OFFICIAL 2017 - Connecticut

OFFICIAL

2017

CONNECTICUT PRACTICE BOOK

(Revision of 1998)

CONTAINING

RULES OF PROFESSIONAL CONDUCT

CODE OF JUDICIAL CONDUCT

RULES FOR THE SUPERIOR COURT

RULES OF APPELLATE PROCEDURE

APPENDIX OF FORMS

INDEX OF OFFICIAL JUDICIAL BRANCH FORMS

Published by

The Commission on Official Legal Publications

Copyrighted by the Secretary of the State of the State of Connecticut

2017 by the Secretary of the State, State of Connecticut


EXPLANATORY NOTES

The Superior Court Rules as organized herein were first published in the Connecticut LawJournal dated July 29, 1997. This 2017 edition of the Practice Book contains amendmentsto the Superior Court Rules, Rules of Appellate Procedure, and Appendix of Forms. Theamendments were published in the Connecticut Law Journals dated June 28, July 12, andNovember 1, 2016.

A parenthetical notation about the origin of each rule is found at the end of every sectionin this volume. The notation (P.B. 1978-1997, Sec. ) indicates the number of the sectionin the 1978-1997 Practice Book corresponding to the current section. Current numbers ofany sections corresponding to the sections in the 1978-1997 Practice Book appear in theReference Tables following the text of the rules. The notation (1998) indicates that the sectionwas new in the 1998 Practice Book, taking effect October 1, 1997. The notation (See P.B.1978-1997, Sec. ) (1998) indicates that the section was modeled on a rule in the 1978-1997 Practice Book but was actually adopted for the first time to take effect October 1, 1997.

There may be significant differences between the rules in this volume and those in the1978-1997 Practice Book on which they were modeled. The temporary numbers assigned tothose rules in the July 29, 1997 Connecticut Law Journal, where they were originally published,appear in the Reference Tables following the text of the rules.

Where a section was adopted or amended after 1997, a parenthetical notation to that effectappears either immediately following the text of the section or following the parentheticalnotation concerning the derivation of the section. Where the title to a section has beenamended, a parenthetical notation appears immediately following the title. The Table ofPractice Book Changes, following the text of the rules, documents the dates on which ruleswere adopted, repealed, amended, or transferred to another section.

Histories describing the nature of amendments and Commentaries indicating the intendedpurpose of new rules or amendments to existing rules are printed following the text of newor amended rules. Histories and Commentaries are included for only those rules that wereadopted or amended to take effect in the year corresponding to the current edition of thePractice Book, with the following exceptions: (1) the Histories and Commentaries to the ruleson sealing of files and closure of the courtroom will be retained on a cumulative basis; (2)the 2014 Commentary to Section 1-10B has been retained; and (3) Commentaries to certainsections of the Rules of Appellate Procedure have been retained. Users wanting to accessthe Histories documenting rule changes and Commentaries to new or amended rules, in agiven year, should not discard the corresponding edition of the Practice Book. For example,Histories and Commentaries corresponding to rule changes to take effect January 1, 2017,will appear only in the 2017 edition of the Practice Book and not in subsequent editions,unless the rule falls into one of the exceptions, listed above.

The Commentaries to the rules of practice are included in this volume for informationalpurposes only. Commentaries to those rules are not adopted by the Judges and Justiceswhen they vote to adopt proposed rule changes. Commentaries to the Rules of ProfessionalConduct and Code of Judicial Conduct are adopted by the Judges and Justices and areprinted in every edition of the Practice Book.

Beginning in 2000, Amendment Notes were incorporated into the Rules of ProfessionalConduct and the Code of Judicial Conduct. Those notes, approved by the Rules Committee

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of the Superior Court to explain the revisions to the Rules of Professional Conduct and Codeof Judicial Conduct, appear only in the edition of the Practice Book corresponding to the yearof the revision and not in subsequent editions.

The system used to number each section is based on the chapter in which the section islocated. Each section has a two part number. The first part of the number designates thechapter, and the second part designates the number of the section within that chapter. (Chapter1 begins with 1-1, chapter 2 with 2-1, etc.) The internal breakdown of individual rules followsthe style of the General Statutes. Subsections are designated by lower case letters in parenthe-ses, (a), (b), subdivisions are designated by numbers in parentheses, (1), (2), and subpara-graphs are designated by upper case letters in parentheses, (A), (B).

