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Rule 9001-1. Definitions
In addition to the definitions and rules of construction in §§ 101, 102 and 1101 of the Bankruptcy Code and Federal Rule of Bankruptcy Procedure 9001 and 9002, the following words used in these rules have the meanings indicated:
(1) "Affidavit" includes a verified motion and a statement endorsed with an unsworn declaration.
(2) "Application," other than an application under Federal Rule of Bankruptcy Procedure 2014 or 2016, means written request for an order which is made without scheduling a hearing and with limited or no notice.
(3) "Court" means bankruptcy court unless a district judge is acting in a case or proceeding.
(4) "Deliver" means physical delivery or actual receipt by either facsimile transmission mail (as that term is defined in Rule 9001 of the Federal Rules of Bankruptcy Procedure), or electronic mail within the time period specified for delivery.
(5) “Electronic Case Filing System” means the process made available by the Court for electronic submission of documents.
(6) “Filing User” means a registered user of the Electronic Case Filing System.
(7) "Hour" includes every hour whether the clerk's office is open or not.
(8) "Judge" means bankruptcy judge unless a district judge is acting in a case or proceeding.
(9) "Motion" means written request for an order which cannot be obtained by application.
(10) "Proof of service" means proof of actual receipt, or an affidavit of service referred to in Fed. R. Civ. P. 4(l), or an unsworn certificate of service that conforms substantially to Local Form 9001-1.
(11) "Serve" means either to deliver as defined by Local Rule 9001-1(4) or to serve by mail.
(12) "Unsworn declaration" means unsworn statement that complies substantially with 28 U.S.C. §1746 and which is endorsed on a document.
(13) "Verified" or "verification" means affidavit or unsworn declaration, affixed to or endorsed on a document, which states in substance that the factual allegations made in the document are true and correct according to the best of the verifier's knowledge, information and belief.
Rule 9004-1. Documents - Requirements of Form
(a) SIZE. All documents presented for filing, except trial exhibits, shall be formatted to print on standard letter-size paper (8-1/2" x 11").
(b) PROOF OF SERVICE. Where service of a document on a non-Filing User is required, proof of service shall be submitted with the document filed, or filed separately by the earlier of two days thereafter or the time of the hearing.
(c) FACSIMILE TRANSMISSION. Documents delivered by facsimile transmission directly to the clerk shall not be accepted for filing.
(d) VERIFICATIONS. A verification shall not be accepted for filing unless it bears a signature, including an electronic signature where allowed by Local Rule 9011-4.
(e) SCANNING OF DOCUMENTS.
(1) A document that is scanned shall not be submitted for filing, except only the signature page of the Notice of Responsibilities, a document requiring a signature other than the signature of the attorney or the attorney's staff, or an exhibit.
(2) All documents created on the attorney's computer should be printed directly to portable document format (PDF).
(3) All documents created using petition preparation software should be printed directly to PDF using the PDF function in the software.
(4) The repeated filing of scanned documents, other than those listed in Local Rule 9013-2(e)(1), will be referred to the judge assigned to the case in which the scanned documents are improperly filed and may result in issuance of an order to show cause or sanctions.
Rule 9006-1. Time Periods For Service and Filing
(a) SERVICE THROUGH ELECTRONIC CASE FILING SYSTEM. The "Notice of Electronic Filing" that is automatically generated by the court's Electronic Case Filing System constitutes service or notice of the filed document on Filing Users. Parties who are not Filing Users must be provided notice or service of any pleading or other document electronically filed in accordance with the Federal Rules of Bankruptcy Procedure and the local rules. A certificate of service must be electronically filed, indicating how service was accomplished on any party or counsel who is not a Filing User.
(b) MOVING DOCUMENTS. Unless a local rule or Federal Rule of Bankruptcy Procedure requires longer notice, moving documents shall be filed and served by delivery or by mail not later than fourteen days before the hearing date. Moving documents shall be filed within five days after the date and time for a hearing was obtained from the judge's calendar clerk.
(c) RESPONSIVE DOCUMENTS. Any responsive documents shall be filed and served by delivery or by mail not later than five days before the hearing date.
