# Proposed Amendments to the Federal Rules of Appellate, (2025) > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/federal_court_rules%3Aus-national%3A85a9946105296708 ## Record - **Collection:** Court rules - **Document type:** Court rule ## Text PRELIMINARY DRAFT Proposed Amendments to the Federal Rules of Appellate, Bankruptcy, Civil, and Criminal Procedure, and the Federal Rules of Evidence Request for Comments on Amendments to: Appellate Rule 15 Bankruptcy Rule 2002 Official Forms 101 and 106C Civil Rules 7.1, 26, 41, 45, and 81 Criminal Rule 17 Evidence Rules 609 and 707 Written Comments Due By February 16, 2026 Prepared by the Committee on Rules of Practice and Procedure Judicial Conference of the United States August 2025 COMMITTEE ON RULES OF PRACTICE AND PROCEDURE OF THE JUDICIAL CONFERENCE OF THE UNITED STATES WASHINGTON, D.C. 20544 JOHN D. BATES CHAIR CHAIRS OF ADVISORY COMMITTEES ALLISON H. EID APPELLATE RULES CAROLYN A. DUBAY SECRETARY REBECCA B. CONNELLY BANKRUPTCY RULES ROBIN L. ROSENBERG CIVIL RULES JAMES C. DEVER III CRIMINAL RULES JESSE M. FURMAN EVIDENCE RULES MEMORANDUM TO: The Bench, Bar, and Public FROM: Honorable John D. Bates, Chair Committee on Rules of Practice and Procedure DATE: August 15, 2025 RE: Request for Comments on Proposed Amendments to Federal Rules and Forms ____________________________________________________________________________ The Judicial Conference Committee on Rules of Practice and Procedure (Standing Committee) has approved for publication and public comment the following proposed amendments to existing rules and forms, as well as one new rule:      Appellate Rule 15; Bankruptcy Rule 2002 and Official Forms 101 and 106C; Civil Rules 7.1, 26, 41, 45, and 81; Criminal Rule 17; and Evidence Rule 609 and new Rule 707. The proposals, supporting materials, and instructions on submitting written comments are posted on the Judiciary’s website at: https://www.uscourts.gov/forms-rules/proposed-amendments-published-public-comment Memorandum to the Bench, Bar, and Public Page 2 Opportunity to Submit Written Comments Comments concerning the proposals must be submitted electronically no later than February 16, 2026. Please note that comments are part of the official record and publicly available. Opportunity to Appear at Public Hearings On the following dates, the advisory committees will conduct virtual public hearings on the proposals:      Appellate Rules on January 16, 2026, and February 6, 2026; Bankruptcy Rules on January 23, 2026, and January 30, 2026; Civil Rules on January 13, 2026, and January 27, 2026; Criminal Rules on January 22, 2026 and February 5, 2026; and Evidence Rules on January 15, 2026, and January 29, 2026. If you wish to appear and present testimony regarding a proposed rule or form, you must notify the office of Rules Committee Staff at least 30 days before the scheduled hearing by emailing RulesCommittee_Secretary@ao.uscourts.gov. Hearings are subject to cancellation or consolidation based on the number of requests to testify. At this time, the Standing Committee has only approved the proposals for publication and comment. After the public comment period closes, all comments will be carefully considered by the relevant advisory committee as part of its consideration of whether to proceed with a proposal. Under the Rules Enabling Act, 28 U.S.C. §§ 2072-2077, if any of the published proposals are later approved, with or without revision, by the relevant advisory committee, the next steps are approval by the Standing Committee and the Judicial Conference, and then adoption by the Supreme Court. If adopted by the Court and transmitted to Congress by May 1, 2027, absent congressional action, the proposals would take effect on December 1, 2027. If you have questions about the rulemaking process or pending rules amendments, please contact the Rules Committee Staff at 202-502-1820 or visit https://www.uscourts.gov/forms-rules. TABLE OF CONTENTS Page PART I: FEDERAL RULES OF APPELLATE PROCEDURE Excerpt from the Report of the Advisory Committee on Appellate Rules (May 2025) ............................................................. 6 Rule 15. Review or Enforcement of an Agency Order— How Obtained; Intervention................................. 9 PART II: FEDERAL RULES OF BANKRUPTCY PROCEDURE Excerpt from the Report of the Advisory Committee on Bankruptcy Rules (December 2024) ............................................... 13 Excerpt from the Report of the Advisory Committee on Bankruptcy Rules (May 2025) ........................................................ 16 Rule 2002. Notices................................................................ 19 Official Bankruptcy Forms Form 101. Voluntary Petition for Individuals Filing for Bankruptcy ......................................................... 21 Form 106C. Schedule C: The Property You Claim as Exempt ............................................................... 30 PART III: FEDERAL RULES OF CIVIL PROCEDURE Excerpt from the Report of the Advisory Committee on Civil Rules (December 2024).......................................................... 33 Excerpt from the Report of the Advisory Committee on Civil Rules (May 2025)................................................................... 36 Rule 7.1. Disclosure Statement .......................................... 45 Rule 26. Duty to Disclose; General Provisions Governing Discovery ......................................... 48 TABLE OF CONTENTS Page Rule 41. Dismissal of Actions .......................................... 51 Rule 45(b). Subpoena (Service) ............................................ 55 Rule 45(c). Subpoena (Place of Compliance) ....................... 60 Rule 81. Applicability of the Rules in General; Removed Actions ............................................... 64 PART IV: FEDERAL RULES OF CRIMINAL PROCEDURE Excerpt from the Report of the Advisory Committee on Criminal Rules (May 2025) ............................................................ 68 Rule 17. Subpoena ............................................................ 79 PART V: FEDERAL RULES OF EVIDENCE Excerpt from the Report of the Advisory Committee on Evidence Rules (May 2025) .......................................................... 100 Rule 609. Impeachment by Evidence of a Criminal Conviction ........................................................ 104 Rule 707. Machine-Generated Evidence .......................... 109 APPENDIX: Procedures for Committees on Rules of Practice and Procedure ............................................................ 113 List of Committee Members ........................................................ 118 Excerpt from the May 16, 2025 Report of the Advisory Committee on Appellate Rules COMMITTEE ON RULES OF PRACTICE AND PROCEDURE OF THE JUDICIAL CONFERENCE OF THE UNITED STATES WASHINGTON, D.C. 20544 JOHN D. BATES CHAIR CHAIRS OF ADVISORY COMMITTEES ALLISON EID APPELLATE RULES CAROLYN DUBARY SECRETARY REBECCA B. CONNELLY BANKRUPTCY RULES ROBIN L. ROSENBERG CIVIL RULES JAMES C. DEVER III CRIMINAL RULES JESSE M. FURMAN EVIDENCE RULES MEMORANDUM TO: Hon. John D. Bates, Chair Committee on Rules of Practice and Procedure FROM: Hon. Allison Eid, Chair Advisory Committee on Appellate Rules RE: Report of the Advisory Committee on Appellate Rules DATE: May 16, 2025 _____________________________________________________________________________ I. Introduction The Advisory Committee on Appellate Rules met on Wednesday, April 2, 2025, in Atlanta, Georgia. * * * The Advisory Committee has several action items for the June 2025 meeting. ***** Excerpt from the May 16, 2025 Report of the Advisory Committee on Appellate Rules III. Item for Publication A. “Incurably Premature”—Rule 15 (24-AP-G) The Advisory Committee seeks publication of a proposed amendment to remove a potential trap for the unwary in Rule 15. The “incurably premature” doctrine holds that if a motion to reconsider an agency decision makes that decision unreviewable in the court of appeals, then a petition to review that agency decision is not just held in the court of appeals awaiting the agency’s decision on the motion to reconsider. Instead, the petition for review is dismissed, and a new petition for review must be filed after the agency decides the motion to reconsider. Rule 4, dealing with appeals from district court judgments, used to work in a similar way regarding various post-judgment motions. But in 1993, Rule 4 was amended to provide that such a premature notice of appeal becomes effective when the post-judgment motion is decided. The proposal is to do for Rule 15 what was done for Rule 4. A similar suggestion was considered about twenty-five years ago. But it was dropped due to the strong opposition of the D.C. circuit judges who were active at the time. The Advisory Committee has been informed that there is no large opposition from D.C. Circuit judges at this point and that technological innovations have alleviated the concerns that were raised in the past. Judges may, however, have concerns with particular aspects of the proposal. The proposed amendment to Rule 15 is like the existing Rule 4, but it reflects the party-specific nature of appellate review of administrative decisions, in contrast to the usually case-specific nature of civil appeals. As with civil appeals, the proposed amendment to Rule 15 would require a party that wants to challenge the result of agency reconsideration to file a new or amended petition. The proposed amendment does not, however, attempt to align its language with the Multicircuit Petition Statute, 28 U.S.C. § 2112. First, the phrase used in § 2112(a)(1) is “issuance of the order.” Courts of appeals have different views as to what counts as “issuance” of an order, so including the term “issuance” invites importing that dispute into the rule. Second, the point of this proposal is to save a premature petition for review that would otherwise be dismissed due to the failure of the petitioner to file a second petition. A petitioner whose premature petition is saved by this proposal is not in much of a position to complain that the petition might be heard in a circuit other than their preferred circuit. Third, a petitioner seeking to participate in the multicircuit lottery will already be paying close attention to such procedural details as when a petition must be time-stamped by the court and delivered to the agency. Excerpt from the May 16, 2025 Report of the Advisory Committee on Appellate Rules One member sought to limit the benefit of the rule to “timely” petitions. But others were troubled by the idea of describing a petition as both premature (too early) and untimely (too late), particularly since the proposed rule operates in a partyspecific way. The motion failed for want of a second. The Advisory Committee unanimously asks the Standing Committee to publish the accompanying proposed amendment to Rule 15 for public comment. ***** PROPOSED AMENDMENTS TO THE FEDERAL RULES OF APPELLATE PROCEDURE 1 1 2 Rule 15. Review or Enforcement of an Agency Order— How Obtained; Intervention ***** 3 4 (d) Premature Petition or Application. This 5 subdivision (d) applies if a party files a petition for 6 review or an application to enforce after an agency 7 announces or enters its order—but before the agency 8 disposes of any petition for rehearing, reopening, or 9 reconsideration that renders the order nonreviewable 10 as to that party. The premature petition or application 11 becomes effective to seek review or enforcement of 12 the order when the agency disposes of the last such 13 petition for rehearing, reopening, or reconsideration. 14 If a party intends to challenge the disposition of a 15 petition for rehearing, reopening, or reconsideration, New material is underlined in red; matter to be omitted is lined through. 1 2 FEDERAL RULES OF APPELLATE PROCEDURE 16 the party must file a new or amended petition for 17 review or application to enforce in compliance with 18 this Rule 15. 19 (e)(d) Intervention. Unless a statute provides another 20 method, a person who wants to intervene in a 21 proceeding under this rule must file a motion for 22 leave to intervene with the circuit clerk and serve a 23 copy on all parties. The motion—or other notice of 24 intervention authorized by statute—must be filed 25 within 30 days after the petition for review is filed 26 and must contain a concise statement of the interest 27 of the moving party and the grounds for intervention. 28 (f)(e) Payment of Fees. When filing any separate or joint 29 petition for review in a court of appeals, the 30 petitioner must pay the circuit clerk all required fees. 31 Committee Note 32 33 34 35 Subdivision (d). Subdivision (d) is new. It is designed to eliminate a procedural trap. Some circuits hold that petitions for review of agency orders that have been rendered non-reviewable by the filing of a petition for FEDERAL RULES OF APPELLATE PROCEDURE 3 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 rehearing (or similar petition) are “incurably premature,” meaning that they do not ripen or become valid after the agency disposes of the rehearing petition. See, e.g., Nat’l Ass’n of Immigration Judges v. Fed. Labor Relations Auth., 77 F.4th 1132, 1139 (D.C. Cir. 2023); Aeromar, C. Por A. v. Dept. of Transp., 767 F.2d 1491, 1493 (11th Cir. 1985) (relying on the pre-1993 treatment of notices of appeal and applying the “same principle” to review of agency action). In these circuits, if a party aggrieved by an agency action does not file a second timely petition for review after the petition for rehearing is denied by the agency, that party will find itself out of time: Its first petition for review will be dismissed as premature, and the deadline for filing a second petition for review will have passed. Subdivision (d) removes this trap. 51 52 53 54 55 56 57 58 59 It is modeled after Rule 4(a)(4)(B)(i), as amended in 1993, and is intended to align the treatment of premature petitions for review of agency orders with the treatment of premature notices of appeal. Recognizing that while review of district court orders is generally case based, see Fed. R. Civ. P. 54, review of administrative orders is generally party based, subdivision (d) refers to an order that is made “nonreviewable as to that party” by a petition for rehearing, reopening, or reconsideration. 