Administrative Manual
Section 2: Filing Requirements
2.1 General Filing Requirements
  All pleadings and other papers filed in a case must adhere to the following requirements:
  (a) All petitions must be typewritten.
  (b) All petitions and pleadings including proposed orders must include the name, telephone number, and address of the filer and all parties whose signature is represented on the document aligned with the left side of the page.
  (c) All petitions and pleadings must comply with Fed.R.Bankr.P. 9037 regarding privacy protection for filings made with the Court.
  (d) All petitions, statements of affairs and schedules must:
    (1) be filed within fourteen (14) days of their execution; or
    (2) a properly executed amendment must be filed indicating the changes - if any - that have occurred between the date of execution and the date of filing.
  (e) An original of the petition, lists, schedules and statements under the selected chapter of the Bankruptcy Code must be filed.
  (f) A matrix of creditors in the form prescribed by the Clerk must be filed.
  (g) All motions, pleadings, proofs of claim and other related matters shall be presented for filing on one-sided pages using white, opaque paper of good quality, 8 1/2 x 11 inches in size.  Documents should be presented for filing on flat, unfolded paper which is firmly bound at the top by paper clip - not staples.  Copies to be returned may be bound with staples.
  (h) All motions must state the grounds for the relief requested and must include a separate proposed order with sufficient space to accommodate the Judges signature.
  (i) The Clerk's office has developed a Quick Reference Guide for attorneys which lists pleadings that have additional filing requirements located in Section 7 of this manual.  This chart also lists the ECF category and specific event to use when docketing the pleading and explains the specific procedures that the Court will take when that document is filed.
  (j) Filing fees for documents and new bankruptcy cases are due immediately upon filing unless otherwise ordered by the Court. Failure to pay fees for electronically-filed documents within 24 hours of filing may result in suspension of the filer’s account, dismissal of the bankruptcy case, and/or the entry of an Order striking the document for which the fee has not been paid.
  (k) The Court requires a minimum payment of $75.00 upon the filing of any petition unless the debtor has submitted an application for in forma pauperis status. The remaining filing fee may be paid in installments if an application to pay in installments is filed. Failure to pay any portion of the required fee in a timely fashion will result in dismissal of the case.
  (l) In Chapter 11 cases, applications for compensation filed by attorneys and their firms must include professional biographies for all professionals requesting payment.
    (1) Chapter 13 cases: An Affidavit of Necessity will be required for confirmation in any case in which the debtor's monthly telecommunication expense (telephone, cell phone, internet, satellite and cable services) equals or exceeds 5% of net income.  This Affidavit should be docketed separately no less than 7 days prior to the scheduled 341 meeting.
    (2) Chapter 7 cases: Should any portion of the legal fees for debtor’s counsel remain unpaid at the petition date, debtor’s counsel and the debtor(s) must sign and file a statement with the Court within fourteen (14) days of the petition acknowledging that counsel has advised debtor(s) that unpaid prepetition legal fees are unsecured claims against the debtor’s estate, that debtor’s counsel is prohibited by 11 U.S.C.  §362 and 11 U.S.C. §524 from requesting, in any manner, payment of said unpaid prepetition legal fees, and debtor’s counsel may only accept debtor’s voluntary payment after entry of discharge. Failure to timely file said statement will result in the Court requiring debtor’s counsel and debtor(s) to appear at a hearing to show cause why the case should not be dismissed.  This statement is required irrespective of any third-party payment arrangement.
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2.2 Dissemination of the Chapter 13 Plan
(a) The attorney for the debtor must mail copies of the plan to all scheduled creditors.
