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BREADCRUMB

 1. Justice.gov
 2. U.S. Trustee Program
 3. Chapter 11
 4. Retention & Compensation
 5. Fee Guidelines




MENU RETENTION & COMPENSATION

 * Fee Guidelines
 * Retention & Compensation FAQ


FEE GUIDELINES

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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.

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:

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

 

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 36248Links to other
government and non-government sites will typically appear with the “external
link” icon to indicate that you are leaving the Department of Justice website
when you click the link. and at 78 FR 40507Links to other government and
non-government sites will typically appear with the “external link” icon to
indicate that you are leaving the Department of Justice website when you click
the link. (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

[PDF - 345 KB]

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

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.




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