60 61 62 63 64 65 66 67 68 69 Subdivision (d) does not address whether or when the filing of a petition for rehearing, reopening, or reconsideration renders an agency order non-reviewable as to a party. That is left to the wide variety of statutes, regulations, and judicial decisions that govern agencies and appeals from agency decisions. Rather, subdivision (d) provides that when, under governing law, an agency order is non-reviewable as to a particular party because of the filing of a petition for rehearing, reopening, or reconsideration, a premature petition for review or application to enforce that 4 FEDERAL RULES OF APPELLATE PROCEDURE 70 71 72 73 order will be held in abeyance and become effective when the agency disposes of the last such petition—that is, the last petition that renders the order non-reviewable as to that party. 74 75 76 77 78 79 As with appeals in civil cases, see Rule 4(a)(4)(B)(ii), the premature petition becomes effective to review the original decision, but a party intending to challenge the disposition of a petition for rehearing, reopening, or reconsideration must file a new or amended petition for review or application to enforce. 80 Subsequent subdivisions are re-lettered. Excerpt from the December 4, 2024 Report of the Advisory Committee on Bankruptcy Rules (revised August 1, 2025) COMMITTEE ON RULES OF PRACTICE AND PROCEDURE OF THE JUDICIAL CONFERENCE OF THE UNITED STATES WASHINGTON, D.C. 20544 JOHN D. BATES CHAIR CHAIRS OF ADVISORY COMMITTEES ALLISON H. EID APPELLATE RULES H. THOMAS BYRON III SECRETARY REBECCA B. CONNELLY BANKRUPTCY RULES ROBIN L. ROSENBERG CIVIL RULES JAMES C. DEVER III CRIMINAL RULES JESSE M. FURMAN EVIDENCE RULES MEMORANDUM TO: Hon. John D. Bates, Chair Committee on Rules of Practice and Procedure FROM: Hon. Rebecca B. Connelly, Chair Advisory Committee on Bankruptcy Rules RE: Report of the Advisory Committee on Bankruptcy Rules DATE: December 4, 2024 ______________________________________________________________________________ I. Introduction The Advisory Committee on Bankruptcy Rules met in Washington, D.C., on September 12, 2024. * * * At the meeting the Advisory Committee voted to seek publication for comment of proposed amendments to Bankruptcy Rule 2002(o) (Notices) and Official Bankruptcy Form 101 (Voluntary Petition for Individuals Filing for Bankruptcy). Part II of this report presents those action items. ***** Excerpt from the December 4, 2024 Report of the Advisory Committee on Bankruptcy Rules (revised August 1, 2025) II. Action Items Items for Publication The Advisory Committee recommends that the following rule and form amendments be published for public comment in August 2025. Bankruptcy Appendix B includes the rule and form that are in this group. Action Item 1. Rule 2002 (Notices). The first sentence of Rule 2002(o) currently reads: “The caption of a notice given under this Rule 2002 must conform to Rule 1005.” The clerk of court for the Bankruptcy Court for the District of Minnesota submitted a suggestion—in which clerks for 8 other bankruptcy courts in the Eighth Circuit joined—that this rule be amended to eliminate the requirement that the caption of every notice given under Rule 2002 comply with Rule 1005. The Bankruptcy Clerks Advisory Group submitted a second suggestion supporting the first one. Rule 1005 specifies the information that the caption of a bankruptcy petition must contain. Five items of information about the debtor are required, including “the last 4 digits of the socialsecurity number or individual taxpayer identification number.” If someone other than the debtor files the petition, the rule also requires that the caption include “all names that the petitioner knows have been used by the debtor.” The clerks of court state that the caption requirements “are substantial and can add a significant amount of length, and therefore cost, to a Rule 2002 notice.” They also note that, despite the requirements of Rule 2002(n)*, the “general long-standing practice for the bankruptcy courts in the Eighth Circuit is to only provide the Rule 1005 caption requirements on the Notice of Bankruptcy Case [Official Forms 309A-309I].” Thereafter, the clerk’s office uses a shorter caption that “generally follows Official Form 416B.” Official Form 416B includes a caption setting forth the court’s name, the debtor’s name, the case number, the chapter under which the case was filed, and a brief designation of the document’s character. At the request of the Advisory Committee, the Federal Judicial Center surveyed bankruptcy clerks regarding the suggestion, and they overwhelmingly supported eliminating the requirement of a full Rule 1005 caption for all notices under Rule 2002. Members of the Advisory Committee also favored reducing the number of documents containing the last 4 digits of the debtor’s social security number. Accordingly, the Advisory Committee approved for publication a proposed amendment to Rule 2002(o) that would provide that the caption of a notice given under Rule 2002 must include the information that Official Form 416B requires. The caption of a debtor’s notice to a creditor would continue to also require inclusion of the information that § 342(c) requires. The Advisory Committee recommends that the amended Rule 2002(o) be published for public comment. * Rule 2002(n) became 2002(o) as part of the restyling project. Excerpt from the December 4, 2024 Report of the Advisory Committee on Bankruptcy Rules (revised August 1, 2025) Action Item 2. Official Form 101 (Voluntary Petition for Individuals Filing for Bankruptcy). The Advisory Committee received a suggestion from the clerk of court for the Bankruptcy Court for the District of Maryland. He suggested a modification of the prompt for Question 4 in Part 1 of Official Form 101. Currently the question asks for “Your Employer Identification Number (EIN), if any.” Some pro se debtors are providing the employer identification number of their employers, not realizing that the question is attempting to elicit the EIN of the individual filing for bankruptcy if that individual is himself or herself an employer. Because multiple debtors who have the same employer may file and list that employer’s EIN, the CM/ECF monitoring for repeat filings triggers a report erroneously suggesting that the debtor is not eligible because of prior filings. The proposed amendment would modify the language to read as follows: “EIN (Employer Identification Number) issued to you, if any. Do NOT list the EIN of any separate legal entity such as your employer, a corporation, partnership, or LLC that is not filing this petition.” The Advisory Committee approved the proposed amendment for publication for public comment. ***** Excerpt from the May 12, 2025 Report of the Advisory Committee on Bankruptcy Rules COMMITTEE ON RULES OF PRACTICE AND PROCEDURE OF THE JUDICIAL CONFERENCE OF THE UNITED STATES WASHINGTON, D.C. 20544 JOHN D. BATES CHAIR CHAIRS OF ADVISORY COMMITTEES ALLISON H. EID APPELLATE RULES CAROLYN A. DUBAY SECRETARY REBECCA B. CONNELLY BANKRUPTCY RULES ROBIN L. ROSENBERG CIVIL RULES JAMES C. DEVER III CRIMINAL RULES JESSE M. FURMAN EVIDENCE RULES MEMORANDUM TO: Hon. John D. Bates, Chair Committee on Rules of Practice and Procedure FROM: Hon. Rebecca B. Connelly, Chair Advisory Committee on Bankruptcy Rules RE: Report of the Advisory Committee on Bankruptcy Rules DATE: May 12, 2025 _____________________________________________________________________________ I. Introduction The Advisory Committee on Bankruptcy Rules met in Atlanta on April 3, 2025. * * * ***** The Advisory Committee also voted to seek publication for comment of proposed amendments to Official Form 106C (Schedule C: The Property You Claim as Exempt). Part II of this report presents those action items. They are organized as follows: ***** Excerpt from the May 12, 2025 Report of the Advisory Committee on Bankruptcy Rules B. Item for Publication ● Official Form 106C. ***** II. Action Items ***** B. Item for Publication The Advisory Committee recommends that the following form amendment be published for public comment in August 2025. * * * Action Item 7. Official Form 106C (Schedule C: The Property You Claim as Exempt). The Advisory Committee received a suggestion from a chapter 12 and chapter 13 trustee to amend Official Form 106C to include a total amount of assets being claimed exempt. Section 589b(d)(3) of title 28 requires the uniform final report submitted by trustees to total the “assets exempted.” Without the amount totaled on the form, trustees must manually add up the amounts on each form to prepare the required final report. Official Form 106C was revised in 2015 in response to the Supreme Court’s decision in Schwab v. Reilly, 560 U.S. 770 (2010), which stated that a debtor could list as the exempt value of an asset on Schedule C “‘full fair market value (FMV)’ or ‘100% of FMV,’” rather than a specific dollar amount. So now there are two options on the form under the column for “Amount of the exemption you claim”: a specific dollar amount and “100% of fair market value, up to any applicable statutory limit.” Because of that unspecified dollar option, no total amount of claimed exemptions is asked for. The U.S. Trustee Program has promulgated a regulation pursuant to 28 U.S.C. 589b(d) regarding the completion of forms for the trustee’s final report. See 28 C.F.R. 58.7. The regulation sets forth a list of items to be included in the trustee’s distribution report, including “assets exempted.” The statute does not explain “assets exempted.” But the U.S. Trustee Program addressed this issue in response to comments received to the proposed regulation. In the interest of setting a uniform standard that is reasonable and would not require the trustee to expend significant additional resources, the Executive Office for U.S. Trustees (“EOUST”) defined “assets exempted” as the total value of assets listed as exempt on the debtor’s Schedule C, unless revised pursuant to a court order. The instructions to the final reports reflect this definition and note that 28 U.S.C. § 589b(c) requires the rule to “strike the best achievable practical balance between (1) the reasonable needs of the public for information about the operational results of the Federal bankruptcy system, (2) economy, simplicity, and lack of undue burden on persons with a duty to file these reports, and (3) appropriate privacy concerns and safeguards.” Guided by this information, the Advisory Committee understood that assets claimed as exempt on Form 106C are treated as “assets exempted” for purposes of the trustee’s final report, Excerpt from the May 12, 2025 Report of the Advisory Committee on Bankruptcy Rules subject to any subsequent amendments or revisions pursuant to a court order. It also reasoned that, in light of the EOUST’s “attempt[] to balance the reasonable needs of the public for information with the need not to unduly burden the standing trustees who must file the final reports,” adding up and reporting just the specific dollar amounts claimed is acceptable. As a result, the Advisory Committee is proposing for publication an amendment to Form 106C to provide a total of the specific-dollar exemption amounts. It also approved for publication the addition of a space on the form for the total value of the debtor’s interest in property for which exemptions are claimed. ***** PROPOSED AMENDMENTS TO THE FEDERAL RULES OF BANKRUPTCY PROCEDURE 1 1 Rule 2002. Notices ***** 2 3 (o) Caption. The caption of a notice given under this 4 Rule 2002 must conform to Rule 1005 include the 5 information that Form 416B requires. The caption of 6 a debtor’s notice to a creditor must also include the 7 information that § 342(c) requires. 8 ***** 9 Committee Note 10 11 12 13 14 15 16 17 18 19 20 The amendment to Rule 2002(o) eliminates the requirement that all notices given under Rule 2002 include the caption required for the bankruptcy petition under Rule 1005. That caption requires, among other things, the debtor’s employer-identification number, last four digits of the debtor’s social security number or individual debtor’s taxpayer-identification number, any other federal taxpayeridentification number, and all other names used within eight years before filing the petition. Instead, most Rule 2002 notices may use the caption described in Official Form 416B, which requires only the court’s name, the name New material is underlined in red; matter to be omitted is lined through. 1 2 21 22 23 24 25 26 27 FEDERAL RULES OF BANKRUPTCY PROCEDURE of the debtor, the case number, the chapter under which the case was filed, and a brief description of the document’s character. Rule 2002 notices sent by the debtor must also include the information that § 342(c) of the Code requires. The notice of the meeting of creditors, Rule 2002(a)(1), will continue to include all information required by Official Forms 309(A-I). Fill in this information to identify your case: United States Bankruptcy Court for the: ____________________ District of _________________ (State) Case number (If known): _________________________ Chapter you are filing under:  Chapter 7  Chapter 11  Chapter 12  Chapter 13  Check if this is an amended filing Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy 12/26 The bankruptcy forms use you and Debtor 1 to refer to a debtor filing alone. A married couple may file a bankruptcy case together—called a joint case—and in joint cases, these forms use you to ask for information from both debtors. For example, if a form asks, “Do you own a car,” the answer would be yes if either debtor owns a car. When information is needed about the spouses separately, the form uses Debtor 1 and Debtor 2 to distinguish between them. In joint cases, one of the spouses must report information as Debtor 1 and the other as Debtor 2. The same person must be Debtor 1 in all of the forms. Be as complete and accurate as possible. If two married people are filing together, both are equally responsible for supplying correct information. If more space is needed, attach a separate sheet to this form. On the top of any additional pages, write your name and case number (if known). Answer every question. Part 1: 1. Identify Yourself Bring your picture identification to your meeting with the trustee. All other names you have used in the last 8 years Include your married or maiden names and any assumed, trade names and doing business as names. Do NOT list the name of any separate legal entity such as a corporation, partnership, or LLC that is not filing this petition. 