  (b) Copies of the plan must be mailed no later than fourteen (14) days after the case is filed.
  (c) The attorney for the debtor must certify to the Court that the plan has been mailed within seven (7) days of the mailing.
  (d) Debtor's counsel must include with or on the plan a statement that substantially conforms to the following:
      "The above-named debtor(s) has/have filed a Chapter 13
petition in the U.S. Bankruptcy Court for the Western District of
Kentucky.  If you have not received notice of the filing, you will
receive notice within a few days."
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2.3 Exhibits
  Unless otherwise ordered by the Court, all exhibits must be filed electronically.
  (a) Uniform Designation
    Proposed exhibits, including those appended to requests for admission, interrogatories and depositions, as well as those to be utilized during trial, or hearing, shall be uniformly identified during all phases of the case.
  (b) Method of Designation
    All trial exhibits must be marked as follows:
    (1) Joint exhibits shall be marked "JX" and numbered;
    (2) Plaintiff's exhibits shall be marked "PX" and numbered;
    (3) Defendant's exhibits shall be marked "DX" and numbered;
    (4) Third-party exhibits shall be marked "TPX" and numbered.
    (5) For proceedings involving multiple plaintiffs or multiple defendants - the identification of each exhibit must include:
      (A) the surname of the individual plaintiff or defendant; or
      (B) the corporate name of the plaintiff or defendant.
  (c) Advance Marking
    All exhibits must be marked for identification purposes prior to trial or hearing.  Blank labels are available upon request from the Clerk.
  (d) List of Exhibits
    Each party must tender to the Court at least fourteen (14) days before a trial of an adversary proceeding or other evidentiary hearing a list of all exhibits the party intends to utilize at trial.  The list must include the pre-marked number and a short description of the exhibit.
  (e) Required Copies
    Three copies of each document or written exhibit to be tendered during trial or hearing must be filed with the Clerk’s office at least seven (7) days before the trial or evidentiary hearing. These copies are in addition to the original exhibits that should be filed in the Court’s electronic filing system. Required copies should be clearly marked as a "Copy" and should indicate the document number(s) which correspond(s) to the electronic version of the document on the Court’s docket sheet.
  (f) Disposition of Exhibits (including exhibits to Depositions)
    If any exhibits remain in the custody of the Clerk within three (3) months after the entry of a final order or following a mandate from the Court of Appeals, the Clerk will direct counsel of record to retrieve all exhibits filed.  If the exhibits are not claimed within two weeks after notice to counsel of record to retrieve all exhibits filed by them, the Clerk may destroy those exhibits.
  (g) Exhibits Filed in Court Hearings
    Any exhibit introduced in Court that could not be filed electronically prior to the hearing should be filed electronically immediately upon conclusion of the hearing. These exhibits will not be docketed by Court staff unless specifically directed by the Judge.
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2.4 Adversary Proceedings
  (a) Adversary Proceeding Cover Sheet
    If a complaint is not electronically filed, then an Adversary Proceeding Cover Sheet, (Form B1040), must be completed and filed with each complaint.  Notwithstanding the instructions contained on the cover sheet, more than one block may be checked specifying the nature of the suit.
  (b) Service of Complaint, Scheduling Order and Summons
    If a complaint is not electronically filed, the Clerk will issue a copy of the summons and scheduling order to the plaintiff's attorney for service by mail.  A copy of the complaint and scheduling order shall be served with the summons within seven (7) days from the date of issue.
  (c) Caption of the Complaint
    The caption of all complaints must indicate the nature of the suit.  Complaints objecting to the discharge of the debtor shall bear the specific caption "Complaint Objecting to Discharge."