(d) REPLY DOCUMENTS. No reply documents to the responsive documents need be served and filed.
(e) EXPEDITED RELIEF. If expedited relief is necessary, the moving party shall obtain a hearing date on shorter notice from the judge's calendar clerk and shall include a request for expedited hearing in the motion. The judge will rule on the request for expedited hearing when the motion is heard. The party seeking expedited relief shall take all reasonable steps to provide all parties with the most expeditious service and notice possible and shall file an affidavit specifying the efforts made.
Rule 9010-3. Attorneys
(a) ADMISSION. The bar of this court consists of those attorneys admitted to practice before the United States District Court for this district. No person, unless duly admitted to practice in that court, shall be permitted to appear and participate in the trial of any action or the hearing of any motion except in that person's own behalf or as provided in paragraphs (b), (c) and (d).
(b) GOVERNMENT ATTORNEYS. Attorneys not admitted in the district court for this district but admitted in another United States District Court may appear representing the United States of America or any officer or agency thereof.
(c) OTHER ATTORNEYS. Except as provided in paragraph (b) and (d), attorneys not admitted to practice in the district court may appear or file documents, other than proofs of claim, only after being admitted pro hac vice pursuant to Local Rule 83.5 of the district court.
(d) LAW STUDENTS. A law student who represents a client in connection with a matter in this court and the attorney supervising the law student shall comply with the following requirements:
(1) The law student must be supervised by a member of this court’s bar. The supervisor must:
A. verify that the law student meets the requirements of Local Rule 83.8(b) of the district court;
B. complete the Student Practice Certification and Notice of Appearance of Student Attorney form and file it with the Clerk;
C. file a copy of the Student Practice Certification and Notice of Appearance of Student Attorney form in any case in which the law student appears;
D. assume full responsibility for the law student’s work;
E. accompany the law student to, and be prepared to assist the law student at, every court appearance; and
F. appear as an attorney of record in the same case in which the law student appears.
(2) The law student must be enrolled in a law school accredited by the American Bar Association.
(3) The law student must have completed the equivalent of at least two semester of full-time study.
(4) The law student must:
A. be enrolled for credit in a law school-supervised program and the law student’s work must be under the supervision of that program; or
B. be a paid or unpaid intern representing any state, local or other governmental unit or agency.
(5) The law student must not accept compensation in connection with the matter, except that a paid intern may receive compensation from his or her employer. The law school-supervised program in which the law student is enrolled may accept compensation other than from a client.
A completed Student Practice Certification and Notice of Appearance of Student Attorney form is effective for 12 months after the date it is filed with the clerk, unless revoked by the chief judge at any time by written notice to the supervising attorney and the law student.
(e) FORMER LAW CLERKS. An attorney who has served as a law clerk to a judge, for a period of one year after termination from service as a law clerk, shall not: 1) appear before that judge; 2) allow that attorney's name to appear on any pleading or memorandum filed in connection with any case or adversary proceeding assigned to that judge; or 3) allow that attorney's name to appear on any petition filed with the court unless that attorney is a sole practitioner.
(f) FORMER JUDGES. An attorney who has served as a judge of the court, for a period of one year after termination from service as a judge, shall not: 1) appear before the court; 2) allow that attorney's name to appear on any pleading or memorandum; or 3) allow that attorney's name to appear on any petition.
(g) SUBSTITUTION; WITHDRAWAL.
(1) Substitution. If a party in an adversary proceeding or a debtor in a chapter 7 or 13 case wishes to substitute attorneys, the party or debtor shall file a substitution of attorney signed by the client, the original attorney and the substituted attorney. If a client wishes to substitute attorneys and the client's employment of the attorney was subject to approval by the court, the client shall make an application to substitute attorneys and comply with Local Rule 2014-1.
(2) Withdrawal. An attorney in a bankruptcy case whose employment was subject to approval by the court, an attorney for any party in an adversary proceeding, or an attorney for a debtor in a chapter 7 or 13 case who wishes to withdraw without a substitution of attorney shall make a motion for leave to withdraw.