3. About Debtor 2 (Spouse Only in a Joint Case): __________________________________________________ First name __________________________________________________ First name __________________________________________________ Middle name __________________________________________________ Middle name __________________________________________________ Last name __________________________________________________ Last name ___________________________ Suffix (Sr., Jr., II, III) ___________________________ Suffix (Sr., Jr., II, III) __________________________________________________ First name __________________________________________________ First name __________________________________________________ Middle name __________________________________________________ Middle name __________________________________________________ Last name __________________________________________________ Last name __________________________________________________ First name __________________________________________________ First name __________________________________________________ Middle name __________________________________________________ Middle name __________________________________________________ Last name __________________________________________________ Last name __________________________________________________ Business name (if applicable) __________________________________________________ Business name (if applicable) __________________________________________________ Business name (if applicable) __________________________________________________ Business name (if applicable) xxx xxx Your full name Write the name that is on your government-issued picture identification (for example, your driver’s license or passport). 2. About Debtor 1: Only the last 4 digits of your Social Security number or federal Individual Taxpayer Identification number (ITIN) Official Form 101 – xx – ____ ____ ____ ____ – xx – ____ ____ ____ ____ OR OR 9 xx – xx – ____ ____ ____ ____ 9 xx – xx – ____ ____ ____ ____ Voluntary Petition for Individuals Filing for Bankruptcy page 1 Debtor 1 _______________________________________________________ First Name 4. Middle Name EIN (Employer Identification Number) issued to you, if any. Do NOT list the EIN of any separate legal entity such as your employer, a corporation, partnership, or LLC that is not filing this petition. 5. 6. About Debtor 1: About Debtor 2 (Spouse Only in a Joint Case): ___ ___ – ___ ___ ___ ___ ___ ___ ___ EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___ EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___ EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___ EIN Where you live Why you are choosing this district to file for bankruptcy If Debtor 2 lives at a different address: _________________________________________________ Number Street _________________________________________________ Number Street _________________________________________________ _________________________________________________ _________________________________________________ City State ZIP Code _________________________________________________ City State ZIP Code _________________________________________________ County _________________________________________________ County If your mailing address is different from the one above, fill it in here. Note that the court will send any notices to you at this mailing address. If Debtor 2’s mailing address is different from yours, fill it in here. Note that the court will send any notices to this mailing address. _________________________________________________ Number Street _________________________________________________ Number Street _________________________________________________ P.O. Box _________________________________________________ P.O. Box _________________________________________________ City State ZIP Code _________________________________________________ City State ZIP Code Check one: Check one:  Over the last 180 days before filing this petition,  Over the last 180 days before filing this petition,  I have another reason. Explain.  I have another reason. Explain. I have lived in this district longer than in any other district. (See 28 U.S.C. § 1408.) Official Form 101 Case number (if known)_____________________________________ Last Name I have lived in this district longer than in any other district. (See 28 U.S.C. § 1408.) ________________________________________ ________________________________________ ________________________________________ ________________________________________ ________________________________________ ________________________________________ ________________________________________ ________________________________________ Voluntary Petition for Individuals Filing for Bankruptcy page 2 Debtor 1 _______________________________________________________ First Name Part 2: 7. Middle Name Case number (if known)_____________________________________ Last Name Tell the Court About Your Bankruptcy Case The chapter of the Bankruptcy Code you are choosing to file under Check one. (For a brief description of each, see Notice Required by 11 U.S.C. § 342(b) for Individuals Filing for Bankruptcy (Form 2010)). Also, go to the top of page 1 and check the appropriate box.  Chapter 7  Chapter 11  Chapter 12  Chapter 13 8. How you will pay the fee  I will pay the entire fee when I file my petition. Please check with the clerk’s office in your local court for more details about how you may pay. Typically, if you are paying the fee yourself, you may pay with cash, cashier’s check, or money order. If your attorney is submitting your payment on your behalf, your attorney may pay with a credit card or check with a pre-printed address.  I need to pay the fee in installments. If you choose this option, sign and attach the Application for Individuals to Pay The Filing Fee in Installments (Official Form 103A).  I request that my fee be waived (You may request this option only if you are filing for Chapter 7. By law, a judge may, but is not required to, waive your fee, and may do so only if your income is less than 150% of the official poverty line that applies to your family size and you are unable to pay the fee in installments). If you choose this option, you must fill out the Application to Have the Chapter 7 Filing Fee Waived (Official Form 103B) and file it with your petition. 9. Have you filed for bankruptcy within the last 8 years? 10. Are any bankruptcy cases pending or being filed by a spouse who is not filing this case with you, or by a business partner, or by an affiliate?  No  Yes. District __________________________ When _______________ Case number ___________________________ MM / DD / YYYY District __________________________ When _______________ Case number ___________________________ MM / DD / YYYY District __________________________ When _______________ Case number ___________________________ MM / DD / YYYY  No  Yes. Debtor _________________________________________________ Relationship to you District __________________________ When _______________ Case number, if known____________________ MM / DD / YYYY Debtor _________________________________________________ Relationship to you District __________________________ When 11. Do you rent your residence? _____________________ _____________________ _______________ Case number, if known____________________ MM / DD / YYYY  No. Go to line 12.  Yes. Has your landlord obtained an eviction judgment against you?  No. Go to line 12.  Yes. Fill out Initial Statement About an Eviction Judgment Against You (Form 101A) and file it as part of this bankruptcy petition. Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 3 Debtor 1 _______________________________________________________ First Name Part 3: Middle Name Case number (if known)_____________________________________ Last Name Report About Any Businesses You Own as a Sole Proprietor 12. Are you a sole proprietor of any full- or part-time business? A sole proprietorship is a business you operate as an individual, and is not a separate legal entity such as a corporation, partnership, or LLC. If you have more than one sole proprietorship, use a separate sheet and attach it to this petition.  No. Go to Part 4.  Yes. Name and location of business _______________________________________________________________________________________ Name of business, if any _______________________________________________________________________________________ Number Street _______________________________________________________________________________________ _______________________________________________ City _______ State __________________________ ZIP Code Check the appropriate box to describe your business:  Health Care Business (as defined in 11 U.S.C. § 101(27A))  Single Asset Real Estate (as defined in 11 U.S.C. § 101(51B))  Stockbroker (as defined in 11 U.S.C. § 101(53A))  Commodity Broker (as defined in 11 U.S.C. § 101(6))  None of the above 13. Are you filing under Chapter 11 of the Bankruptcy Code, and are you a small business debtor For a definition of small business debtor, see 11 U.S.C. § 101(51D). If you are filing under Chapter 11, the court must know whether you are a small business debtor so that it can set appropriate deadlines. If you indicate that you are a small business debtor, you must attach your most recent balance sheet, statement of operations, cash-flow statement, and federal income tax return or if any of these documents do not exist, follow the procedure in 11 U.S.C. § 1116(1)(B).  No. I am not filing under Chapter 11.  No. I am filing under Chapter 11, but I am NOT a small business debtor according to the definition in the Bankruptcy Code.  Yes. I am filing under Chapter 11, I am a small business debtor according to the definition in the Bankruptcy Code, and I do not choose to proceed under Subchapter V of Chapter 11.  Yes. I am filing under Chapter 11, I am a small business debtor according to the definition in the Bankruptcy Code, and I choose to proceed under Subchapter V of Chapter 11. Part 4: Report if You Own or Have Any Hazardous Property or Any Property That Needs Immediate Attention 14. Do you own or have any property that poses or is alleged to pose a threat of imminent and identifiable hazard to public health or safety? Or do you own any property that needs immediate attention? For example, do you own perishable goods, or livestock that must be fed, or a building that needs urgent repairs?  No  Yes. What is the hazard? ________________________________________________________________________ ________________________________________________________________________ If immediate attention is needed, why is it needed? _______________________________________________ ________________________________________________________________________ Where is the property? ________________________________________________________________________ Number Street ________________________________________________________________________ ________________________________________ _______ City State Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy ____________________ ZIP Code page 4 Debtor 1 _______________________________________________________ First Name Part 5: Middle Name Case number (if known)_____________________________________ Last Name Explain Your Efforts to Receive a Briefing About Credit Counseling About Debtor 1: About Debtor 2 (Spouse Only in a Joint Case): 15. Tell the court whether you have received a briefing about credit counseling. The law requires that you receive a briefing about credit counseling before you file for bankruptcy. You must truthfully check one of the following choices. If you cannot do so, you are not eligible to file. If you file anyway, the court can dismiss your case, you will lose whatever filing fee you paid, and your creditors can begin collection activities again. You must check one: You must check one:  I received a briefing from an approved credit  I received a briefing from an approved credit Attach a copy of the certificate and the payment plan, if any, that you developed with the agency. Attach a copy of the certificate and the payment plan, if any, that you developed with the agency.  I received a briefing from an approved credit  I received a briefing from an approved credit counseling agency within the 180 days before I filed this bankruptcy petition, and I received a certificate of completion. counseling agency within the 180 days before I filed this bankruptcy petition, but I do not have a certificate of completion. Within 14 days after you file this bankruptcy petition, you MUST file a copy of the certificate and payment plan, if any.  I certify that I asked for credit counseling services from an approved agency, but was unable to obtain those services during the 7 days after I made my request, and exigent circumstances merit a 30-day temporary waiver of the requirement. counseling agency within the 180 days before I filed this bankruptcy petition, but I do not have a certificate of completion. Within 14 days after you file this bankruptcy petition, you MUST file a copy of the certificate and payment plan, if any.  I certify that I asked for credit counseling services from an approved agency, but was unable to obtain those services during the 7 days after I made my request, and exigent circumstances merit a 30-day temporary waiver of the requirement. To ask for a 30-day temporary waiver of the requirement, attach a separate sheet explaining what efforts you made to obtain the briefing, why you were unable to obtain it before you filed for bankruptcy, and what exigent circumstances required you to file this case. To ask for a 30-day temporary waiver of the requirement, attach a separate sheet explaining what efforts you made to obtain the briefing, why you were unable to obtain it before you filed for bankruptcy, and what exigent circumstances required you to file this case. Your case may be dismissed if the court is dissatisfied with your reasons for not receiving a briefing before you filed for bankruptcy. If the court is satisfied with your reasons, you must still receive a briefing within 30 days after you file. You must file a certificate from the approved agency, along with a copy of the payment plan you developed, if any. If you do not do so, your case may be dismissed. Any extension of the 30-day deadline is granted only for cause and is limited to a maximum of 15 days. Your case may be dismissed if the court is dissatisfied with your reasons for not receiving a briefing before you filed for bankruptcy. If the court is satisfied with your reasons, you must still receive a briefing within 30 days after you file. You must file a certificate from the approved agency, along with a copy of the payment plan you developed, if any. If you do not do so, your case may be dismissed. Any extension of the 30-day deadline is granted only for cause and is limited to a maximum of 15 days.  I am not required to receive a briefing about credit counseling because of:  I am not required to receive a briefing about credit counseling because of:  Incapacity. I have a mental illness or a mental deficiency that makes me incapable of realizing or making rational decisions about finances.  Incapacity. I have a mental illness or a mental deficiency that makes me incapable of realizing or making rational decisions about finances.  