The Rules of Appellate Procedure, as well as the Superior Court Rules, were reorganizedin 1998. The reorganization of the Rules of Appellate Procedure was completed subsequentto the publication of the July 29, 1997 Connecticut Law Journal and was published in thisvolume for the first time in 1998. The goal in reorganizing the Rules of Appellate Procedurewas to present them in the order in which an appellant might approach the appeal process,i.e., rules on whether to appeal, how to file, what to do next, when argument will take place,opinions and reargument. Rules on various special proceedings were organized into separatechapters. No substantive changes were made in the course of reorganization, but there wereeditorial changes.

Two versions of certain Rules of Appellate Procedure pertaining to the preparation of theappellate record were published in the 2014, 2015, and 2016 editions of the Practice Book.A parenthetical indicated whether the rule was applicable to appeals filed before July 1, 2013,or applicable to appeals filed on or after July 1, 2013. Only one version of those rules isincluded in this edition, and the parenthetical has been removed. The appellate clerk’s officecan provide guidance regarding appeals filed before July 1, 2013.

In 2002, an Appendix was added following the Index. The Appendix contains certain formsthat previously had been in Volume 2 of the 1978-1997 Practice Book. In 2010, an Index ofOfficial Judicial Branch Forms used in Civil, Family and Juvenile Matters was added to thePractice Book, following the Appendix of Forms. In 2012, the Appendix of Superior CourtStanding Orders, which was added in 2010, was removed. A notice referring the reader tothe Judicial Branch website for access to the Superior Court Standing Orders was substitutedin its place.

Effective January 1, 2003, the rules pertaining to procedure in juvenile matters wereamended and reorganized. The amendments initially were published in the Connecticut LawJournal of July 23, 2002. The July 23, 2002 Connecticut Law Journal gave notice that therules on juvenile matters, which, since 1998, had been found in chapters 26 through 35, hadbeen moved to chapters 26a through 35a. In the Practice Book itself, however, the originalnumbers of the juvenile rules were retained wherever possible.

Every year certain nonsubstantive, technical editorial changes are made to a number ofthe rules. Some, but not all, of these changes are explained in Technical Change notes.

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TABLE OF CONTENTS

Attorney’s Oath . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Rules of Professional Conduct

Preamble. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2Rules and Commentaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Code of Judicial ConductPreamble. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67Canons, Rules and Comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68

Superior Court Rules and Rules of Appellate Procedure

Chapter and Section Headings of the Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82

Superior Court—General Provisions

Chapter 1 Scope of Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102Chapter 2 Attorneys. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112Chapter 3 Appearances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161Chapter 4 Pleadings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167Chapter 5 Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 169Chapter 6 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 171Chapter 7 Clerks; Files and Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173

Superior Court—Procedure in Civil Matters

Chapter 8 Commencement of Action . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179Chapter 9 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183Chapter 10 Pleadings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189Chapter 11 Motions, Requests, Orders of Notice, and Short Calendar . . . . . . . . . . . . . . 202Chapter 12 Transfer of Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211Chapter 13 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212Chapter 14 Dockets, Trial Lists, Pretrials and Assignment Lists . . . . . . . . . . . . . . . . . . 233Chapter 15 Trials in General; Argument by Counsel . . . . . . . . . . . . . . . . . . . . . . . . 240Chapter 16 Jury Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242Chapter 17 Judgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248Chapter 18 Fees and Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260Chapter 19 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 263Chapter 20 Hearings in Chambers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267Chapter 21 Receivers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268Chapter 22 Unemployment Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272Chapter 23 Miscellaneous Remedies and Procedures . . . . . . . . . . . . . . . . . . . . . . . 274Chapter 24 Small Claims . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285

Superior Court—Procedure in Family Matters

Chapter 25 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292

Superior Court—Procedure in Family Support Magistrate Matters

Chapter 25a Family Support Magistrate Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . 313

Superior Court—Procedure in Juvenile Matters

Chapter 26 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322

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Chapter 27 Reception and Processing of Delinquency and Family with Service Needs Com-plaints or Petitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325

Chapter 28 Delinquency and Family with Service Needs Nonjudicial Supervision [Repealed] . 328Chapter 29 Reception and Processing of Delinquency and Child from Family with Service Needs

Petitions and Delinquency Informations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329Chapter 30 Detention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330Chapter 30a Delinquency and Family with Service Needs Hearings. . . . . . . . . . . . . . . . 333Chapter 31 Delinquency and Family with Service Needs Hearing [Repealed] . . . . . . . . . . 336Chapter 31a Delinquency and Family with Service Needs Motions and Applications . . . . . . 337Chapter 32 Neglected, Uncared for and Dependent Children and Termination of Parental Rights

[Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 343Chapter 32a Rights of Parties, Neglected, Abused and Uncared for Children and Termination

of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344Chapter 33 Hearings concerning Neglected, Uncared for and Dependent Children and Termina-

tion of Parental Rights [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347Chapter 33a Petitions for Neglect, Uncared for, Dependency and Termination of Parental Rights:

Initiation of Proceedings, Orders of Temporary Custody and Preliminary Hearings . . . . . 348Chapter 34 Rights of Parties [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 352Chapter 34a Pleadings, Motions and Discovery Neglected, Abused and Uncared for Children

and Termination of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353Chapter 35 General Provisions [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358Chapter 35a Hearings concerning Neglected, Abused and Uncared for Children and Termination

of Parental Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359

Superior Court—Procedure in Criminal Matters

Chapter 36 Procedure Prior to Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 369Chapter 37 Arraignment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 373Chapter 38 Pretrial Release . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 376Chapter 39 Disposition without Trial. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383Chapter 40 Discovery and Depositions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387Chapter 41 Pretrial Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397Chapter 42 Trial Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 401Chapter 43 Sentencing, Judgment, and Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . 413Chapter 44 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422

Rules of Appellate Procedure

Chapter 60 General Provisions Relating to Appellate Rules and Appellate Review . . . . . . . 430Chapter 61 Remedy by Appeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 434Chapter 62 Chief Judge, Appellate Clerk and Docket: General Administrative Matters . . . . . 443Chapter 63 Filing the Appeal; Withdrawals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 448Chapter 64 Procedure concerning Memorandum of Decision . . . . . . . . . . . . . . . . . . . 455Chapter 65 Transfer of Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456Chapter 66 Motions and Other Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 457Chapter 67 Briefs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461Chapter 68 Case File . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 468Chapter 69 Assignment of Cases for Argument . . . . . . . . . . . . . . . . . . . . . . . . . . . 471Chapter 70 Arguments and Media Coverage of Court Proceedings . . . . . . . . . . . . . . . . 473Chapter 71 Appellate Judgments and Opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . 476Chapter 72 Writs of Error. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 478Chapter 73 Reservations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480Chapter 74 Decisions of Judicial Review Council . . . . . . . . . . . . . . . . . . . . . . . . . . 481Chapter 75 Appeals from Council on Probate Judicial Conduct . . . . . . . . . . . . . . . . . . 483Chapter 76 Appeals in Workers’ Compensation Cases . . . . . . . . . . . . . . . . . . . . . . . 484

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Chapter 77 Procedures concerning Court Closure and Sealing Orders or Orders Limiting theDisclosure of Files, Affidavits, Documents or Other Material . . . . . . . . . . . . . . . . . 486

Chapter 78 Review of Grand Jury Record or Finding Order . . . . . . . . . . . . . . . . . . . . 488Chapter 78a Review of Orders concerning Release on Bail . . . . . . . . . . . . . . . . . . . . 489Chapter 79 Appeals in Juvenile Matters [Repealed] . . . . . . . . . . . . . . . . . . . . . . . . . 490Chapter 79a Appeals in Child Protection Matters . . . . . . . . . . . . . . . . . . . . . . . . . . 491Chapter 80 Appeals in Habeas Corpus Proceedings Following Conviction . . . . . . . . . . . . 495Chapter 81 Appeals to Appellate Court by Certification for Review in Accordance with General

Statutes Chapters 124 and 440 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 496Chapter 82 Certified Questions to or from Courts of Other Jurisdictions . . . . . . . . . . . . . 498Chapter 83 Certification Pursuant to General Statutes § 52-265a in Cases of Substantial Public

Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 500Chapter 84 Appeals to Supreme Court by Certification for Review . . . . . . . . . . . . . . . . 501Chapter 84a Matters within Supreme Court’s Original Jurisdiction in which Facts May Be Found 504Chapter 85 Sanctions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505Chapter 86 Rule Changes; Effective Date; Applicability . . . . . . . . . . . . . . . . . . . . . . . 506

Tables and Index

Reference Table 1978-1997 to 1998 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 507Reference Table 1998 to 1978-1997 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 520Table of Practice Book Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531Table of Statutes Noted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 545Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549Appendix: Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 583Index of Official Judicial Branch Forms Used in Civil, Family and Juvenile Matters . . . . . . . 623Superior Court Standing Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 627

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THE ATTORNEY’S OATHYou solemnly swear or solemnly and sincerely affirm, as the case may be, that you will do

nothing dishonest, and will not knowingly allow anything dishonest to be done in court, andthat you will inform the court of any dishonesty of which you have knowledge; that you will notknowingly maintain or assist in maintaining any cause of action that is false or unlawful; thatyou will not obstruct any cause of action for personal gain or malice; but that you will exercisethe office of attorney, in any court in which you may practice, according to the best of yourlearning and judgment, faithfully, to both your client and the court; so help you God or uponpenalty of perjury. (General Statutes § 1-25 and annotations.)