(3) Service. In an adversary proceeding, substitutions, motions and applications shall be served on all parties to the proceeding and in a case on all entities specified in the applicable subparagraph of Local Rule 9013-3(a).
(4) Effect of Failure to Comply. Until a substitution of attorneys is filed or an order is entered allowing the original attorney to withdraw, the original attorney is the client's attorney of record and the original attorney shall represent the attorney's client in bringing and defending all matters or proceedings in the bankruptcy case other than adversary proceedings in which the original attorney has not yet made an appearance. Failure to receive advance payment or guarantee of attorney's fees is not grounds for failure to comply with this subsection.
(h) ELECTRONIC REGISTRATION, NAME CHANGES AND DEACTIVATION.
(1) Registration: Attorneys admitted to the bar of this court (including those admitted pro hac vice and attorneys authorized to represent the United States), United States trustees and their assistants, trustees, and others as the court deems appropriate, may register as Filing Users of the court’s Electronic Case Filing System. Registration is in a form prescribed by the clerk and requires the Filing User’s name, address, telephone number, bar identification number and primary e-mail address at which the Filing User wishes to receive CM/ECF notification. Once registration is completed, the Filing User will receive notification of the Filing User’s user name and password. Filing Users agree to protect the security of their passwords and immediately notify the clerk if they learn that their password has been compromised.
(2) Name Changes. A Filing User may change the name associated with the Filing User’s user name and password only to reflect a legal name change. A Filing User may not change the name associated with the Filing User’s user name and password to that of another person.
(3) Deactivation. A Filing User may deactivate his or her user name and password at any time, upon written notice to the clerk.
Rule 9010-4. Pro Se Cases and Proceedings
An entity which is not an individual may not appear in bankruptcy court unless represented by an attorney authorized to practice under Local Rule 9010-3.
Rule 9011-4. Signatures
(a) GENERALLY. All documents presented for filing shall be signed and include the name, address and telephone number of the signer or the signer's attorney.
(b) ELECTRONIC SIGNATURES - FILING USERS. The user log-in and password required to submit documents to the Electronic Case Filing System serve as the Filing User’s signature on all electronic documents filed with the court. They also serve as a signature for purposes of Fed.R.Bankr. P. 9011, the Federal Rules of Bankruptcy Procedure, the local rules of this court, and for any other purpose for which a signature is required in connection with proceedings before the court. Electronically filed documents must include a signature block setting forth the name, address, telephone number and attorney bar registration number, if applicable, of the Filing User. In addition, the name of the Filing User under whose log-in and password the document is submitted must be preceded by an “/e/” and typed in the space where the signature would otherwise appear. No Filing User or other person may knowingly permit or cause to permit a Filing User’s password to be used by anyone other than an authorized agent of the Filing User.
(c) ELECTRONIC SIGNATURES - EMPLOYEES OF FILING USERS. A document filed in electronic format by a Filing User may contain the signature of a non-attorney employee of that Filing User, or of an agency or firm of which the Filing User is an employee, member or partner, represented by an “/e/” and the name typed in the space where a signature would otherwise appear. The electronic filing of a document with such a signature shall constitute a certification by the Filing User that the employee consented to the use and submission of the employee’s signature in this form, and that the employee had attested under penalty of perjury to the truth of any facts so subscribed.
(d) ELECTRONIC SIGNATURES - DEBTORS. When an original signature of a debtor, authorized individual or joint debtor is required on the (1) petition, schedules and statements; (2) amendment to petition, schedules and statements; (3) chapter 13 plan; or (4) modified chapter 13 plan, the Filing User shall submit either a scanned image of the Form ERS 1 Signature Declaration signed by the debtor(s) or the electronic document with a scanned image of the signature page signed by the debtor(s). The scanning of documents is governed by Local Rule 9004-1(e).
(e) ELECTRONIC SIGNATURES - OTHER DOCUMENTS. Except as otherwise provided above, when an original signature of a non-Filing User is required on a verification, affidavit or other similar document, the Filing User shall submit a scanned image of the signature page of the document signed by the non-Filing User. The scanning of documents is governed by Local Rule 9004-1(e) and the filing of voluminous exhibits is governed by Local Rule 9013-2(e).