Entry of Default by the Clerk - Fed. R. Bank. P. 7055(a)


The entry of default by the Clerk precedes the issuance of a default judgment.  Default is essentially a notation on the docket that the defendant has failed to plead or defend in a case as required by law.  The Clerk is permitted to enter a default only upon being presented with an affidavit or affirmation setting forth the following facts:

    (1) date of issuance of the summons;
    (2) statement of whether the court fixed a deadline for the filing of an answer or motion, or whether the 30 (or 35) day limit applies;
    (3) date of service of the complaint;
    (4) date of filing of affidavit of service;
    (5) statement that no answer or motion has been received within the time limit fixed by the court or by Fed. R. Bank. P. 7012(a);
    (6) statement that the defendant is not in the military service, as required by 50 U.S.C. app. § 520; and
    (7) statement that the defendant is not an infant or incompetent person, as required by Fed. R. Civ. P. 55(b)(1).

Default Judgment Entered by the Clerk - Fed. R. Bank. P. 7055(b)(1)


Once a default has been entered, the plaintiff may seek a default judgment.  The Clerk is required to enter a judgment by default on request of the plaintiff, and upon affidavit of the amount due, if the conditions of Fed. R. Civ. P. 55(b)(1) are met.  The conditions in Fed. R. Civ. P. 55(b)(1) are that the:

    (1) Plaintiff's claim is for a sum certain, or for a sum which can be made certain by computation;
    (2) Defendant is in default for failure to appear (an Entry of Default has been entered by the Clerk in the case); and
    (3) Defendant is not an infant or incompetent person, nor in the military service. 50 U.S.C. app. § 520

A sum certain under the rule means an amount that can be fixed by simple calculation or that can be set by documentation, such as an invoice or contract.  It does not refer to a mere claim by a party for a specific amount, such as a multi-million dollar claim for damages.


Default Judgment Entered by the Court - Fed. R. Bank. P. 7055(b)(2)


In circumstances other than those specified in Fed. R. Civ. P. 55(b)(1), including when a defendant who served an answer or motion fails to appear at a court hearing, Fed. R. Civ. P. 55(b)(2) requires that the default judgment must be entered by a Judge by filing a motion and tendered order subject to the following provisions:

    (1) No judgment by default may be entered against an infant or incompetent person unless that person is represented in the action by a general guardian, committee, conservator, or other such representative;
    (2) No judgment by default may be entered unless the plaintiff files an affidavit that the defendant is not in military service as required by 50 U.S.C. app. § 520;
    (3) If the party against whom a default judgment is sought, or the party's representative has appeared in the action, the party or the party's representative must be given written notice at least three days prior to the hearing on the motion; and
    (4) If the court finds it necessary to investigate any matter, to determine the amount of damages, or to establish the truth of any averment, the court may conduct any hearings as it deems necessary and proper.

Entry of Default by the Clerk (as described in Section 2.4(d) above) is not required in order for a party to file a motion for default judgment to be entered by the Court.