Disability. My physical disability causes me to be unable to participate in a briefing in person, by phone, or through the internet, even after I reasonably tried to do so.  Disability. My physical disability causes me to be unable to participate in a briefing in person, by phone, or through the internet, even after I reasonably tried to do so.  Active duty. I am currently on active military  Active duty. I am currently on active military If you believe you are not required to receive a briefing about credit counseling, you must file a motion for waiver of credit counseling with the court. If you believe you are not required to receive a briefing about credit counseling, you must file a motion for waiver of credit counseling with the court. duty in a military combat zone. Official Form 101 counseling agency within the 180 days before I filed this bankruptcy petition, and I received a certificate of completion. duty in a military combat zone. Voluntary Petition for Individuals Filing for Bankruptcy page 5 Debtor 1 _______________________________________________________ First Name Part 6: Middle Name Case number (if known)_____________________________________ Last Name Answer These Questions for Reporting Purposes 16. What kind of debts do you have? 16a. Are your debts primarily consumer debts? Consumer debts are defined in 11 U.S.C. § 101(8) as “incurred by an individual primarily for a personal, family, or household purpose.”  No. Go to line 16b.  Yes. Go to line 17. 16b. Are your debts primarily business debts? Business debts are debts that you incurred to obtain money for a business or investment or through the operation of the business or investment.  No. Go to line 16c.  Yes. Go to line 17. 16c. State the type of debts you owe that are not consumer debts or business debts. _______________________________________________________________ 17. Are you filing under Chapter 7?  No. I am not filing under Chapter 7. Go to line 18. Do you estimate that after any exempt property is excluded and administrative expenses are paid that funds will be available for distribution to unsecured creditors?  Yes. I am filing under Chapter 7. Do you estimate that after any exempt property is excluded and 18. How many creditors do you estimate that you owe?  1-49  50-99  100-199  200-999  1,000-5,000  5,001-10,000  10,001-25,000  25,001-50,000  50,001-100,000  More than 100,000 19. How much do you estimate your assets to be worth?  $0-$50,000  $50,001-$100,000  $100,001-$500,000  $500,001-$1 million  $1,000,001-$10 million  $10,000,001-$50 million  $50,000,001-$100 million  $100,000,001-$500 million  $500,000,001-$1 billion  $1,000,000,001-$10 billion  $10,000,000,001-$50 billion  More than $50 billion 20. How much do you estimate your liabilities to be?  $0-$50,000  $50,001-$100,000  $100,001-$500,000  $500,001-$1 million  $1,000,001-$10 million  $10,000,001-$50 million  $50,000,001-$100 million  $100,000,001-$500 million  $500,000,001-$1 billion  $1,000,000,001-$10 billion  $10,000,000,001-$50 billion  More than $50 billion Official Form 101 administrative expenses are paid that funds will be available to distribute to unsecured creditors?  No  Yes Voluntary Petition for Individuals Filing for Bankruptcy page 6 Debtor 1 _______________________________________________________ First Name Part 7: Middle Name Case number (if known)_____________________________________ Last Name Sign Below For you I have examined this petition, and I declare under penalty of perjury that the information provided is true and correct. If I have chosen to file under Chapter 7, I am aware that I may proceed, if eligible, under Chapter 7, 11,12, or 13 of title 11, United States Code. I understand the relief available under each chapter, and I choose to proceed under Chapter 7. If no attorney represents me and I did not pay or agree to pay someone who is not an attorney to help me fill out this document, I have obtained and read the notice required by 11 U.S.C. § 342(b). I request relief in accordance with the chapter of title 11, United States Code, specified in this petition. I understand making a false statement, concealing property, or obtaining money or property by fraud in connection with a bankruptcy case can result in fines up to $250,000, or imprisonment for up to 20 years, or both. 18 U.S.C. §§ 152, 1341, 1519, and 3571.  ______________________________________________ _____________________________ Signature of Debtor 1 Signature of Debtor 2 Executed on _________________ MM For your attorney, if you are represented by one If you are not represented by an attorney, you do not need to file this page. / DD Executed on __________________ / YYYY MM / DD / YYYY I, the attorney for the debtor(s) named in this petition, declare that I have informed the debtor(s) about eligibility to proceed under Chapter 7, 11, 12, or 13 of title 11, United States Code, and have explained the relief available under each chapter for which the person is eligible. I also certify that I have delivered to the debtor(s) the notice required by 11 U.S.C. § 342(b) and, in a case in which § 707(b)(4)(D) applies, certify that I have no knowledge after an inquiry that the information in the schedules filed with the petition is incorrect. _________________________________ Date Signature of Attorney for Debtor _________________ MM / DD / YYYY _________________________________________________________________________________________________ Printed name _________________________________________________________________________________________________ Firm name _________________________________________________________________________________________________ Number Street _________________________________________________________________________________________________ ______________________________________________________ ____________ ______________________________ City State ZIP Code Contact phone _____________________________________ Email address ______________________________ ______________________________________________________ ____________ Bar number State Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 7 Debtor 1 _______________________________________________________ First Name Middle Name For you if you are filing this bankruptcy without an attorney If you are represented by an attorney, you do not need to file this page. Case number (if known)_____________________________________ Last Name The law allows you, as an individual, to represent yourself in bankruptcy court, but you should understand that many people find it extremely difficult to represent themselves successfully. Because bankruptcy has long-term financial and legal consequences, you are strongly urged to hire a qualified attorney. To be successful, you must correctly file and handle your bankruptcy case. The rules are very technical, and a mistake or inaction may affect your rights. For example, your case may be dismissed because you did not file a required document, pay a fee on time, attend a meeting or hearing, or cooperate with the court, case trustee, U.S. trustee, bankruptcy administrator, or audit firm if your case is selected for audit. If that happens, you could lose your right to file another case, or you may lose protections, including the benefit of the automatic stay. You must list all your property and debts in the schedules that you are required to file with the court. Even if you plan to pay a particular debt outside of your bankruptcy, you must list that debt in your schedules. If you do not list a debt, the debt may not be discharged. If you do not list property or properly claim it as exempt, you may not be able to keep the property. The judge can also deny you a discharge of all your debts if you do something dishonest in your bankruptcy case, such as destroying or hiding property, falsifying records, or lying. Individual bankruptcy cases are randomly audited to determine if debtors have been accurate, truthful, and complete. Bankruptcy fraud is a serious crime; you could be fined and imprisoned. If you decide to file without an attorney, the court expects you to follow the rules as if you had hired an attorney. The court will not treat you differently because you are filing for yourself. To be successful, you must be familiar with the United States Bankruptcy Code, the Federal Rules of Bankruptcy Procedure, and the local rules of the court in which your case is filed. You must also be familiar with any state exemption laws that apply. Are you aware that filing for bankruptcy is a serious action with long-term financial and legal consequences?  No  Yes Are you aware that bankruptcy fraud is a serious crime and that if your bankruptcy forms are inaccurate or incomplete, you could be fined or imprisoned?  No  Yes Did you pay or agree to pay someone who is not an attorney to help you fill out your bankruptcy forms?  No  Yes. Name of Person_____________________________________________________________________. Attach Bankruptcy Petition Preparer’s Notice, Declaration, and Signature (Official Form 119). By signing here, I acknowledge that I understand the risks involved in filing without an attorney. I have read and understood this notice, and I am aware that filing a bankruptcy case without an attorney may cause me to lose my rights or property if I do not properly handle the case.  _______________________________________________ ______________________________ Signature of Debtor 1 Signature of Debtor 2 Date Date _________________ MM / DD / YYYY Contact phone ______________________________________ Contact phone ________________________________ Cell phone Cell phone ________________________________ Email address ________________________________ _________________ MM / DD / YYYY ______________________________________ Email address ______________________________________ Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 8 Official Form 101 (Committee Note) (12/26) Committee Note Question 4 has been amended to make it clear that only debtors who themselves have an employer identification number (EIN) should list it; they should not include the EIN of their employer or any other entity not filing the petition. Fill in this information to identify your case: Debtor 1 __________________________________________________________________ Debtor 2 ________________________________________________________________ First Name Middle Name (Spouse, if filing) First Name Last Name Middle Name Last Name United States Bankruptcy Court for the: ______________________ District of __________ (State) Case number  Check if this is an ___________________________________________ (If known) amended filing Official Form 106C Schedule C: The Property You Claim as Exempt 12/26 Be as complete and accurate as possible. If two married people are filing together, both are equally responsible for supplying correct information. Using the property you listed on Schedule A/B: Property (Official Form 106A/B) as your source, list the property that you claim as exempt. If more space is needed, fill out and attach to this page as many copies of Part 2: Additional Page as necessary. On the top of any additional pages, write your name and case number (if known). For each item of property you claim as exempt, you must specify the amount of the exemption you claim. One way of doing so is to state a specific dollar amount as exempt. Alternatively, you may claim the full fair market value of the property being exempted up to the amount of any applicable statutory limit. Some exemptions—such as those for health aids, rights to receive certain benefits, and tax-exempt retirement funds—may be unlimited in dollar amount. However, if you claim an exemption of 100% of fair market value under a law that limits the exemption to a particular dollar amount and the value of the property is determined to exceed that amount, your exemption would be limited to the applicable statutory amount. Part 1: Identify the Property You Claim as Exempt 1. Which set of exemptions are you claiming? Check one only, even if your spouse is filing with you.  You are claiming state and federal nonbankruptcy exemptions. 11 U.S.C. § 522(b)(3)  You are claiming federal exemptions. 11 U.S.C. § 522(b)(2) 2. For any property you list on Schedule A/B that you claim as exempt, fill in the information below. A. Brief description of the property and line on Schedule A/B that lists this property Brief description: _________________________ B. Current value of the portion you own C. Amount of the exemption you claim Copy the value from Schedule A/B Check only one box for each exemption. $________________  $ ____________  100% of fair market value, up to ____________________________ ____________________________ ____________________________ ____________________________  $ ____________  100% of fair market value, up to ____________________________ ____________________________ ____________________________ ____________________________ Line from Schedule A/B: ______ Brief description: _________________________ any applicable statutory limit $________________ Line from ______ Schedule A/B: any applicable statutory limit D. Specific laws that allow exemption 2.1 Add the dollar value of all entries from Column B, including any entries for pages you have attached. $________________ 2.2 Add the dollar value of all entries with a specific amount from Column C, including any entries for pages you have attached. $_____________ 3. Are you claiming a homestead exemption of more than $214,000? (Subject to adjustment on 4/01/28 and every 3 years after that for cases filed on or after the date of adjustment.)  No  Yes. Did you acquire the property covered by the exemption within 1,215 days before you filed this case?  