(f) ELECTRONIC SIGNATURES - MULTIPLE SIGNATURES. Documents requiring signatures of more than one party must be electronically filed by submitting a document that includes a scanned image of the signature page signed by all necessary parties. Alternatively, the filer may submit the document with the electronic signatures of any parties who authorize the filer to do so, as long as the document contains a provision to that effect.
Rule 9013-1. Motion Practice
Except as otherwise provided, any request for an order shall be made by motion. Motions in a bankruptcy case are governed by Federal Rule of Bankruptcy Procedure 9013 and 9014. Motions in an adversary proceeding are governed by Federal Rule of Bankruptcy Procedure 7005 and 7007.
Rule 9013-2. Motion Documents
(a) MOVING DOCUMENTS. Except as otherwise provided, the party making a motion shall serve and file: 1) a notice of hearing and motion; 2) if facts are at issue, an affidavit or verification of the motion; 3) a separate, concise memorandum of facts and law; 4) a proposed order; and 5) proof of service on those parties not automatically served through the court’s Electronic Case Filing System, as provided in Local Rule 9006-1(a). The notice shall state the date and, if appropriate, the time by which a response must be filed under these rules. The notice shall state that unless a response opposing the motion is timely filed, the court may grant the motion without a hearing. The notice of hearing and motion shall comply substantially with Local Form 9013-2.
(b) RESPONSIVE DOCUMENTS. Any entity opposing a motion and wishing to be heard shall file and serve a response, which shall include a concise memorandum of facts and law and, if facts are at issue, an opposing affidavit. A response may include a request for an order denying the motion or a request for an order imposing costs, fees and expenses, but shall not include a request for any other relief.
(c) NOTICE OF WITNESSES.
(1) If a party filing or responding to a motion anticipates offering oral testimony, the moving or responsive documents shall state the name, address and substance of the testimony of the proposed witness.
(2) No evidence shall be presented at the initial hearing. The court will determine at the initial hearing whether an evidentiary hearing is required.
(3) The proponent of a Chapter 11 or 12 plan shall provide testimony at the confirmation hearing.
(d) AFFIDAVITS; VERIFICATIONS. Affidavits shall be made on personal knowledge, set forth only facts that would be admissible in evidence, and show affirmatively that the affiant or verifier is competent to testify to the matters stated. An attorney shall not verify documents to be filed except with respect to facts of which the attorney has personal knowledge.
(e) EXHIBITS. Filing Users must submit all exhibits or attachments in electronic form. If the exhibits normally attached to a motion or response exceed 50 pages in total, the moving party may provide a summary of the exhibits in the motion or response, or as an exhibit thereto, for purposes of service only. The moving party shall state in the motion or response that the full exhibits and the summary were attached to the original motion or response filed with the clerk and that the moving party will upon request furnish a copy of the full exhibits to any entity.
(f) RELIEF WITHOUT HEARING. If no response opposing a motion is timely filed, the court may, in its discretion, enter an order granting the motion without a hearing.
(g) SEALED DOCUMENTS. A motion to file documents under seal shall be filed electronically through the Electronic Case Filing System. The document(s) the movant seeks to file under seal shall be submitted to the court on diskette or CD-ROM or filed to the “Inbox” filing option of the Electronic Case Filing System and shall remain sealed until further order of the court.
(h) WAIVER OF DISCHARGE. Motions seeking an order approving the waiver of discharge pursuant to Section 727(a)(10) shall comply only with paragraph (a) (1), (4), and (5) of Local Rule 9013-2. The motion shall be served upon 1) the debtor; 2) the attorney for the debtor; 3) the trustee; 4) the United States Trustee; and 5) each entity that has filed a request for notice or notice of appearance under Federal Rule of Bankruptcy Procedure 2002(i) or 9010(b).
Rule 9013-3. Entities Served in Bankruptcy Cases
(a) MOVING DOCUMENTS.
