Fee Guidelines
Fee Guidelines
| Guidelines: | ||
| Date | Subject | Other Formats |
| June 11, 2013 | Appendix B–Guidelines for Reviewing Applications for Compensation and Reimbursement of Expenses Filed under 11 U.S.C. § 330 for Attorneys in Larger Chapter 11 Cases. | [PDF - 1000 KB] |
| May 17, 1996 | Appendix A–Guidelines for Reviewing Applications for Compensation filed under 11 U.S.C. § 330 in (1) larger chapter 11 cases by those seeking compensation who are not attorneys, (2) all chapter 11 cases below the larger case thresholds, and (3) cases under other chapters of the Bankruptcy Code. | [PDF - 237 KB] |
Appendix B Guidelines Fillable Forms:
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To assist in implementation of the Appendix B Guidelines, the USTP has developed Portable Document Format (PDF) fillable forms for Exhibits A through E. These forms may be downloaded, completed, and submitted with the attorney’s “Application for Compensation and Reimbursement of Expenses.” If you have questions concerning the Appendix B Guidelines Fillable Forms, please contact us by E-mail: USTWeb
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| Effective Date | Subject | Format |
| Instructions for Appendix B Guidelines Forms | [PDF - 103 KB] | |
| November 1, 2013 | Exhibit A - Customary and Comparable Compensation Disclosures With Fee Applications | [PDF/F - 1.68 MB] |
| November 1, 2013 | Exhibit B – Summary of Timekeepers Included in this Fee Application | [PDF/F - 1.27 MB] |
| November 1, 2013 | Exhibit C – Budget and Staffing Plan | [PDF/F - 2.64 MB] |
| November 1, 2013 | Exhibit D – Summary of Compensation Requested by Project Category | [PDF/F - 2.65 MB] |
| November 1, 2013 | Exhibit E – Summary Cover Sheet of Fee Application | [PDF/F - 978 KB] |
Fee Guidelines for Attorneys in Larger Chapter 11 Cases:
Following two public comment periods and a public meeting, the United States Trustee Program (“USTP”) has issued new guidelines for attorney compensation in larger chapter 11 cases. These new Guidelines – formally titled “Appendix B–Guidelines for Reviewing Applications for Compensation and Reimbursement of Expenses Filed Under 11 U.S.C. § 330 for Attorneys in Larger Chapter 11 Cases” – are effective for cases filed on or after November 1, 2013. [See Important Note below.] They are posted in the Federal Register at 78 FR 36248 and at 78 FR 40507 (date correction only) and may be added to the Code of Federal Regulations at a later date.
For purposes of these Guidelines, a larger chapter 11 case is defined as a chapter 11 case with $50 million or more in assets and $50 million or more in liabilities, aggregated for jointly administered cases and excluding single asset real estate cases as defined in 11 U.S.C. § 101(51B).
These new Guidelines are a statement of the USTP’s policy governing its review of attorney fee applications in larger chapter 11 cases. They communicate to professionals and the general public the criteria used by United States Trustees in the review of fee applications, the USTP’s expectations of professionals, and possible bases for USTP objections to the payment of fees and reimbursement of expenses. These Guidelines do not supersede local rules, court orders, or other controlling authority.
The USTP will encourage bankruptcy courts to incorporate the Appendix B Guidelines in their local rules of bankruptcy procedure, as many courts have done with the guidelines that were issued in 1996. USTP attorneys in districts throughout the country will enforce the Guidelines and defend them in bankruptcy courts and through appeals as appropriate.
| Appendix B Guidelines Related Documents: | ||
| Date | Subject | Format |
| November 1, 2013 | One Page Summary of Appendix B Guidelines | [PDF - 79 KB] |
| June 11, 2013 |
Analysis of Comments Received and Summary of Significant Changes in Response to Comments |
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| June 11, 2013 | Frequently Asked Questions | [PDF - 34 KB] |
| June 11, 2013 | Statement of the Director Announcing the Appendix B Guidelines | [PDF - 32 KB] |
| November 8, 2012 | Remarks of the Director at the 2012 Annual Meeting of the National Bankruptcy Conference | [PDF - 57 KB] |
| June 4, 2012 | Transcript of Public Meeting on the United States Trustee Program’s Proposed Fee Guidelines for Attorney Compensation in Larger Chapter 11 Bankruptcy Cases | [PDF - 1.55 MB] |
| November 10, 2011 | Remarks of the Director at the 2011 Annual Meeting of the National Bankruptcy Conference | [PDF - 68 KB] |
Because the Appendix B Guidelines constitute procedural guidelines, they were not subject to the formal notice and comment provisions of the Administrative Procedure Act. Nonetheless, to engage the bankruptcy community before finalizing the Appendix B Guidelines, the USTP did extensive outreach to various bankruptcy judges and the National Bankruptcy Conference, posted an initial and then second draft of the Appendix B Guidelines on its Web site for public comment, and conducted a public meeting. Copies of all comments received during the comment periods are available for review at the following link:
Public Comments on Proposed Appendix B Fee Guidelines for Attorneys in Larger Chapter 11 Cases
Important Notice
In 1996, in accordance with 28 U.S.C. § 586, the USTP promulgated Guidelines for Reviewing Applications for Compensation and Reimbursement of Expenses filed under 11 U.S.C. § 330 (“1996 guidelines”). 28 C.F.R. Part 58, Appendix A. The USTP is revising the 1996 guidelines in phases. The new Appendix B Guidelines, which are effective for cases filed on or after November 1, 2013, apply only to attorney compensation in larger chapter 11 cases. Until the USTP adopts other superseding guidelines, the 1996 guidelines will continue in effect for the review of applications filed under section 330 in (1) larger chapter 11 cases by those seeking compensation who are not attorneys, (2) all chapter 11 cases below the larger case threshold, and (3) cases under other chapters of the Bankruptcy Code.
Privacy Act Statement
28 U.S.C. § 586(a)(3)(A) authorizes the collection of this information. The United States Trustee will use this information contained in the Appendix B Guidelines Fillable Forms to evaluate whether compensation and reimbursement of expenses filed by attorneys in larger chapter 11 cases – those cases with $50 million or more in assets and $50 million or more in liabilities – are appropriate and reasonable pursuant to 11 U.S.C. § 330. Disclosure of this information may be to a bankruptcy trustee or examiner when the information is needed to perform the trustee’s or examiner’s duties, or to the appropriate federal, state, local, regulatory, tribal, or foreign law enforcement agency when the information indicates a violation or potential violation of law. Other disclosures may be made for routine purposes. For a discussion of the types of routine disclosures that may be made, you may consult the Executive Office for United States Trustee’s systems of records notice, UST-001, “Bankruptcy Case Files and Associated Records.” See 71 Fed. Reg. 59,818 et seq. (Oct. 11, 2006). A copy of the notice may be obtained at the following link: https://www.gpo.gov/fdsys/pkg/FR-2006-10-11/pdf/E6-16814.pdf.
Failure to provide this information could result in an objection to your fee application, or other action by the United States Trustee. 11 U.S.C. § 330.