No Official Form 106C Schedule C: The Property You Claim as Exempt page 1 of __ Debtor 1 _______________________________________________________ First Name  Part 2: Middle Name Case number (if known)_____________________________________ Last Name Yes Additional Page A. Brief description of the property and line on Schedule A/B that lists this property Brief description: _________________________ B. Current value of the portion you own C. Amount of the exemption you claim Copy the value from Schedule A/B Check only one box for each exemption $________________ Line from ______ Schedule A/B: Brief description: _________________________ Line from Schedule A/B: ______ Brief description: _________________________ _________________________ $________________ _________________________ $________________ _________________________ $________________ _________________________ $________________ $________________ _________________________ Line from Schedule A/B: ______ Brief description: _________________________ _________________________ $________________ _________________________ Line from Schedule A/B: ______ Official Form 106C ____________________________ ____________________________ ____________________________ ____________________________  $ ____________  100% of fair market value, up to $________________ ____________________________ ____________________________ ____________________________ ____________________________  $ ____________  100% of fair market value, up to ____________________________ ____________________________ ____________________________ ____________________________  $ ____________  100% of fair market value, up to ____________________________ ____________________________ ____________________________ ____________________________  $ ____________  100% of fair market value, up to ____________________________ ____________________________ ____________________________ ____________________________  $ ____________  100% of fair market value, up to ____________________________ ____________________________ ____________________________ ____________________________ any applicable statutory limit $________________ ____________________________ ____________________________ ____________________________ ____________________________  $ ____________  100% of fair market value, up to any applicable statutory limit Line from ______ Schedule A/B: Brief description:  $ ____________  100% of fair market value, up to any applicable statutory limit Line from ______ Schedule A/B: Brief description: ____________________________ ____________________________ ____________________________ ____________________________ any applicable statutory limit $________________ ____________________________ ____________________________ ____________________________ ____________________________  $ ____________  100% of fair market value, up to any applicable statutory limit Line from ______ Schedule A/B: Brief description:  $ ____________  100% of fair market value, up to any applicable statutory limit Line from ______ Schedule A/B: Brief description: ____________________________ ____________________________ ____________________________ ____________________________ any applicable statutory limit Line from Schedule A/B: ______ Brief description:  $ ____________  100% of fair market value, up to any applicable statutory limit Line from ______ Schedule A/B: Brief description: ____________________________ ____________________________ ____________________________ ____________________________ any applicable statutory limit Line from ______ Schedule A/B: Brief description:  $ ____________  100% of fair market value, up to any applicable statutory limit $________________ D. Specific laws that allow exemption any applicable statutory limit Schedule C: The Property You Claim as Exempt page ___ of __ Official Form 106C Committee Note 1 Committee Note 2 3 4 5 6 7 8 Part 1 of Official Form 106C is amended to add spaces for providing the total amount of column B—current value of the portion of property owned by the debtor—and of column C—amount of the exemption claimed. In adding up the exemption amounts claimed in column C, the debtor should include only those exemptions claimed in specific dollar amounts. Excerpt from the December 13, 2024 Report of the Advisory Committee on Civil Rules COMMITTEE ON RULES OF PRACTICE AND PROCEDURE OF THE JUDICIAL CONFERENCE OF THE UNITED STATES WASHINGTON, D.C. 20544 JOHN D. BATES CHAIR CHAIRS OF ADVISORY COMMITTEES ALLISON H. EID APPELLATE RULES H. THOMAS BYRON III SECRETARY REBECCA B. CONNELLY BANKRUPTCY RULES ROBIN L. ROSENBERG CIVIL RULES JAMES C. DEVER III CRIMINAL RULES JESSE M. FURMAN EVIDENCE RULES TO: Hon. John D. Bates, Chair Committee on Rules of Practice and Procedure FROM: Hon. Robin L. Rosenberg, Chair Advisory Committee on Civil Rules RE: Report of the Advisory Committee on Civil Rules DATE: December 13, 2024 Introduction The Civil Rules Advisory Committee met in Washington, D.C., on October 10, 2024. Members of the public attended in person, and public on-line attendance was also provided. * * * Part I of this report will present * * * action items. During its October 10 meeting, the Advisory Committee voted to recommend publication in August 2025 of amendments to * * * rules: (a) Rule 81(c): The Advisory Committee proposes publication of an amendment to Rule 81(c) that clarifies when a jury demand must be made after removal if no jury demand has been made at the time of removal. ***** Excerpt from the December 13, 2024 Report of the Advisory Committee on Civil Rules I. ACTION ITEMS (a) Rule 81(c) -- jury demand after removal The Standing Committee first saw this issue at its June 2016 meeting, based on submission 15-CV-A, from a lawyer who interpreted restyled Rule 81(c) to mean that he did not need to demand a jury trial in his removed case because state practice did not require that he make such a demand prior to the time of removal. Before 2007, Rule 81(c) said: “If state law does not require an express demand for a jury trial, a party need not make one after removal unless the court orders the parties to do so within a specified time.” In the 2007 restyling the verb was changed to “did.” That change could produce confusion when a case is removed from a state court that has a jury demand requirement but permits that demand later in the litigation. As written before 2007, the rule excused a jury demand only when the case was removed from a state court that never requires a jury demand. When this matter came before the Standing Committee in 2016, two members of the Committee proposed an alternative that would have mooted the Rule 81(c) concern -- that Rule 38 be amended (parallel with the analogous Criminal Rule) to direct that there always be a jury trial unless both parties consented to a court trial and the court agreed to hold a court trial. That proposal led to an FJC research study that eventually persuaded the Advisory Committee that making such a change to Rule 38 would not be warranted. So the Rule 38 proposal was dropped from the agenda and the Rule 81(c) proposal came back to the fore. It seems that the former provision exempting parties accustomed to state courts that don’t ever require a jury demand unless the court establishes a deadline may have been meant to protect them against losing the right to a jury trial because they assumed they did not have to take any action after removal to obtain a jury trial since that would not be required in the state court. It is not entirely clear how many states provide a jury trial without requiring a demand at some point. Research by the Rules Law Clerk indicates that there seem to be some such states and that there is considerable variety in the timing requirements of state courts that don’t entirely excuse jury demands. * * * During the Advisory Committee meeting, two possible amendments were proposed. One would simply change the verb tense from “did” back to what the rule said before 2007 -- “does.” That could avoid confusing lawyers who faced very prompt removal. At least they would know that they were not exempt from demanding a jury trial after removal because the state court case had not reached the point where that was required by state court practice. But that solution could leave uncertainty about whether a given state practice “does” require a jury demand. The Rules Law Clerk research suggests that such uncertainty might exist in some instances. On the other hand, lawyers who never had to demand a jury trial to get one in state court might be surprised to find that they had to make a formal jury demand in federal court. Excerpt from the December 13, 2024 Report of the Advisory Committee on Civil Rules The Advisory Committee chose the other alternative -- requiring a jury demand in all removed cases by the deadline set in Rule 38. One point raised during the Oct. 10 meeting was that it be made clear that even when a party fails to meet the Rule 38 deadline the court may, under Rule 39(b), order a jury trial despite the belated request. So the Advisory Committee unanimously voted to propose that the following draft Rule 81(c) amendment and Committee Note be published for public comment: * * * ***** Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules COMMITTEE ON RULES OF PRACTICE AND PROCEDURE OF THE JUDICIAL CONFERENCE OF THE UNITED STATES WASHINGTON, D.C. 20544 JOHN D. BATES CHAIR CHAIRS OF ADVISORY COMMITTEES ALLISON H. EID APPELLATE RULES CAROLYN A. DUBAY SECRETARY REBECCA B. CONNELLY BANKRUPTCY RULES ROBIN L. ROSENBERG CIVIL RULES JAMES C. DEVER III CRIMINAL RULES JESSE M. FURMAN EVIDENCE RULES MEMORANDUM TO: Hon. John D. Bates, Chair Committee on Rules of Practice and Procedure FROM: Hon. Robin L. Rosenberg, Chair Advisory Committee on Civil Rules RE: Report of the Advisory Committee on Civil Rules DATE: May 15, 2025 _____________________________________________________________________________ Introduction The Civil Rules Advisory Committee met in Atlanta on April 1, 2025. Members of the public attended in person, and public online attendance was also provided. * * * Part I of this report will present four action items (one of which has two parts). During its April 1 meeting, the Advisory Committee voted to recommend publication in August 2025 of amendments to the following rules: (a) Rule 41(a): The Advisory Committee proposes publication of amendments to Rule 41 to better facilitate voluntary dismissal of one or more claims in a litigation, as opposed to the entire action. This matter was first presented to the Standing Committee at its January 2025 meeting, but several questions were raised that prompted re-examination of the proposal. As presented below, Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules the Advisory Committee’s Rule 41 Subcommittee (chaired by Judge Cathy Bissoon, W.D. Pa.) carefully considered these questions. The Committee retracted its proposal to extend Rule 41(d) to allow an award of costs after dismissal of even a single claim in a prior action. (b) Rule 45(c) subpoena for remote testimony and clarification amendment to Rule 26(a)(3)(A)(i): The Rule 43/45 Subcommittee, chaired by Judge M. Hannah Lauck (E.D. Va.), met four times between the Advisory Committee’s October 2024 meeting and its April 1 meeting. It now proposes publication of an amendment to Rule 45(c), prompted by In re Kirkland, 75 F.4th 1030 (9th Cir. 2023). In that case, the Ninth Circuit held that even though the district court had found remote testimony justified under Rule 43 it could not, by subpoena, compel a witness to provide that testimony. The proposed place for the testimony was within 100 miles of the witness’s residence but more than 100 miles from the courthouse, which the court said was beyond the “subpoena power” of the district court. The Ninth Circuit recognized that a rule change could alter this outcome, and the proposed amendment is designed to do that. In addition, the Advisory Committee recommends publishing a proposed amendment to Rule 26(a)(3)(A)(i) clarifying that each party’s pretrial disclosures must specify whether any of the witnesses the party expects to present will provide remote testimony. * * * (c) Rule 45(b)(1) service of subpoena: The Advisory Committee proposes publication of an amendment to specify methods of service of a subpoena that suffice under the rule, and also to authorize the court in a given case to approve alternative methods. The authorized methods draw in part from Rule 4(e)(2)(A) and (B) for service of original process -- personal delivery to the individual or leaving the subpoena at the person’s dwelling place -- with the addition of service by U.S. mail or commercial carrier if a confirmation of delivery is provided. The amendment also authorizes the court to approve another means of service for good cause. The proposed amendment includes two other changes: (1) relaxing the current requirement that witness fees be tendered at the time of service, and (2) providing a 14-day notice period (subject to shortening by the court for good cause) when the subpoena requires attendance at a trial, hearing, or deposition. (d) Rule 7.1: Responding to concerns that the current disclosure requirements do not adequately alert judges to possible grounds for recusal, the Advisory Committee recommends publication of an amendment intended to provide judges with additional needed information. Two main changes are proposed. One substitutes the term “business organization” for the word “corporation” in the current rule. This change reflects the reality that business entities often have non-corporate forms. The other is to require disclosure of any business organization that directly or indirectly owns 10% or more of the party. These changes are intended to reflect Advisory Opinion No. 57 from the Judicial Conference Committee on the Codes of Conduct. ***** I. ACTION ITEMS (a) Rule 41(a) The Advisory Committee proposes two amendments to Rule 41(a). The first adds additional flexibility for litigants by explicitly permitting the dismissal of one or more claims in Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules an action, rather than only the entire action, as the text of the current rule suggests. Many courts already allow such flexibility without presenting problems, and permitting dismissal of claims is consistent with the policy reflected throughout the rules of narrowing the issues in a case pretrial. The second is requiring only the signatures of parties that are actively litigating in a case on a stipulation of dismissal. The Advisory Committee concluded that requiring signatures of parties who have departed from the litigation creates opportunities for such parties to stymie settlements if they cannot be found or oppose the stipulation. Proposed amendments to Rule 41 were presented to the Standing Committee at its January 2025 meeting. Although the Standing Committee was aligned with the Advisory Committee with respect to the goals of the amendments, there were several areas of concern that the Standing Committee thought would benefit from a second look. After extensive deliberation the Rule 41 Subcommittee proposed several changes in response to this helpful feedback that the Advisory Committee adopted. First, the Advisory Committee abandoned its earlier proposal to amend Rule 41(d), which provides that the judge may award costs to the defendant “[i]f a plaintiff who previously dismissed an action in any court files an action based on or including the same claim against the same defendant.” Previously, the Advisory Committee approved an amendment to this provision that would have permitted the judge to award costs when the plaintiff had previously dismissed and refiled “one or more claims,” as opposed to the entire