(1) Chapter 7, 12 and 13 Cases. Except as provided in Local Rules 2002-1, 3007-1, and 3019-2 moving documents in a chapter 7, 12 or 13 case shall be served on: 1) the debtor; 2) the attorney for the debtor; 3) the trustee; 4) the United States Trustee; 5) each entity that has filed a request for notice or notice of appearance under Federal Rule of Bankruptcy Procedure 2002(i) or 9010(b); 6) each entity claiming a lien or other interest in property if any property is involved; 7) each entity against whom relief is sought; (8) in a chapter 7 case, each member of the committee of creditors, if any; and (9) in a chapter 12 case, the United States Attorney for the District of Minnesota.
(2) Chapter 11 Cases. Unless on application the court for cause orders either expanded or restricted service and except as provided in Local Rules 2002-1(b), 3007-1, and 3019-2, moving documents in a chapter 11 case shall be served on: 1) the debtor; 2) the attorney for the debtor; 3) the trustee or examiner; 4) the United States Trustee; 5) all committees; 6) the ten largest unsecured creditors if no committee of creditors holding unsecured claims has been appointed; 7) each major secured creditor; 8) the District Counsel of the Internal Revenue Service; 9) the District Director of the Internal Revenue Service; 10) the Collection Division of the Minnesota Department of Revenue; 11) the United States Attorney for the District of Minnesota; 12) each creditor that is a governmental unit; 13) each entity that has filed a request for notice or notice of appearance under Federal Rule of Bankruptcy Procedure 2002(i) or 9010(b); 14) each entity claiming a lien or other interest in property if any property is involved; and 15) each entity against whom relief is sought.
(3) Health Care Business. In addition to the entities required to be served under paragraphs (1) and (2) of this rule, moving documents seeking a determination that the appointment of a patient care ombudsman is not necessary for the protection of patients shall be served on each entity that issues licenses to or regulates the debtor or the debtor’s principal.
(b) RESPONSIVE DOCUMENTS. Unless ordered otherwise, responsive documents shall be served on: 1) the moving party; 2) the attorney for the debtor; 3) the trustee or examiner; 4) the attorneys for all committees; and 5) the United States Trustee.
Rule 9013-4. Applications
(a) EMPLOYMENT OF PROFESSIONAL PERSONS. An application for employment of a professional person is governed by Local Rule 2014-1.
(b) COMPENSATION OF PROFESSIONAL PERSONS. An application for allowance or authorization for payment of compensation of a professional person is governed by Local Rule 2016-1.
(c) OTHER APPLICATIONS. All other applications shall comply with paragraphs (a), (d) and (e) of Local Rule 9013-2 except that no notice of hearing is required. Responses to applications shall comply with paragraph (b) of Local Rule 9013-2. Except as otherwise provided, the applicant shall serve the application on the attorney for the debtor, the trustee or examiner, and the United States Trustee. Before ruling on the application, the court may require that a motion be made, that a hearing be held or that additional persons be served.
Rule 9013-5. Trustees' Motions and Objections
Except where a serious contest is anticipated, the trustee in a chapter 7 or 13 case need not file a separate memorandum for a motion to dismiss, for turnover or sale of property, or for approval of a compromise or settlement, or in connection with an objection to a claim of exemption or a proof of claim.
Rule 9015-1. [ABROGATED]
Rule 9017-1. Hearings
The court may hear and determine a motion without oral testimony, allow further affidavits to be filed, permit oral testimony or order an evidentiary hearing.
Rule 9019-1. Settlement, Agreed Orders, and Stipulated Relief
(a) GENERALLY. Local Rule 6004-1 applies generally to settlements, except that the trustee in a chapter 7 case may apply for approval of settlement under the limited notice of Local Rule 6004-1(b)(1) regardless of the settlement's value to the estate.
(b) LIMITED NOTICE - FORM OF PRESENTATION TO COURT. Where limited notice of a settlement or compromise is permitted pursuant to Local Rule 6004-1(b)(1), the settlement or compromise may be approved on application with proposed order under Local Rule 9013-4 and the application may be combined with the notice.
