Motion to Retain Noticing, Balloting or Claims Agents

Official Procedure Last Change September 18, 2014

Motion to Retain Noticing, Balloting or Claims Agents

How to file: 

Location of event:   Bankruptcy > Motions, Applications & Briefs > Retain Noticing, Balloting or Claims Agent, Motion to

General Information

  • Unless excused by order of the Court, if the number of scheduled creditors in any Chapter 11 case exceeds 300, the Debtor or trustee in a Chapter 11 case shall propose the retention pursuant to 28 U.S.C. §156(c) of an entity to handle noticing (the “Noticing Agent”), an entity to receive and process claims (the “Claims Agent”), and an entity to process plan ballots (the “Balloting Agent”).
  • One entity may serve in all three capacities, in which case only one motion need be filed which will combine the Motion to Retain for all three agents. However, if the filing party wishes to retain different entities to serve separate functions then a separate motion will have to be filed for each entity.
  • Prior to employment, the proposed Agent shall meet with the Clerk or the Clerk’s designee and agree on terms establishing the interactions between the Agent and the Clerk.
  • The Order authorizing retention of the agent will not be entered until the agent has reached the agreement with the Clerk. That agreement must be filed with the court, either attached to the Motion, attached to the proposed order, or filed separately using the Notice of Submission menu option.
  • The Noticing Agent shall distribute notices as directed by the Court and provide proof of service information to the Debtor. Noticing agents are only responsible for notices that the debtor is required to send. Creditors are required to distribute their own notices.
  • The Claims Agent is responsible for the following: Delivery of claims received by Court, mailing of Proof of Claim forms and Notice of Bar Date, handling of claims, maintenance of the claims register, audits of claims records, transmission of claims register, mailing list, transfer of claims and retention/destruction of documents.
  • The Balloting Agent receives, records and tabulates ballots to later be provided in a declaration showing the results. This agent will also provide for the retention/destruction of said ballots as set forth in the Agreement or Employment Order.
  • Even if a case has less than 300 creditors at case opening, the rules outlined in this procedure apply if the case later comes to have more than 300 creditors, for example, by the addition of more creditors via an Amended Schedule. 

Filing requirements

  • The Motion must be signed by the filing party or their attorney.
  • A separate motion must be filed for each entity being retained, if there is more than one.
  • A copy of the Agreement between Clerk and Agent signed by Agent and Clerk or Clerk's designee should be included along with the Motion or attached to the proposed order.
  • A Certificate of Service must be included.
  • A proposed order must be uploaded, which should either incorporate or reference the Agreement.

Step-by-Step Instructions

1. Log into CM/ECF.

2. Select Bankruptcy > Motions, Applications & Briefs.

3. Enter case number (in the format xx-xxxxx) and click Next.

4. Select Retain Noticing, Balloting or Claims Agent, Motion to from the event list and click Next.

5. Select appropriate radio button to indicate whether or not the Motion you are filing is amended.

6. Check box if jointly filing with another attorney. Click Next.

7. If you indicated that you are filing jointly with other attorney(s), select additional attorney(s) and click Next.

Note: You cannot add attorneys. Only attorneys who have previously entered an appearance will be available for selection.

8. Select the party filer. If the party is not listed, or cannot be selected, view instructions on adding a new party. Click Next.

Note: The "Attorney/Party Association” screen may appear. If your party selection was correct, check the box to create an association and click Next.

9. Browse to attach the document to be filed (pdf file). Click Next.

10. If you indicated in step 5 that you are filing an amended motion, all pending motions on the docket are displayed. Select the motion that is being amended and click Next.

11. Select prefix text, if applicable, and click Next.

Note: The prefix text option is not available if you indicated in Step 5 that the Motion you are filing is amended.

12. Verify final docket text. If correct, click Next to submit.

Note: The Notice of Electronic Filing displays giving you the document number. Copies of this notice are immediately e-mailed to all participants who receive electronic notification in the case.

13. Upload proposed order.

14. If the Agreement between Clerk and Agent was not attached to the Motion, docket using the procedure for Notice of Submission.