(Amended pursuant to Public Act 02-71 to take effect Oct. 1, 2002.)

RULES OF PROFESSIONAL CONDUCTPreamble

Scope

Rules

Commentaries

Preamble: A Lawyer’s ResponsibilitiesA lawyer, as a member of the legal profession,

is a representative of clients, an officer of thelegal system and a public citizen having specialresponsibility for the quality of justice.

As a representative of clients, a lawyer per-forms various functions. As advisor, a lawyer pro-vides a client with an informed understanding ofthe client’s legal rights and obligations andexplains their practical implications. As advocate,a lawyer zealously asserts the client’s positionunder the rules of the adversary system. As nego-tiator, a lawyer seeks a result advantageous to theclient but consistent with requirements of honestdealing with others. As evaluator, a lawyer exam-ines a client’s legal affairs and reports about themto the client or to others on the client’s behalf.

In addition to these representational functions,a lawyer may serve as a third-party neutral, anonrepresentational role helping the parties toresolve a dispute or other matter. Some of theseRules apply directly to lawyers who are or haveserved as third-party neutrals. See, e.g., Rules1.12 and 2.4. In addition, there are Rules thatapply to lawyers who are not active in the practiceof law or to practicing lawyers even when theyare acting in a nonprofessional capacity. Forexample, a lawyer who commits fraud in the con-duct of a business is subject to discipline forengaging in conduct involving dishonesty, fraud,deceit or misrepresentation. See Rule 8.4.

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In all professional functions a lawyer should becompetent, prompt and diligent. A lawyer shouldmaintain communication with a client concerningthe representation. A lawyer should keep in confi-dence information relating to representation of aclient except so far as disclosure is required orpermitted by the Rules of Professional Conductor other law.

A lawyer’s conduct should conform to therequirements of the law, both in professional ser-vice to clients and in the lawyer’s business andpersonal affairs. A lawyer should use the law’sprocedures only for legitimate purposes and notto harass or intimidate others. A lawyer shoulddemonstrate respect for the legal system and forthose who serve it, including judges, other lawyersand public officials. While it is a lawyer’s duty,when necessary, to challenge the rectitude of offi-cial action, it is also a lawyer’s duty to upholdlegal process.

As a public citizen, a lawyer should seekimprovement of the law, access to the legal sys-tem, the administration of justice and the qualityof service rendered by the legal profession. As amember of a learned profession, a lawyer shouldcultivate knowledge of the law beyond its use forclients, employ that knowledge in reform of thelaw and work to strengthen legal education. Alllawyers should work to ensure equal access toour system of justice for all those who, becauseof economic or social barriers, cannot afford or


secure adequate legal counsel. A lawyer shouldaid the legal profession in pursuing these objec-tives and should help the bar regulate itself in thepublic interest.

Many of a lawyer’s professional responsibilitiesare prescribed in the Rules of Professional Con-duct, as well as substantive and procedural law.However, a lawyer is also guided by personalconscience and the approbation of professionalpeers. A lawyer should strive to attain the highestlevel of skill, to improve the law and the legalprofession and to exemplify the legal profession’sideals of public service.

A lawyer’s responsibilities as a representativeof clients, an officer of the legal system and apublic citizen are usually harmonious. Thus, whenan opposing party is well represented, a lawyercan be a zealous advocate on behalf of a clientand at the same time assume that justice is beingdone. So also, a lawyer can be sure that preserv-ing client confidences ordinarily serves the publicinterest because people are more likely to seeklegal advice, and thereby heed their legal obliga-tions, when they know their communications willbe private.

In the nature of law practice, however, conflict-ing responsibilities are encountered. Virtually alldifficult ethical problems arise from conflictbetween a lawyer’s responsibilities to clients, tothe legal system and to the lawyer’s own interestin remaining an ethical person while earning asatisfactory living. The Rules of Professional Con-duct often prescribe terms for resolving such con-flicts. Within the framework of these Rules,however, many difficult issues of professional dis-cretion can arise. Such issues must be resolvedthrough the exercise of sensitive professional andmoral judgment guided by the basic principlesunderlying the Rules. These principles include thelawyer’s obligation zealously to protect and pur-sue a client’s legitimate interests, within thebounds of the law, while maintaining a profes-sional, courteous and civil attitude toward all per-sons involved in the legal system.

