him as a member. See Sec. 723 of the Code;

Francis v. McNeal, 228 U.S. 695 (1913); Manson v. Williams, 213

U.S. 453 (1909); Carter v. Whisler, 275 Fed. 743, 746-747 (8th

Cir. 1921). The rule preserves the features of the former Act and

Rule 112 and the Code permitting no response by creditors to an

involuntary petition or petition against a partnership under Rule

1004(b).

Subdivision (b): Rule 12 F.R.Civ.P. has been looked to by the

courts as prescribing the mode of making a defense or objection to

a petition in bankruptcy. See Fada of New York, Inc. v.

Organization Service Co., Inc., 125 F.2d 120. (2d Cir. 1942); In

the Matter of McDougald, 17 F.R.D. 2, 5 (W.D. Ark. 1955); In the

Matter of Miller, 6 Fed. Rules Serv. 12f.26, Case No. 1 (N.D. Ohio

1942); Tatum v. Acadian Production Corp. of La., 35 F. Supp. 40,

50 (E.D. La. 1940); 2 Collier, supra 303.07 (15th ed. 1981); 2 id.

at 134-40 (14th ed. 1966). As pointed out in the Note accompanying

former Bankruptcy Rule 915 an objection that a debtor is neither

entitled to the benefits of the Code nor amenable to an involuntary

petition goes to jurisdiction of the subject matter and may be made

at any time consistent with Rule 12(h)(3) F.R.Civ.P. Nothing in

this rule recognizes standing in a creditor or any other person not

authorized to contest a petition to raise an objection that a

person eligible to file a voluntary petition cannot be the subject

of an order for relief on an involuntary petition. See Seligson &

King, Jurisdiction and Venue in Bankruptcy, 36 Ref.J. 36, 38-40

(1962).

As Collier has pointed out with respect to the Bankruptcy Act,

''the mechanics of the provisions in Sec. 18a and b relating to

time for appearance and pleading are unnecessarily confusing. . . .

It would seem, though, to be more straightforward to provide, as

does Federal Rule 12(a), that the time to respond runs from the

date of service rather than the date of issuance of process.'' 2

Collier, supra at 119. The time normally allowed for the service

and filing of an answer or motion under Rule 1011 runs from the

date of the issuance of the summons. Compare Rule 7012. Service of

the summons and petition will ordinarily be made by mail under Rule

1010 and must be made within 10 days of the issuance of the summons

under Rule 7004(e), which governs the time of service. When

service is made by publication, the court should fix the time for

service and filing of the response in the light of all the

circumstances so as to afford a fair opportunity to the debtor to

enter a defense or objection without unduly delaying the hearing on

the petition. Cf. Rule 12(a) F.R.Civ.P.

Subdivision (c): Under subdivision (c), the timely service of a

motion permitted by Rule 12(b), (e), (f), or (h) F.R.Civ.P. alters

the time within which an answer must be filed. If the court denies

a motion or postpones its disposition until trial on the merits,

the answer must be served within 10 days after notice of the

court's action. If the court grants a motion for a more definite

statement, the answer may be served any time within 10 days after

the service of the more definite statement.

Many of the rules governing adversary proceedings apply to

proceedings on a contested petition unless the court otherwise

directs as provided in Rule 1018. The specific provisions of this

Rule 1011 or 7005, however, govern the filing of an answer or

motion responsive to a petition. The rules of Part VII are

adaptations of the corresponding Federal Rules of Civil Procedure,

and the effect of Rule 1018 is thus to make the provisions of Civil

Rules 5, 8, 9, 15, and 56, inter alia, generally applicable to the

making of defenses and objections to the petition. Rule 1018

follows prior law and practice in this respect. See 2 Collier,

Bankruptcy 18.39-18.41 (14th ed. 1966).

Subdivision (d). This subdivision adopts the position taken in

many cases that an affirmative judgment against a petitioning

creditor cannot be sought by a counterclaim filed in an answer to

an involuntary petition. See, e.g., Georgia Jewelers, Inc. v.