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2.5 Release of Unclaimed Funds
  All unclaimed funds paid into the Court pursuant to 11 U.S.C. § 347(a) are deposited into the United States Treasury. The release of these funds requires the following:
  (a) Motion to Withdraw and Disburse Funds
    The claimant/filer must submit a Motion to Disburse Unclaimed Monies, Local Form K and a proposed order to the Clerk which includes:
    (1) Creditor Information
      The name, address, telephone number and a brief history of the creditor, who originally filed the proof of claim. In the history, include information from the time of filing of the claim to the present, and state the reason the funds were not deliverable at the time of the original distribution;
    (2) Assignment of the Claim Information
      Whether the claim has been assigned to the claimant/filer, and, if so, attach copies of all documents of the assignment; and
    (3) Other Interests in the Funds
      Whether or not the claimant/filer believes that any other party may be entitled to the funds; identify the party and state the reason for the other interest.
  (b) Service
    Serve the motion, including a certificate of service, upon the U.S. Attorney at the following address:
      Office of the U. S. Attorney
Western District of Kentucky
717 West Broadway
Louisville, KY 40202
  (c) Proof of Identification
    Prove the claimant’s identity through at least one of the following methods:
    (1) If the claimant appears in person provide a birth certificate, unexpired passport, valid driver's license, or original social security card.
    (2) If the claimant does not appear in person attach to the motion an affidavit with the certificate and seal of a notary public who has examined the documents presented by the claimant/filer to establish identity. Copies of those documents used to establish identity such as a birth certificate, unexpired passport, valid driver's license, or original social security card may be attached to the affidavit. In order to safeguard personal identifiers, the Clerk may seal from the record any supporting documentation to establish identity.
    (3) A corporate representative appearing for the corporation must attach to the motion an affidavit of the Chief Executive Officer that such representative is a duly authorized representative of the corporation. If the creditor/claimant is a successor corporation, documents establishing the chain of ownership of the original corporate claimant must be provided as proof of entitlement to the unclaimed funds. If applicable, proof of sale of the company, new and prior owners, and a copy of the terms of any purchase agreement or stipulation by prior and new owners of right of ownership to the unclaimed funds must be provided. Copies of all documents evidencing assignment must be appended to the motion.
    (4) If the claimant is represented by an attorney duly admitted to practice law in this District, the attorney verifies the claimant’s identity.
    (5) A representative of a deceased creditor/claimant shall provide certified copies of all probate documents to substantiate the representative's right to act on behalf of the decedent's estate.
  (d) Additional Proof of Identity/Entitlement to Funds
    Additional proof of identity or proof of entitlement to funds may be requested by the Clerk’s office or Court.
  (e) Payments Jointly Made to Claimant and Attorney
    Any payment made to a claimant represented by an attorney will be issued in the name of the claimant and will be mailed to the attorney in care of the claimant unless otherwise ordered by the Court.
  (f) Corporations May Request Unclaimed Funds Without Local Representation
    For the purpose of filing a request to recover unclaimed funds, a corporation can make the request on a pro se basis.
  (g) Locator Services Must be Represented by Local Counsel
    Unless represented by an attorney duly admitted to practice law in this District, locator services may not file requests for release of unclaimed funds on behalf of creditors.
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2.6 Registry Funds
  (a) Deposit
    The deposit of any money into the registry of the Court shall be directed by Court Order. Negotiable instruments tendered for deposit shall be made payable to "Clerk, U.S. Bankruptcy Court" and are accepted subject to collection. Deposited funds shall be invested by the Clerk in accordance with the terms of the court order which shall include:
    (1) the name, address and telephone number of the person or other entity paying the money into the registry of the Court;
    (2) the sum of money to be invested and date the money is to be paid into the Court;
    (3) directions that the funds be deposited by the Clerk in an interest-bearing account in the registry of the Court pursuant to 28 U.S.C. §2041; and
    (4) directions that the Clerk shall deduct from the income earned on the investment a fee, not exceeding that authorized by the Judicial Conference of the United States and set by the Director of the Administrative Office at 10 percent (10%) of the income earned on the investment, whenever such income becomes available for deduction in the investment so held and without further Court Order.
  (b) Withdrawal
    The withdrawal of funds in the registry of the Court shall be in accordance with a Court Order. Any Order authorizing disbursement from the registry shall include:
    (1) the payee's name;
    (2) address;
    (3) tax I.D. number; and
    (4) the dollar amount to be paid.
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2.7 Sealed Documents
  (a) Prior Approval
    Documents may only be filed under seal with Court approval or after the entry of an Order in the case.
  (b) Sealed Documents Filed Electronically

Unless otherwise ordered, sealed documents must be filed with the Court electronically using the "Sealed Document - Requires Prior Court Order" event located under the Miscellaneous category.



Pro Hac Vice Motions
  U.S. District Court’s Joint Civil Local Rule 83.2 applies including payment of the prescribed fee. The U.S. District Court receipt number is required when docketing this event. Please contact the District Court at (502) 625-3500 for information regarding the payment of this fee.


Attorney Quick Reference Guide
  The Clerk's office has developed a Quick Reference Guide for attorney's which charts any pleading filed with the Court that has additional filing requirements.  This chart also lists the ECF category and specific event to use when docketing the pleading and explains the specific procedures that the Court will take when that document is filed.


Noticing Requirements for Objection to Claim or Motion to Disallow Claim               **Effective 12/1/17**
  Any objection to claim or motion to disallow claim must be accompanied by a separate notice for objections that substantially conforms to Local Form Z: Official Bankruptcy Form 420B.  Both the motion/objection and the notice for objections shall be served on the claimant in accordance with Fed.R.Bank.P. 3007(a)(2) and filed with the Court.  The correct date for objections to be inserted in the notice by the filer is thirty (30) days from the date the pleading is filed with the Court; date must be reflected in the notice as a date certain.
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This page was last edited on 04/20/2020 at 04:58 PM .