The legal profession is largely self-governing.Although other professions also have beengranted powers of self-government, the legal pro-fession is unique in this respect because of theclose relationship between the profession and theprocesses of government and law enforcement.This connection is manifested in the fact that ulti-mate authority over the legal profession is vestedlargely in the courts.

To the extent that lawyers meet the obligationsof their professional calling, the occasion for gov-ernment regulation is obviated. Self-regulation

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also helps maintain the legal profession’s inde-pendence from government domination. An inde-pendent legal profession is an important force inpreserving government under law, for abuse oflegal authority is more readily challenged by aprofession whose members are not dependent ongovernment for the right to practice.

The legal profession’s relative autonomy car-ries with it special responsibilities of self-govern-ment. The profession has a responsibility toassure that its regulations are conceived in thepublic interest and not in furtherance of parochialor self-interested concerns of the bar. Every law-yer is responsible for observance of the Rules ofProfessional Conduct. A lawyer should also aidin securing their observance by other lawyers.Neglect of these responsibilities compromises theindependence of the profession and the publicinterest which it serves.

Lawyers play a vital role in the preservation ofsociety. The fulfillment of this role requires anunderstanding by lawyers of their relationship toour legal system. The Rules of Professional Con-duct, when properly applied, serve to definethat relationship.

(Amended June 26, 2006, to take effect Jan. 1, 2007.)

Scope

The Rules of Professional Conduct are rules ofreason. They should be interpreted with referenceto the purposes of legal representation and of thelaw itself. Some of the Rules are imperatives, castin the terms ‘‘shall’’ or ‘‘shall not.’’ These defineproper conduct for purposes of professional disci-pline. Others, generally cast in the term ‘‘may,’’are permissive and define areas under the Rulesin which the lawyer has discretion to exercise pro-fessional judgment. No disciplinary action shouldbe taken when the lawyer chooses not to act oracts within the bounds of such discretion. OtherRules define the nature of relationships betweenthe lawyer and others. The Rules are thus partlyobligatory and disciplinary and partly constitutiveand descriptive in that they define a lawyer’s pro-fessional role.

The Rules presuppose a larger legal contextshaping the lawyer’s role. That context includescourt rules and statutes relating to matters of licen-sure, laws defining specific obligations of lawyersand substantive and procedural law in general.Compliance with the Rules, as with all law in anopen society, depends primarily upon under-standing and voluntary compliance, secondarilyupon reinforcement by peer and public opinionand finally, when necessary, upon enforcementthrough disciplinary proceedings. The Rules do


not, however, exhaust the moral and ethical con-siderations that should inform a lawyer, for noworthwhile human activity can be completelydefined by legal rules. The Rules simply providea framework for the ethical practice of law.

Furthermore, for purposes of determining thelawyer’s authority and responsibility, principles ofsubstantive law external to these Rules determinewhether a client-lawyer relationship exists. Mostof the duties flowing from the client-lawyer rela-tionship attach only after the client has requestedthe lawyer to render legal services and the lawyerhas agreed to do so. But there are some duties,such as that of confidentiality under Rule 1.6, thatattach when the lawyer agrees to considerwhether a client-lawyer relationship shall beestablished. See Rule 1.18. Whether a client-law-yer relationship exists for any specific purposecan depend on the circumstances and may be aquestion of fact.

Under various legal provisions, including con-stitutional, statutory and common law, the respon-sibilities of government lawyers may includeauthority concerning legal matters that ordinarilyreposes in the client in private client-lawyer rela-tionships. For example, a lawyer for a governmentagency may have authority on behalf of the gov-ernment to decide upon settlement or whether toappeal from an adverse judgment. Such authorityin various respects is generally vested in the attor-ney general and the state’s attorney in state gov-ernment, and their federal counterparts, and thesame may be true of other government law offi-cers. Also, lawyers under the supervision of theseofficers may be authorized to represent severalgovernment agencies in intragovernmental legalcontroversies in circumstances where a privatelawyer could not represent multiple private clients.They also may have authority to represent the‘‘public interest’’ in circumstances where a privatelawyer would not be authorized to do so. TheseRules do not abrogate any such authority.