Bulova Watch Co., 302 F.2d 362, 369-70 (5th Cir. 1962); Associated

Electronic Supply Co. of Omaha v. C.B.S. Electronic Sales Corp.,

288 F.2d 683, 684-85 (8th Cir. 1961). The subdivision follows

Harris v. Capehart-Farnsworth Corp., 225 F.2d 268 (8th Cir. 1955),

in permitting the debtor to challenge the standing of a petitioner

by filing a counterclaim against him. It does not foreclose the

court from rejecting a counterclaim that cannot be determined

without unduly delaying the decision upon the petition. See In the

Matter of Bichel Optical Laboratories, Inc., 299 F. Supp. 545 (D.

Minn. 1969).

Subdivision (e). This subdivision makes it clear that no reply

needs to be made to an answer, including one asserting a

counterclaim, unless the court orders otherwise.

NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT

The rule has been broadened to make applicable in ancillary cases

the provisions concerning responsive pleadings to involuntary

petitions.

-REFTEXT-

REFERENCES IN TEXT

The Federal Rules of Civil Procedure, referred to in subds. (b)

and (c), are set out in the Appendix to Title 28, Judiciary and

Judicial Procedure.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES (Rule 1012 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

(Rule 1012. Examination of Debtor, Including Discovery, on Issue of

Nonpayment of Debts in Involuntary Cases.) (Abrogated Mar. 30,

1987, eff. Aug. 1, 1987)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1987

This rule is abrogated. The discovery rules apply whenever an

involuntary petition is contested. Rule 1018.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1013 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1013. Hearing and Disposition of a Petition in an Involuntary

Case

-STATUTE-

(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)

-SOURCE-

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff.

Aug. 1, 1993.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

This rule is adapted from former Bankruptcy Rule 115(a) and (c)

and applies in chapter 7 and 11 cases. The right to trial by jury

under Sec. 19a of the Bankruptcy Act has been abrogated and the

availability of a trial by jury is within the discretion of the

bankruptcy judge pursuant to 28 U.S.C. Sec. 1480(b). Rule 9015

governs the demand for a jury trial.

Subdivision (b) of Rule 1013 is derived from former Bankruptcy

Rule 115(c) and Sec. 18(e) of the Bankruptcy Act. If an order for

relief is not entered on default, dismissal will ordinarily be

appropriate but the court may postpone definitive action. See also

Rule 9024 with respect to setting aside an order for relief on

default for cause.

Subdivision (e) of former Bankruptcy Rule 115 has not been

carried over because its provisions are covered by Sec. 303(i) of

the Code.

NOTES OF ADVISORY COMMITTEE ON RULES - 1991 AMENDMENT

Reference to the Official Form number is deleted in anticipation

of future revision and renumbering of the Official Forms.

NOTES OF ADVISORY COMMITTEE ON RULES - 1993 AMENDMENT

Subdivision (c) is abrogated because the official form for the

order for relief was abrogated in 1991. Other amendments are

stylistic and make no substantive change.

-CITE-

11 USC APPENDIX - BANKRUPTCY RULES Rule 1014 01/22/02

-EXPCITE-

TITLE 11 - BANKRUPTCY

TITLE 11 - APPENDIX

FEDERAL RULES OF BANKRUPTCY PROCEDURE AND OFFICIAL BANKRUPTCY FORMS

PART I - COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO PETITION AND

ORDER FOR RELIEF

-HEAD-

Rule 1014. Dismissal and Change of Venue

-STATUTE-

(a) Dismissal and Transfer of Cases

(1) Cases Filed in Proper District. If a petition is filed in a

proper district, on timely motion of a party in interest, and after

hearing on notice to the petitioners, the United States trustee,

and other entities as directed by the court, the case may be

transferred 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, on timely motion of a party in interest and

after hearing on notice to the petitioners, the United States

trustee, and other entities as directed by the court, the case may

be dismissed or transferred 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.

-SOURCE-

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff.