(c) ADVERSARY PROCEEDING SETTLEMENT AFFECTING ESTATE. If Federal Rule of Bankruptcy Procedure 9019 applies to the compromise or settlement of an adversary proceeding, a request for approval of the proposed compromise or settlement shall be made by motion in the bankruptcy case.
(d) STIPULATED RELIEF. If notice to all creditors is not required, the court may order appropriate relief without notice or a hearing if a stipulation is filed which is signed by each entity that would have received notice of the hearing.
Rule 9019-2. Mediation
The court may refer any adversary proceeding or contested matter for mediation by any other federal judge or any mediator chosen by the parties.
Rule 9021-1. Judgments and Orders - Entry of
(a) GENERALLY. All orders, decrees, judgments, and proceedings of the court will be filed in accordance with these rules, which will constitute entry on the docket kept by the clerk under Fed.R. Bankr.P. 5003 and 9021. All signed orders will be filed electronically by the court or court personnel. Any order or other court-issued document filed electronically without the original signature of a judge or clerk has the same force and effect as if the judge or clerk had signed a paper copy of the order and it had been entered on the docket in a conventional manner. Orders may also be issued as “text-only” entries on the docket, without an attached document.
(b) FILING AND ENTRY OF JUDGMENTS IN ADVERSARY PROCEEDINGS. Unless dismissed, every adversary proceeding shall be concluded by a separate judgment set forth and entered by the clerk. Immediately upon entry of a judgment to deny or revoke a discharge, to revoke the confirmation of a plan or to subordinate a claim, the clerk shall enter the judgment in the docket of the case. Where appropriate, the clerk shall also prepare and transmit a separate notice pursuant to Local Rule 2002-4(b) twenty-eight days after entry of the judgment, unless the court orders otherwise.
Rule 9022-1. Notice of Court Orders and Judgments
Immediately upon the entry of an order or judgment, the clerk will transmit to Filing Users in the case, in electronic form, a Notice of Electronic Filing. Electronic transmission of the Notice of Electronic Filing constitutes the notice required by Fed.R.Bankr.P. 9022. The clerk must give notice to a person who has not consented to electronic service in paper form in accordance with the Federal Rules of Bankruptcy Procedure.
Rule 9029-1. Rules - General
(a) SCOPE. These rules and forms govern practice and procedure in bankruptcy cases and proceedings in the District of Minnesota. All previous local rules are superseded except to the extent that in the opinion of the court the application of one of these rules in a matter pending when these rules or amendments were promulgated would not be feasible or would work injustice.
(b) SUSPENSION. In the interest of expediting a decision or for other good cause, the court may suspend the requirements or provisions of any local rule and may order proceedings in accordance with its direction.
(c) FORMS. The local forms prescribed by these local rules shall be observed and used with such alterations as may be appropriate unless a local rule requires exact conformity. The clerk, with approval of the judges, may issue additional forms for use under these rules.
(d) CITATION. These rules or amendments may be cited as Local Rule ____ and these forms as Local Form ____.
Rule 9029-4. Rules - Adoption and Amendment
Pursuant to and subject to the provisions of Federal Rule of Bankruptcy Procedure 9029, the bankruptcy judges are authorized to adopt or amend any local rule, except they may not amend any local rule which relates to referral, Bankruptcy Court authority or appeals and they may not adopt or amend any local rule in a manner inconsistent with any local rule which relates to referral, Bankruptcy Court authority or appeals.
NOTE: This rule is promulgated by the district court.
Rule 9033-1. Findings and Conclusions in Non-Core Proceedings
If proposed findings of fact and conclusions of law are filed under Federal Rule of Bankruptcy Procedure 9033 and the time to file an objection has expired, the clerk shall transmit appropriate copies of all relevant documents, including briefs or memoranda if any, to the clerk of district court, who shall file and treat the documents as a civil action and deliver the documents to a district judge for disposition.
NOTE: This rule is promulgated by the district court.
Rule 9070-1. Exhibits
Upon the closing of a case or adversary proceeding, the clerk may require the attorneys of record to remove exhibits, depositions or briefs contained in the files within 14 days after written notice. The clerk may destroy or otherwise dispose of such exhibits, depositions or briefs if they are not removed in the time specified.