Failure to comply with an obligation or prohibi-tion imposed by a Rule is a basis for invoking thedisciplinary process. The Rules presuppose thatdisciplinary assessment of a lawyer’s conduct willbe made on the basis of the facts and circum-stances as they existed at the time of the conductin question and in recognition of the fact that alawyer often has to act upon uncertain or incom-plete evidence of the situation. Moreover, theRules presuppose that whether or not disciplineshould be imposed for a violation, and the severityof a sanction, depend on all the circumstances,such as the wilfulness and seriousness of theviolation, extenuating factors and whether therehave been previous violations.

3


Violation of a Rule should not itself give rise toa cause of action against a lawyer nor should itcreate any presumption that a legal duty has beenbreached. In addition, violation of a Rule doesnot necessarily warrant any other nondisciplinaryremedy, such as disqualification of a lawyer inpending litigation. The Rules are designed to pro-vide guidance to lawyers and to provide a struc-ture for regulating conduct through disciplinaryagencies. They are not designed to be a basisfor civil liability. Furthermore, the purpose of theRules can be subverted when they are invokedby opposing parties as procedural weapons. Thefact that a Rule is a just basis for a lawyer’s self-assessment, or for sanctioning a lawyer under theadministration of a disciplinary authority, does notimply that an antagonist in a collateral proceedingor transaction has standing to seek enforcementof the Rule. Nevertheless, since the Rules doestablish standards of conduct by lawyers, a law-yer’s violation of a Rule may be evidence ofbreach of the applicable standard of conduct.

Moreover, these Rules are not intended to gov-ern or affect judicial application of either the attor-ney-client or work product privilege. Thoseprivileges were developed to promote compliancewith law and fairness in litigation. In reliance onthe attorney-client privilege, clients are entitled toexpect that communications within the scope ofthe privilege will be protected against compelleddisclosure. The attorney-client privilege is that ofthe client and not of the lawyer. The fact that inexceptional situations the lawyer under the Ruleshas a limited discretion to disclose a client confi-dence does not vitiate the proposition that, as ageneral matter, the client has a reasonable expec-tation that information relating to the client willnot be voluntarily disclosed and that disclosure ofsuch information may be judicially compelled onlyin accordance with recognized exceptions to theattorney-client and work product privileges.

The lawyer’s exercise of discretion not to dis-close information under Rule 1.6 should not besubject to reexamination. Permitting such reex-amination would be incompatible with the generalpolicy of promoting compliance with law throughassurances that communications will be protectedagainst disclosure.

The Commentary accompanying each Ruleexplains and illustrates the meaning and purposeof the Rule. The Preamble and this note on Scopeprovide general orientation. The Commentariesare intended as guides to interpretation, but thetext of each Rule is authoritative. Commentariesdo not add obligations to the Rules but provide


guidance for practicing in compliance with theRules. The Commentaries are sometimes usedto alert lawyers to their responsibilities under otherlaw, such as court rules and statutes relating to


Rule Rule

1.0. Terminology

Client-Lawyer Relationships1.1. Competence1.2. Scope of Representation and Allocation of Authority

between Client and Lawyer1.3. Diligence1.4. Communication1.5. Fees1.6. Confidentiality of Information1.7. Conflict of Interest: Current Clients1.8. Conflict of Interest: Prohibited Transactions1.9. Duties to Former Clients1.10. Imputation of Conflicts of Interest: General Rule1.11. Special Conflicts of Interest for Former and Current

Government Officers and Employees1.12. Former Judge, Arbitrator, Mediator or Other Third-

Party Neutral1.13. Organization as Client1.14. Client with Impaired Capacity1.15. Safekeeping Property1.16. Declining or Terminating Representation1.17. Sale of Law Practice1.18. Duties to Prospective Client

Counselor2.1. Advisor2.2. Intermediary [Repealed]2.3. Evaluation for Use by Third Persons2.4. Lawyer Serving as Third-Party Neutral

Advocate3.1. Meritorious Claims and Contentions3.2. Expediting Litigation3.3. Candor toward the Tribunal3.4. Fairness to Opposing Party and Counsel3.5. Impartiality and Decorum3.6. Trial Publicity3.7. Lawyer as Witness3.8. Special Responsibilities of a Prosecutor

Rule 1.0. Terminology(a) ‘‘Belief’’ or ‘‘believes’’ denotes that the per-

son involved actually supposed the fact in ques-tion to be true. A person’s belief may be inferredfrom circumstances.

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matters of licensure, laws defining specific obliga-tions of lawyers and substantive and procedurallaw in general.