Aug. 1, 1991.)

-MISC1-

NOTES OF ADVISORY COMMITTEE ON RULES - 1983

This rule is derived from former Bankruptcy Rule 116 which

contained venue as well as transfer provisions. Public Law 95-598,

however, placed the venue provisions in 28 U.S.C. Sec. 1472, and no

purpose is served by repeating them in this rule. Transfer of

cases is provided in 28 U.S.C. Sec. 1475 but this rule adds the

procedure for obtaining transfer. Pursuant to 28 U.S.C. Sec. 1472,

proper venue for cases filed under the Code is either the district

of domicile, residence, principal place of business, or location of

principal assets for 180 days or the longer portion thereof

immediately preceding the petition. 28 U.S.C. Sec. 1475 permits the

court to transfer a case in the interest of justice and for the

convenience of the parties. If the venue is improper, the court

may retain or transfer the case in the interest of justice and for

the convenience of the parties pursuant to 28 U.S.C. Sec. 1477.

Subdivision (a) of the rule is derived from former Bankruptcy

Rule 116(b). It implements 28 U.S.C. Sec. 1475 and 1477 and

clarifies the procedure to be followed in requesting and effecting

transfer of a case. Subdivision (a) protects the parties against

being subjected to a transfer except on a timely motion of a party

in interest. If the transfer would result in fragmentation or

duplication of administration, increase expense, or delay closing

the estate, such a factor would bear on the timeliness of the

motion as well as on the propriety of the transfer under the

standards prescribed in subdivision (a). Subdivision (a) of the

rule requires the interest of justice and the convenience of the

parties to be the grounds of any transfer of a case or of the

retention of a case filed in an improper district as does 28 U.S.C.

Sec. 1477. Cf. 28 U.S.C. Sec. 1404(a) (district court may transfer

any civil action ''(f)or the convenience of parties and witnesses,

in the interest of justice''). It also expressly requires a

hearing on notice to the petitioner or petitioners before the

transfer of any case may be ordered. Under this rule, a motion by

a party in interest is necessary. There is no provision for the

court to act on its own initiative.

Subdivision (b) is derived from former Bankruptcy Rule 116(c). It

authorizes the court in which the first petition is filed under the

Code by or against a debtor to entertain a motion seeking a

determination whether the case so commenced should continue or be

transferred and consolidated or administered jointly with another

case commenced by or against the same or related person in another

court under a different chapter of the Code. Subdivision (b) is

correlated with 28 U.S.C. Sec. 1472 which authorizes petitioners to

file cases involving a partnership and partners or affiliated

debtors.

The reference in subdivision (b) to petitions filed ''by'' a

partner or ''by'' any other of the persons mentioned is to be

understood as referring to voluntary petitions. It is not the

purpose of this subdivision to permit more than one case to be

filed in the same court because a creditor signing an involuntary

petition happens to be a partner, a partnership, or an affiliate of

a debtor.

Transfers of adversary proceedings in cases under title 11 are

governed by Rule 7087 and 28 U.S.C. Sec. 1475.

NOTES OF ADVISORY COMMITTEE ON RULES - 1987 AMENDMENT

Both paragraphs 1 and 2 of subdivision (a) are amended to conform

to the standard for transfer in 28 U.S.C. Sec. 1412. Formerly, 28

U.S.C. Sec. 1477 authorized a court either to transfer or retain a

case which had been commenced in a district where venue was

improper. However, 28 U.S.C. Sec. 1412, which supersedes 28 U.S.C.

Sec. 1477, authorizes only the transfer of a case. The rule is

amended to delete the reference to retention of a case commenced in

the improper district. Dismissal of a case commenced in the

improper district as authorized by 28 U.S.C. Sec. 1406 has been

added to the rule. If a timely motion to dismiss for improper

venue is not filed, the right to object to venue is waived.

The last sentence of the rule has been deleted as unnecessary.

NOTES OF ADVISORY COMMITTEE ON RULES - 1991 AMENDMENT