action. Concerns were raised, however, that such an amendment would leave open the possibility that a judge would disproportionately award costs of an entire previous action, when the plaintiff had dismissed only a part of it. Upon reflection, the Subcommittee and Advisory Committee agreed that the amendment was unnecessary. The existing rule is typically deployed when a plaintiff has in fact dismissed an entire previous action, usually when the plaintiff is in search of a more favorable forum or judge. It is in those circumstances that an award of costs is most appropriate. As a result, the Advisory Committee concluded that Rule 41(d) should remain unchanged. Second, the Advisory Committee made several minor changes to Rule 41(a) and the Committee Note to clarify that the deadline for unilateral dismissal of a claim is filing of an answer or motion for summary judgment by the party opposing the claim. Third, the Advisory Committee reexamined the text of the proposed amendment to Rule 41(a)(1)(A)(ii) that would require that a stipulation of dismissal be signed by “all parties who have appeared and remain in the action.” The subcommittee’s goal in proposing this amendment is to ensure that a party who has departed the litigation (either by voluntarily dismissing all of its claims or having all claims against it voluntarily dismissed) cannot obstruct a stipulation of dismissal if it cannot be easily found or if it refuses to sign the stipulation. A concern was raised at the Standing Committee meeting about the interaction between this proposed amendment and Rule 54(b), which provides that (absent a partial final judgment) all parties “remain” in the action until final judgment. So, if parties no longer actively litigating in the case are not required to sign a stipulation of dismissal, those parties may not receive notice that their window to appeal has opened. Ultimately, after much discussion, the subcommittee decided to retain the proposed language “remain in the action,” and the Advisory Committee agreed that the proposed language was sufficiently clear (particularly when compared to alternatives that sought greater precision but Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules were quite clunky). Additions to the committee note have been made to clarify the amendment’s purpose. Moreover, there are numerous instances in the rules that apply to parties actively litigating and not to those who are no longer in the case. One example is Rule 33, which permits service of interrogatories on “a party.” It seems unlikely that anyone would interpret that rule to permit service of interrogatories on a party that is no longer prosecuting or defending against a live claim, Rule 54(b) notwithstanding. With respect to concerns that a party might not receive adequate notice, the Advisory Committee was satisfied that current safeguards make that unlikely, including the practice that such a party will continue to receive notice of docket entries through CM/ECF, although typically denominated as “terminated” from the action. In sum, the Advisory Committee concluded that the benefits of the amendment outweigh any risks, though it is of course open to reconsideration if the public comment period suggests otherwise. Rule 41(a) Amendment Proposal ***** (b) Rules 45(c) and 26(a)(3)(A)(i) The Rule 43/45 Subcommittee has been very busy. It held four meetings after the Advisory Committee’s October meeting to finalize its proposal to amend Rule 45(c) to remove the difficulty presented by the decision in In re Kirkland, 75 F.4th 1030 (9th Cir. 2023). That case held that, despite the 2013 revision of Rule 45 authorizing the court presiding over an action to issue a subpoena for testimony that can be served anywhere in the United States, for trial testimony that authority extends only within the “subpoena power” of the court and does not permit the court to command a distant witness to provide remote trial testimony. There have been disagreements among district courts about whether they have such power as to distant trial witnesses. The Kirkland decision seems to be the first court of appeals decision finding that the district court lacked such authority. The court reached this result even though the Committee Note accompanying the 2013 amendment to Rule 45 clearly said that such authority existed. The Ninth Circuit recognized, however, that a rule amendment could solve the problem. The Kirkland decision is on the books and seems to be having some unfortunate ripple effects, even in cases involving only discovery rather than trial testimony. So the Subcommittee is bringing this amendment proposal forward now even though it has another (and possibly more important) topic on its agenda -- whether to relax the criteria for remote trial testimony under Rule 43(a). In addition, the Advisory Committee is proposing a slight clarification for Rule 26(a)(3)(A)(i). Rule 45(c) amendment proposal1 ***** 1 During the Standing Committee’s January 2025 meeting, a question was raised about possible implications of changes to Rule 45(c) for the “unavailability” criterion for admissibility of deposition transcripts at trial Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules Rule 26(a) amendment proposal ***** (c) Rule 45(b)(1) This proposed amendment responds to a problem that has been brought up repeatedly in submissions to the Committee over the last two decades or so -- the ambiguity of the requirement in Rule 45(b)(1) of “serving” the witness with the subpoena and also (at the time of service) tendering the witness fee to the witness. For the majority of subpoenas, service is not problematical. But problems have emerged with sufficient frequency to justify a rule change. The Advisory Committee proposed the amendment presented below to achieve three basic objectives: (1) Borrowing from Rule 4(e)(2)(A) and (B) some well-recognized methods of service -personal delivery or leaving at the abode of the person with a person “of suitable age and discretion who resides there,” and adding service by mail or commercial carrier if that includes confirmation of receipt, as has been found sufficient in some courts. The proposed amendment also empowers the district to authorize additional methods for good cause; (2) Adding a notice period -- 14 days in the draft -- unless the court authorizes a shorter period; and (3) Providing that the tender of witness fees is not required to effect service of the subpoena, so long as the statutory fees are tendered upon service or at the time the witness appears as commanded by the subpoena. This amendment proposal is designed to address practical problems that have sometimes resulted from the ambiguity of Rule 45(b)(1)’s current use of the term “delivering a copy to the named person” without being more specific about how that is to be done. There has been at least one recent reported decision in which multiple attempts at service were deemed ineffective because the witness fee had not also been tendered. And in another recent case, the server did not initially deliver the witness fee check because it had the server’s information on it and the server worried for his personal safety if that were revealed to the witness. ***** under Rule 32(a)(4) or of prior testimony under Fed. R. Evid. 804(a). These questions received substantial attention before the Advisory Committee subcommittee. After lengthy discussion it was concluded that clarifying the subpoena power would not produce a change in the application of those other rules, which deal with hearsay objections. Some efforts were made to draft Committee Note language to affirm that there was no intention to alter the application of those rules. After lengthy discussion, however, it was concluded that including that language might cause complications rather than avoid them. Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules (d) Rule 7.1 The Advisory Committee recommends publishing for public comment amendments to Rule 7.1(a) requiring disclosure by a corporate party of parents and business organizations that directly or indirectly own 10% or more of it. The goal of the amendment is to mandate disclosure of corporate “grandparents” or “great grandparents” in which a judge may hold a financial interest that requires recusal. This report elaborates on the reasons for these changes below after presenting the proposed rule amendment and Committee Note. Rule 7.1(a) Amendment Proposal ***** ADVISORY COMMITTEE REASONS FOR PROPOSED RULE CHANGES Currently, Rule 7.1(a) requires that a nongovernmental corporate party disclose “any parent corporation and any publicly held corporation owning 10% or more of its stock.” The Rule 7.1 Subcommittee, created in spring 2023 and chaired by Justice Jane Bland (Supreme Court of Texas), was formed to consider rule changes to better inform judges of any financial interest “in the subject matter in controversy or in a party to the proceeding, or any other interest that could be affected substantially by the outcome of the proceeding.” 28 U.S.C. § 455(b)(4). More specifically, this project was sparked by concerns that judges are not sufficiently informed in situations in which they might hold an interest in a business organization that is a “grandparent” or “great-grandparent” of a party. For instance, a judge might hold an interest in a “grandparent” corporation that wholly owns a subsidiary that, in turn, owns a party. Under such circumstances, that judge likely has a financial interest requiring her to recuse. But because the rule requires disclosure of only a “parent corporation and any publicly held corporation owning 10% of more of [a corporate party’s] stock,” the judge will remain in the dark. Although there do not appear to be serious concerns that judges have acted in a biased manner due to this lack of information, it is also the case that whenever a judge presides over a case in which she has an arguable financial interest in the outcome there is a threat to perceptions of the court’s legitimacy and impartiality. As a result, over the last two years, the Subcommittee has considered several possible revisions to the rule that would make it more likely that “grandparents” and other entities up the corporate chain of ownership of a party, in which a judge is reasonably likely to hold an interest, will be disclosed without imposing unnecessarily onerous requirements on litigants. Notably, the committee note to Fed. R. App. P. 26.1, whose relevant language is identical to Rule 7.1, has since 1998 provided that: Disclosure of a party’s parent corporation is necessary because a judgment against a subsidiary can negatively impact the parent. A judge who owns stock in the parent corporation, therefore, has an interest in litigation involving the subsidiary. The rule requires disclosure of all of a party’s parent corporations meaning grandparent and great grandparent corporations as well. For example, if a Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules party is a closely held corporation, the majority shareholder of which is a corporation formed by a publicly traded corporation for the purpose of acquiring and holding the shares of the party, the publicly traded grandparent corporation should be disclosed. (Emphasis added.) 2 This requirement does not appear to have spawned litigation, confusion, or controversy. Despite using the same language, though, Rule 7.1 has by and large been interpreted to require disclosure of only “parents,” and not grandparents or other corporate relatives. In the early days of this project, the Rules Law Clerk and Reporters canvassed a wide swath of disclosure requirements, including districts’ local rules and various state rules, to develop an array of options. Among state and local rules, the two dominant approaches were to either use a broad catch-all term (such as to require disclosure of all “affiliates” of a party) or a lengthy “laundry list” of various specific business relationships. Subcommittee deliberation and outreach revealed that both approaches had problems. Broad catch-all provisions requiring disclosure of “affiliates” (or some such term) sweep in a wave of entities that the judge is unlikely to hold and often lead to vast disclosures in which any pertinent information might be buried. On the other hand, the “laundry list” approach seemed to encounter the ever-present danger of lists, that they are overinclusive and underinclusive and require constant maintenance to account for the constantly evolving variety of business relationships. Recognizing that no rule can uncover all instances when recusal might be required by the statute’s demand that a judge disqualify on the basis of any interest “however small,” 28 U.S.C. § 455(d)(4), our effort has been focused on threading the needle between a rule that is too capacious and one that is too specific. So, after much study, the Subcommittee returned to where it began: an effort to ensure disclosure of corporate “grandparents” and such, as Fed. R. App. P. 26.1 does now, albeit in the note. In the midst of the Subcommittee’s work, in February 2024, the Codes of Conduct Committee issued new guidance to judges: Committee on Codes of Conduct Advisory Opinion No. 57: Disqualification Based on a Parent-Subsidiary Relationship. This guidance directs a judge to focus on whether a parent corporation that does not wholly own a party “has control of a party.” The guidance does not define “control” but instead “advises that the 10% disclosure requirement in the Federal Rules (e.g., Fed. R. App. P. 26.1, Fed. R. Civ. P. 7.1, Fed. R. Bankr. P. 7007.1, and Fed. R. Bankr. P. 8012) creates a threshold rebuttable presumption of control for recusal purposes.” Should a party disclose an owner of 10% of more of a party, the guidance advises that “a judge may exercise his or her discretion to seek information from the parties or their attorneys; a judge may also review publicly available sources, such as Securities and Exchange Commission filings.” In light of this guidance, the Subcommittee also considered amending Rule 7.1 to require corporate parties to disclose any entity that has control over it. This move would, however, beg the question (as does the Codes of Conduct Committee guidance) as to what constitutes “control.” The guidance does not attempt such a definition; instead, it refers to the 10% ownership figure in the various Federal Rules as a proxy for control. 2 This language was added to the note in response to a public comment that disclosure of only a “parent” was too narrow. Review of the minutes and agenda books of the Appellate Rules Committee and the Standing Committee reveal no opposition, or even discussion, of this addition to the note. The amended rule was subsequently approved by the various bodies up the chain of command and went into effect in December 1998. Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules Based on the Codes of Conduct Committee guidance, the Subcommittee concluded that a rule that continues to mandate disclosure of ownership of a party is the most promising avenue toward disclosure of grandparents, et al. The goal is to better equip judges to comply with the Codes of Conduct guidance, and therefore their statutory and ethical obligations. This is, and always has been, a tricky exercise. Although the appellate rule has not caused controversy, a rule cannot be amended by amending only the committee note, so the challenge has been to draft rule language that will best meet our goals without being over or underinclusive. As a result, the Advisory Committee has settled on two proposed changes to the rule, as reflected in the above proposal: (1) Replace references to “a corporate party” with the broader term “business organizations.” (2) Require disclosure of “a parent business organization” and “any publicly held business organization that directly or indirectly owns 10% or more of” a party. The Subcommittee’s rationale for each of these changes follows. Business Organizations The Advisory Committee was concerned that references to “corporations” in the rule are too narrow since there are many business organizations other than corporations whose disclosure would assist judges in complying with their recusal obligations. For instance, “LLCs” or “Master Partnerships” are not necessarily defined as corporations under some state laws. Having concluded that the term corporation now feels too narrow, the next question becomes what to replace it with. The Subcommittee considered several possibilities, but “business organizations” quickly emerged as the most common and generally understood term. For instance, the National Conference of Commissioners on Uniform State Laws and the American Bar Association have long authored the “Uniform Business Organizations Code.” Texas also has a “Business Organizations Code.” Additionally, while some schools have stuck with the traditional name “Corporations,” most leading law schools’ introductory corporate law courses are now called “Business Organizations” or “Business Associations.” Direct or Indirect Ownership As explained above, and as the draft Committee Note reflects, the primary goal was to better inform judges of the possibility that the value of interests they hold in “grandparents” and others up the chain of ownership from parties might be affected by the outcome of cases before them. Although this requirement does not seem controversial, as evidenced by the lack of controversy that has emerged from 27 years of experience with the appellate rule’s committee note, drafting rule language to capture this goal has proven challenging. But once the Subcommittee settled on a lodestar of consistency with the Codes of Conduct Committee’s guidance, its focus turned to ensuring disclosure of owners of 10% or more of a party. 3 Candidly, absolute precision 3 As reflected in the draft amendment, the proposed rule abandons the term “stock” to define ownership, since ownership interests may have many different labels. Excerpt from the May 15, 2025 Report of the Advisory Committee on Civil Rules has proven elusive, so the Subcommittee eventually converged on rule language that reflects the intent of the amendment and will hopefully prompt parties to reveal owners and part owners in which judges are likely to hold investments and whose value may be affected by the outcome of the litigation. First, the Advisory Committee decided to retain the requirement that a “parent business organization” be disclosed. “Parent” is to some degree an elusive term that might be defined in numerous ways. Nevertheless, it has been part of the various federal disclosure rules since their inception, and it does not seem to have caused significant problems. The Advisory Committee considered eliminating the requirement of disclosing a parent altogether (that is, requiring only disclosure of publicly held direct or indirect owners of 10% or more) but concluded that there was no good reason to eliminate it, and that there may very well be occasions when a judge holds an interest in a privately held entity that is a parent of a party, but the judge is unaware. Second, the Advisory Committee opted for language requiring disclosure of direct or indirect owners of 10% or more of a party. As the Committee Note explains, this is a pragmatic concept intended to prompt disclosure of grandparents or others who may own a significant share of a party via ownership of another intermediate entity. Such disclosure would trigger the suggestion in the Codes of Conduct Committee advisory opinion that a judge investigate further whether recusal is necessary. As was the case when the words “parent corporation” were discussed in the 1990s, there is a certain inherent imprecision to the language, but parties have long been trusted to meet their disclosure obligations faithfully and practically based on the purpose of those obligations. The Subcommittee labored over whether to prescribe a mathematical formula for indirect ownership or to lay out a series of examples of indirect ownership (or lack thereof) in the note, but ultimately opted against either option, in favor of a more general standard informed by a purpose defined in the committee note. Of course, rulemakers should always be wary of imposing vague requirements on litigants. At the same time, however, this is not a rule that governs how parties conduct litigation or interact with one another. Nor is it a rule that is related to the law, facts, and merits of a case. Rather, it is a rule that attempts to help judges comply with a mandate that itself is rather vague. To borrow from mathematics, the Rule’s relationship to the recusal standard is something like an asymptote - a line that a curve approaches but never touches. After several years of deliberation and study, the Advisory Committee is eager to hear the reactions of those potentially affected by the rule in the public-comment period. If in fact, what is proposed is too vague or onerous compared to the potential benefits, we will surely learn that then. ***** PROPOSED AMENDMENT TO THE FEDERAL RULES OF CIVIL PROCEDURE1 1 Rule 7.1. 2 (a) 3 Disclosure Statement Who Must File; Contents. (1) Nongovernmental Corporations Business 4 Organizations. A nongovernmental 5 corporate business organization that 6 is a party or a nongovernmental 7 corporation that seeks to intervene 8 must file a statement that: (A) 9 identifies any parent corporation 10 business organization and any 11 publicly held corporation business 12 organization owning that directly or 13 indirectly owns 10% or more of its 14 stock it; or New material is underlined in red; matter to be omitted is lined through. 1 2 15 16 FEDERAL RULES OF CIVIL PROCEDURE (B) states that there is no such corporation business organization. 17 ***** 18 Committee Note 19 20 21 22 23 24 25 26 Rule 7.1(a)(1) is amended in two ways intended to better assist judges in complying with their statutory and ethical duty to recuse in cases in which they or relevant family members have “a financial interest in the subject matter in controversy or in a party to the proceeding, or any other interest that could be substantially affected by the outcome of the proceeding.” 28 U.S.C. § 455(b)(4); Code of Conduct for United States Judges Canon 3C(1)(c). 27 28 29 30 31 32 33 34 First, the amended rule substitutes “business organization” in place of references to “corporation” to cover entities not organized as “corporations,” defined narrowly. “Business organizations” is a more capacious term intended to flexibly adapt to the ever-changing variety of commercial entities, and the term is generally accepted and well understood. See, e.g., Uniform Business Organizations Code (2015). 35 36 37 38 39 40 41 42 43 44 Second, the rule is amended to require disclosure of business organizations that “directly or indirectly own 10% or more of” a party, whether or not that ownership interest is formally denominated as stock. Such a direct or indirect owner is presumed to hold a sufficient interest in a party to raise a rebuttable presumption that a judge’s financial interest in the owner extends to the party, warranting recusal. See U.S. Judicial Conference, Guide to Judiciary Policy § 220, Committee on Codes of Conduct, Advisory Opinion No. 57: Disqualification Based on a Parent-Subsidiary FEDERAL RULES OF CIVIL PROCEDURE 3 45 46 47 48 49 50 51 52 53 54 55 Relationship (Feb. 2024). Under the amended rule, a party must disclose not only a parent business organization but also any publicly held business organization that is a grandparent, great-grandparent, or other corporate relative that owns 10% or more of a party, whether directly or through another business organization. The requirement to disclose “indirect” owners of 10% or more of a party is a pragmatic effort to better inform judges of circumstances when their financial interests may be affected by a litigation or when further inquiry into the ownership interests in a party is appropriate. 56 57 58 59 60 61 62 As before, this rule does not capture every scenario that might require a judge to recuse. As reflected in the Committee on Codes of Conduct Advisory Opinion No. 57, a judge may need to seek additional information about a party’s business affiliations when deciding whether to recuse. And, as before, districts may promulgate local rules requiring additional disclosures. PROPOSED AMENDMENT TO THE FEDERAL RULES OF CIVIL PROCEDURE1 1 2 Rule 26. 3 (a) Duty to Disclose; General Provisions Governing Discovery Required Disclosures. ***** 4 5 (3) Pretrial Disclosures. (A) 6 In General. In addition to the 7 disclosures 8 26(a)(1) and (2), a party must provide 9 to the other parties and promptly file 10 the following information about the 11 evidence that it may present at trial 12 other than solely for impeachment: 13 (i) the required name by and, Rules (if not provided), the 14 previously 15 address and telephone number New material is underlined in red; matter to be omitted is lined through. 1 2 FEDERAL RULES OF CIVIL PROCEDURE 16 of each witness—separately 17 identifying those the party 18 expects to present and those it 19 may call if the need arises, and 20 whether the testimony will be 21 in person or remote; 22 (ii) the designation of those 23 witnesses whose testimony 24 the party expects to present by 25 deposition and, if not taken 26 stenographically, a transcript 27 of the pertinent parts of the 28 deposition; and 29 ***** 30 Committee Note 31 32 33 34 35 36 Under Rule 43, the court may permit remote testimony at trial. Because Rule 26 requires disclosure of witnesses a party “expects to present,” it should be understood to include witnesses who will testify remotely upon court approval. This amendment clarifies that the disclosure requirement applies whether or not the witness is FEDERAL RULES OF CIVIL PROCEDURE 37 38 39 3 testifying in person or remotely and alerts the parties and the court that a party proposes to present one or more witnesses remotely. PROPOSED AMENDMENT TO THE FEDERAL RULES OF CIVIL PROCEDURE1 1 Rule 41. 2 (a) 3 Dismissal of Actions or Claims Voluntary Dismissal. (1) By the a Plaintiff. (A) 4 Without a Court Order. Subject to 5 Rules 23(e), 23.1(c), 23.2, and 66 and 6 any applicable federal statute, the a 7 plaintiff may dismiss an its action or 8 one or more of its claims without a 9 court order by filing: 10 (i) a notice of dismissal before 11 the opposing party serves 12 either an answer or a motion 13 for summary judgment; or (ii) 14 a stipulation of dismissal signed by all parties who have 15 New material is underlined in red; matter to be omitted is lined through. 1 2 FEDERAL RULES OF CIVIL PROCEDURE 16 appeared and remain in the 17 action. ***** 18 19 (2) By Court Order; Effect. Except as provided 20 in Rule 41(a)(1), an action or one or more 21 claims may be dismissed at the a plaintiff’s 22 request only by court order, on terms that the 23 court considers proper. If a defendant has 24 pleaded a counterclaim before being served 25 with the plaintiff’s motion to dismiss, the 26 action, claim, or claims may be dismissed 27 over the defendant’s objection only if the 28 counterclaim 29 independent adjudication. Unless the order 30 states otherwise, a dismissal under this 31 paragraph (2) is without prejudice. 32 can ***** remain pending for FEDERAL RULES OF CIVIL PROCEDURE 3 33 Committee Note 34 35 36 37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 Rule 41 is amended in two ways. First, Rule 41(a) has been amended to add language clarifying that a plaintiff may voluntarily dismiss “one or more of its claims” in a multi-claim case. A plaintiff may accomplish dismissal of either its action or one or more of its claims unilaterally prior to an answer or motion for summary judgment by a party opposing that claim, or by stipulation or court order. Some courts interpreted the previous language to mean that only an entire case, i.e. all claims against all defendants, or only all claims against one or more defendants, could be dismissed under this rule. The language suggesting that voluntary dismissal could only be of an entire case has remained unchanged since the 1938 promulgation of the rule. In the intervening years, multi-claim and multi-party cases have become more typical, and courts are now encouraged to both simplify and facilitate settlement of cases. The amended rule is therefore more consistent with widespread practice and the general policy of narrowing the issues during pretrial proceedings. This amendment to Rule 41(a), permitting voluntary dismissal of a claim or claims, does not affect the operation of Rule 41(d), whose applicability is limited to situations when the plaintiff has previously dismissed an entire action. 57 58 59 60 61 62 63 64 65 66 Second, Rule 41(a)(1)(A)(ii) is amended to clarify that a stipulation of dismissal need be signed only by all parties who have appeared and remain in the action. Some courts had interpreted the prior language to require all parties who had ever appeared in a case to sign a stipulation of dismissal, including those who have dismissed all claims, or had all claims against them dismissed. Such a requirement can be overly burdensome and an unnecessary obstacle to narrowing the scope of a case; signatures of the parties currently litigating claims at the time of the stipulation 4 67 68 69 70 FEDERAL RULES OF CIVIL PROCEDURE provide both sufficient notice to those actively involved in the case and better facilitate formulating and simplifying the issues and eliminating claims that the parties agree to resolve. PROPOSED AMENDMENT TO THE FEDERAL RULES OF CIVIL PROCEDURE1 1 Rule 45. Subpoena ***** 2 3 4 (b) Service. (1) By Whom and How; Tendering Means; 5 Notice Period; Fees. 6 (A) By Whom and How. Any person who 7 is at least 18 years old and not a party 8 may serve a subpoena. Serving a 9 subpoena requires: 10 (i) delivering a copy to the named person personally; 11 (ii) 12 leaving a copy at the person’s 13 dwelling or usual place of 14 abode with someone of New material is underlined in red; matter to be omitted is lined through. 