3.9. Advocate in Nonadjudicative Proceedings

Transactions with Persons Other than Clients4.1. Truthfulness in Statements to Others4.2. Communication with Person Represented by Counsel4.3. Dealing with Unrepresented Person4.4. Respect for Rights of Third Persons

Law Firms and Associations5.1. Responsibilities of Partners, Managers, and Supervi-

sory Lawyers5.2. Responsibilities of a Subordinate Lawyer5.3. Responsibilities regarding Nonlawyer Assistance5.4. Professional Independence of a Lawyer5.5. Unauthorized Practice of Law5.6. Restrictions on Right to Practice

Public Service6.1. Pro Bono Publico Service6.2. Accepting Appointments6.3. Membership in Legal Services Organization6.4. Law Reform Activities Affecting Client Interests6.5. Nonprofit and Court-Annexed Limited Legal Ser-

vices Programs

Information about Legal Services7.1. Communications concerning a Lawyer’s Services7.2. Advertising7.3. Solicilation of Clients7.4. Communication of Fields of Practice7.4A. Certification as Specialist7.4B. Legal Specialization Screening Committee7.4C. Application by Board or Entity to Certify Lawyers as

Specialists7.5. Firm Names and Letterheads

Maintaining the Integrity of the Profession8.1. Bar Admission and Disciplinary Matters8.2. Judicial and Legal Officials8.3. Reporting Professional Misconduct8.4. Misconduct8.5. Disciplinary Authority; Choice of Law

(b) ‘‘Client’’ or ‘‘person’’ as used in these Rulesincludes an authorized representative unlessotherwise stated.

(c) ‘‘Confirmed in writing,’’ when used in refer-ence to the informed consent of a person, denotes

RULES OF PROFESSIONAL CONDUCT Rule 1.0

informed consent that is given in writing by theperson or a writing that a lawyer promptly trans-mits to the person confirming an oral informedconsent. See subsection (f) for the definition of‘‘informed consent.’’ If it is not feasible to obtainor transmit the writing at the time the person givesinformed consent, then the lawyer must obtain ortransmit it within a reasonable time thereafter.

(d) ‘‘Firm’’ or ‘‘law firm’’ denotes a lawyer orlawyers in a law partnership, professional corpo-ration, sole proprietorship or other associationauthorized to practice law; or lawyers employedin a legal services organization or the legal depart-ment of a corporation or other organization.

(e) ‘‘Fraud’’ or ‘‘fraudulent’’ denotes conductthat is fraudulent under the substantive or proce-dural law of the applicable jurisdiction and has apurpose to deceive.

(f) ‘‘Informed consent’’ denotes the agreementby a person to a proposed course of conduct afterthe lawyer has communicated adequate informa-tion and explanation about the material risks ofand reasonably available alternatives to the pro-posed course of conduct.

(g) ‘‘Knowingly,’’ ‘‘known,’’ or ‘‘knows’’ denotesactual knowledge of the fact in question. A per-son’s knowledge may be inferred from circum-stances.

(h) ‘‘Partner’’ denotes a member of a partner-ship, a shareholder in a law firm organized asa professional corporation, or a member of anassociation authorized to practice law.

(i) ‘‘Reasonable’’ or ‘‘reasonably,’’ when usedin relation to conduct by a lawyer, denotes theconduct of a reasonably prudent and competentlawyer.

(j) ‘‘Reasonable belief’’ or ‘‘reasonably be-lieves,’’ when used in reference to a lawyer,denotes that the lawyer believes the matter inquestion and that the circumstances are such thatthe belief is reasonable.

(k) ‘‘Reasonably should know,’’ when used inreference to a lawyer, denotes that a lawyer ofreasonable prudence and competence wouldascertain the matter in question.

(l) ‘‘Screened’’ denotes the isolation of a lawyerfrom any participation in a matter through thetimely imposition of procedures within a firm thatare reasonably adequate under the circum-stances to protect information that the isolatedlawyer is obligated to protect under these Rulesor other law.

(m) ‘‘Substantial,’’ when used in reference todegree or extent denotes a material matter of clearand weighty importance.

(n) ‘‘Tribunal’’ denotes a court, an arbitrator ina binding arbitration proceeding or a legislative

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body, administrative agency or other body actingin an adjudicative capacity. A legislative body,administrative agency or other body acts in anadjudicative capacity when a neutral official, afterthe presentation of evidence or legal argumentby a party or parties, will render a binding legaljudgment directly affecting a party’s interests in aparticular matter.

(o) ‘‘Writing’’ or ‘‘written’’ denotes a tangible orelectronic record of a communication or represen-tation, including handwriting, typewriting, printing,photostatting, photography, audio or videore-cording and electronic communications. A‘‘signed’’ writing includes an electronic sound,symbol or process attached to or logically associ-ated with a writing and executed or adopted by aperson with the intent to sign the writing.