1 2 FEDERAL RULES OF CIVIL PROCEDURE 15 suitable age and discretion 16 who resides there; (iii) 17 sending a copy to the person’s 18 last known address by a 19 method of United States mail 20 or commercial-carrier 21 delivery, if 22 method provides confirmation 23 of actual receipt; or (iv) 24 the selected using another means that is 25 authorized by the court for 26 good cause and is reasonably 27 calculated to give notice. 28 (B) Time to Serve if Attendance Is 29 Required; Tendering Fees. and, iIf 30 the subpoena requires that the named 31 person’s attendance, a trial, hearing, 32 or deposition, unless the court orders FEDERAL RULES OF CIVIL PROCEDURE 3 33 otherwise, the subpoena must be 34 served at least 14 days before the date 35 on which the person is commanded to 36 attend. In addition, the party serving 37 the subpoena must tendering the fees 38 for 1 day’s attendance and the 39 mileage allowed by law at the time of 40 service, or at the time and place the 41 person is commanded to appear. Fees 42 and mileage need not be tendered 43 when the subpoena issues on behalf 44 of the United States or any of its 45 officers or agencies. 46 ***** 47 Committee Note 48 49 50 51 52 53 Rule 45(b)(1) is amended to clarify the means of serving a subpoena. Courts have disagreed about whether the rule requires hand delivery. Though service of a subpoena usually does not present problems—particularly with regard to deposition subpoenas—uncertainty about what the rule requires has on occasion caused delays and imposed costs. 4 FEDERAL RULES OF CIVIL PROCEDURE 54 55 56 57 58 59 60 61 62 63 The amendment removes that ambiguity by providing that methods authorized under Rule 4(e)(2)(A) and (B) for service of a summons and complaint constitute effective service of a subpoena. Though the issues involved with service of a summons are not identical with service of a subpoena, the basic goal is to give notice and the authorized methods should assure notice. In place of the current rule’s use of “delivering,” these methods of service also are familiar methods that ought easily adapt to the subpoena context. 64 65 66 67 68 69 70 71 72 The amendment also adds another option—service by United States mail or commercial carrier to the person’s last known address, if the selected method provides confirmation of actual receipt. The rule does not prescribe the exact means of confirmation, but courts should be alert to ensuring that there is reliable confirmation of actual receipt. Cf. Rule 45(b)(4) (proving service of subpoena). Experience has shown that this method regularly works and is reliable. 73 74 75 76 77 78 79 80 The amended rule also authorizes a court order permitting an additional method of serving a subpoena so long as that method is reasonably calculated to give notice. A party seeking such an order must establish good cause, which ordinarily would require at least first resort to the authorized methods of service. The application should also demonstrate that the proposed method is reasonably calculated to give notice. 81 82 83 84 85 86 The amendment adds a requirement that the person served be given at least 14 days’ notice if the subpoena commands attendance at a trial, hearing, or deposition. Rule 45(a)(4) requires the party serving the subpoena to give notice to the other parties before serving it, but the rule does not presently require any advance notice to the person FEDERAL RULES OF CIVIL PROCEDURE 5 87 88 89 90 91 92 commanded to appear. Compliance may be difficult without reasonable notice. Providing 14-day notice is a method of avoiding possible burdens on the person served. In addition, emergency motions for relief from a subpoena can burden courts. For good cause, the court may shorten the notice period on application by the serving party. 93 94 95 96 97 98 99 100 101 102 The amendment also simplifies the task of serving the subpoena by removing the requirement that the witness fee under 28 U.S.C. § 1821 be tendered at the time of service as a prerequisite to effective service. Though tender at the time of service should be done whenever practicable, the amendment permits tender to occur instead at the time and place the subpoena commands the person to appear. The requirement to tender fees at the time of service has in some cases further complicated the process of serving a subpoena, and this alternative should simplify the task. PROPOSED AMENDMENT TO THE FEDERAL RULES OF CIVIL PROCEDURE1 1 Rule 45. Subpoena ***** 2 3 4 (c) Place of Compliance. (1) For a Trial, Hearing, or Deposition. A 5 subpoena may command a person to attend a 6 trial, hearing, or deposition only as follows: 7 (A) within 100 miles of where the person 8 resides, is employed, or regularly 9 transacts business in person; or (B) 10 within the state where the person 11 resides, is employed, or regularly 12 transacts business in person, if the 13 person: New material is underlined in red; matter to be omitted is lined through. 1 2 FEDERAL RULES OF CIVIL PROCEDURE (i) 14 is a party or a party’s officer; or 15 (ii) 16 is commanded to attend a trial 17 or hearing and would not 18 incur substantial expense. 19 (2) For Remote Testimony. Under 20 Rule 45(c)(1), the place of attendance for 21 remote testimony is the location where the 22 person is commanded to appear in person. 23 (32) For Other Discovery. A subpoena may 24 command: 25 (A) production of documents, 26 electronically stored information, or 27 tangible things at a place within 100 28 miles of where the person resides, is 29 employed, or regularly transacts 30 business in person; and FEDERAL RULES OF CIVIL PROCEDURE 31 (B) 3 inspection of premises at the premises 32 to be inspected. 33 ***** 34 Committee Note 35 36 37 38 39 In 2013, Rule 45(a)(2) was amended to provide that a subpoena must issue from the court where the action is pending, and Rule 45(b)(2) now provides that such a subpoena can be served at any place within the United States. 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57 Since the 2013 amendments, however, some courts have concluded that they are without authority to command witnesses to provide remote trial testimony because the witnesses are not within the “subpoena power” of the presiding court. See, e.g., In re Kirkland, 75 F.4th 1030 (9th Cir. 2023) (holding that a subpoena can compel remote trial testimony from a witness only if the witness resides or transacts business in person within 100 miles of the court or within the state in which the court sits). Questions have also been raised about whether a subpoena can compel a nonparty to provide discovery if the nonparty witness is located outside the geographical scope of the subpoena power to command the witness to appear in court. See, e.g., York Holding, Inc. v. Waid, 345 F.R.D. 626 (D. Nev. 2024) (rejecting the argument that a Nevada district court subpoena could not command production of documents within 100 miles of the nonparty’s place of business in New Hampshire). 58 59 60 This amendment clarifies that the court’s subpoena power for in-court testimony or to provide discovery extends nationwide so long as a subpoena does not command the 4 FEDERAL RULES OF CIVIL PROCEDURE 61 62 63 64 65 66 67 68 witness to travel farther than the distance authorized under Rule 45(c)(1), which provides protections against undue burdens on persons subject to subpoenas. It specifies that, for purposes of Rule 45(c)(1), the witness “attends” at the place where the person must appear to provide the remote testimony. For purposes of Rule 43 and Rule 77(b), such remote testimony occurs in the court where the trial or hearing is conducted. 69 70 71 72 73 74 75 76 77 78 79 80 The amendment does not alter the standards for deciding whether to permit in-court remote testimony. Instead, it applies to any subpoena for witness testimony. Ordinarily, court approval is required for remote testimony in court. Rule 43, for example, authorizes remote testimony in trials and hearings but depends on court permission for such testimony. Rule 26(a)(3)(A)(i) requires that the parties disclose the identities of witnesses whose testimony will be presented, without distinguishing between in-person and remote testimony. Even remote deposition testimony is authorized only by stipulation or court order. See Rule 30(b)(4). 81 82 83 84 When a subpoena commands a witness to provide remote testimony, it is the responsibility of the serving party to ensure that the necessary technology is available at the remote location for such testimony. PROPOSED AMENDMENT TO THE FEDERAL RULES OF CIVIL PROCEDURE1 1 2 Rule 81. Applicability of the Rules in General; Removed Actions ***** 3 4 5 (c) Removed Actions. (1) Applicability. These rules apply to a civil action after it is removed from a state court. 6 ***** 7 8 (3) Demand for a Jury Trial. (A) 9 Before Removal As Affected by State 10 Law. A party who, before removal, 11 expressly demanded a jury trial in 12 accordance with state law need not 13 renew the demand after removal. (B) 14 After Removal. If no demand has been 15 made before removal, New material is underlined in red; matter to be omitted is lined through. 1 2 FEDERAL RULES OF CIVIL PROCEDURE 16 Rule 38(b) governs a demand for a 17 jury trial. If all necessary pleadings 18 have been served at the time of 19 removal, a party entitled to a jury trial 20 under Rule 38(b) must be given one if 21 the party serves a demand within 14 22 days after: 23 If the state law did not require an 24 express demand for a jury trial, a 25 party need not make one after 26 removal unless the court orders the 27 parties to do so within a specified 28 time. The court must so order at a 29 party’s request and may so order on 30 its own. A party who fails to make a 31 demand when so ordered waives a 32 jury trial. FEDERAL RULES OF CIVIL PROCEDURE 33 (B) 3 Under Rule 38. If all necessary 34 pleadings have been served at the 35 time of removal, a party entitled to a 36 jury trial under Rule 38 must be given 37 one if the party serves a demand 38 within 14 days after: 39 (i) it files a notice of removal; or 40 (ii) it is served with a notice of 41 removal filed by another 42 party. 43 Committee Note 44 45 46 47 48 49 50 51 52 53 54 55 56 Rule 81(c) is amended to remove uncertainty about when and whether a party to a removed action must demand a jury trial. Prior to 2007, the rule said no demand was necessary if the state court “does” not require a jury demand to obtain a jury trial. State practice on jury demands varies, and it appears that in at least some state courts no demand need be made, although it is uncertain whether those states actually guarantee a jury trial unless the parties affirmatively waive jury trial. In other state courts, a jury demand is required, but only later in the case than the deadline in Rule 38 for demanding a jury trial. A number of states have rules similar to Rule 38, but time limits for making a jury demand differ from the time limit in Rule 38. 4 FEDERAL RULES OF CIVIL PROCEDURE 57 58 59 60 61 62 63 64 65 66 67 68 This amendment is designed to remove uncertainty about whether and when a jury demand must be made after removal. It explicitly preserves the right to jury trial of a party that expressly demanded a jury trial before removal. But otherwise it makes clear that Rule 38 applies to removed cases. If all pleadings have been served at the time of removal, the demand must be made by the removing party within 14 days of the date on which it filed its notice of removal, and by any other party within 14 days of the date on which it was served with a notice of removal. If further pleadings are required, Rule 38(b)(1) applies to the removed case. 69 70 71 72 73 When no demand has been made either before removal or in compliance with Rule 38(b), the court has discretion under Rule 39(b), on motion, to order a jury trial on any issue for which a jury trial might have been demanded. 74 75 76 77 78 79 The amendment removes the prior exemption from the jury demand requirement in cases removed from state courts in which an express demand for a jury trial is not required. Courts no longer have to order parties to cases removed from such state courts to make a jury demand; the rule so requires. Excerpt from the May 15, 2025 Report of the Advisory Committee on Criminal Rules COMMITTEE ON RULES OF PRACTICE AND PROCEDURE OF THE JUDICIAL CONFERENCE OF THE UNITED STATES WASHINGTON, D.C. 20544 JOHN D. BATES CHAIR CHAIRS OF ADVISORY COMMITTEES ALLISON H. EID APPELLATE RULES CAROLYN A. DUBAY SECRETARY REBECCA B. CONNELLY BANKRUPTCY RULES ROBIN L. ROSENBERG CIVIL RULES JAMES C. DEVER III CRIMINAL RULES JESSE M. FURMAN EVIDENCE RULES MEMORANDUM TO: Hon. John D. Bates, Chair Committee on Rules of Practice and Procedure FROM: Hon. James C. Dever III, Chair Advisory Committee on Criminal Rules RE: Report of the Advisory Committee on Criminal Rules DATE: May 15, 2025 _____________________________________________________________________________ I. INTRODUCTION The Advisory Committee on Criminal Rules met in Washington, D.C., on April 24, 2025. *** The Advisory Committee has one action item: it unanimously recommends publication of amendments to Rule 17 and the accompanying Committee Note. ***** Excerpt from the May 15, 2025 Report of the Advisory Committee on Criminal Rules II. ACTION ITEM: RULE 17 SUBPOENA AUTHORITY (22-CR-A; 24-CR-J; 25-CRG) The Advisory Committee voted unanimously at its April 2025 meeting to recommend that the Standing Committee approve for publication the proposed amendments to Rule 17 and the accompanying Committee Note. A copy of the proposed amendments is attached to this report. An overview of the proposed amendments follows a recap of their development. A. Developing the Proposed Amendments to Rule 17 and the Committee Note In the spring of 2022, the Advisory Committee received a proposal to amend Rule 17 from the White Collar Crime Committee of the New York City Bar (22-CR-A). The proposal urged revision of the rule to allow subpoenas to third parties for in [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/federal_court_rules%3Aus-national%3A85a9946105296708. Public record. Not legal advice.