(Amended June 26, 2006, to take effect Jan. 1, 2007;amended June 14, 2013, to take effect Jan. 1, 2014.)

COMMENTARY: Confirmed in Writing. If it is not feasibleto obtain or transmit a written confirmation at the time theclient gives informed consent, then the lawyer must obtain ortransmit it within a reasonable time thereafter. If a lawyer hasobtained a client’s informed consent, the lawyer may act inreliance on that consent so long as it is confirmed in writingwithin a reasonable time thereafter.

Firm. Whether two or more lawyers constitute a firm withinsubsection (d) can depend on the specific facts. For example,two practitioners who share office space and occasionallyconsult or assist each other ordinarily would not be regardedas constituting a firm. However, if they present themselves tothe public in a way that suggests that they are a firm or conductthemselves as a firm, they should be regarded as a firm forpurposes of the Rules. The terms of any formal agreementbetween associated lawyers are relevant in determiningwhether they are a firm, as is the fact that they have mutualaccess to information concerning the clients they serve. Fur-thermore, it is relevant in doubtful cases to consider the under-lying purpose of the Rule that is involved. A group of lawyerscould be regarded as a firm for purposes of the Rule that thesame lawyer should not represent opposing parties in litigation,while it might not be so regarded for purposes of the Rule thatinformation acquired by one lawyer is attributed to another.

With respect to the law department of an organization,including the government, there is ordinarily no question thatthe members of the department constitute a firm within themeaning of the Rules of Professional Conduct. There canbe uncertainty, however, as to the identity of the client. Forexample, it may not be clear whether the law department ofa corporation represents a subsidiary or an affiliated corpora-tion, as well as the corporation by which the members of thedepartment are directly employed. A similar question can ariseconcerning an unincorporated association and its localaffiliates.

Similar questions can also arise with respect to lawyers inlegal aid and legal services organizations. Depending uponthe structure of the organization, the entire organization ordifferent components of it may constitute a firm or firms forpurposes of these Rules.

Fraud. When used in these Rules, the terms ‘‘fraud’’ or‘‘fraudulent’’ refer to conduct that is characterized as suchunder the substantive or procedural law of the applicable juris-diction and has a purpose to deceive. This does not includemerely negligent misrepresentation or negligent failure to

RULES OF PROFESSIONAL CONDUCTRule 1.0

apprise another of relevant information. For purposes of theseRules, it is not necessary that anyone has suffered damagesor relied on the misrepresentation or failure to inform.

Informed Consent. Many of the Rules of Professional Con-duct require the lawyer to obtain the informed consent of aclient or other person (e.g., a former client or, under certaincircumstances, a prospective client) before accepting or con-tinuing representation or pursuing a course of conduct. See,e.g., Rules 1.2 (c), 1.6 (a) and 1.7 (b). The communicationnecessary to obtain such consent will vary according to theRule involved and the circumstances giving rise to the needto obtain informed consent. The lawyer must make reasonableefforts to ensure that the client or other person possessesinformation reasonably adequate to make an informed deci-sion. Ordinarily, this will require communication that includesa disclosure of the facts and circumstances giving rise to thesituation, any explanation reasonably necessary to inform theclient or other person of the material advantages and disadvan-tages of the proposed course of conduct and a discussion ofthe client’s or other person’s options and alternatives. In somecircumstances it may be appropriate for a lawyer to advise aclient or other person to seek the advice of other counsel. Alawyer need not inform a client or other person of facts orimplications already known to the client or other person; never-theless, a lawyer who does not personally inform the client orother person assumes the risk that the client or other personis inadequately informed and the consent is invalid. Indetermining whether the information and explanation providedare reasonably adequate, relevant factors include whether theclient or other person is experienced in legal matters generallyand in making decisions of the type involved, and whether theclient or other person is independently represented by othercounsel in giving the consent. Normally, such persons needless information and explanation than others, and generallya client or other person who is independently represented byother counsel in giving the consent should be assumed tohave given informed consent.

Obtaining informed consent will usually require an affirma-tive response by the client or other person. In general, a lawyermay not assume consent from a client’s or other person’ssilence. Consent may be inferred, however, from the conductof a client or other person who has reasonably adequate infor-mation about the matter. A number of Rules require that aperson’s consent be confirmed in writing. See Rules 1.7 (b)and 1.9 (a). For a definition of ‘‘writing’’ and ‘‘confirmed inwriting,’’ see subsections (o) and (c). Other Rules require thata client’s consent be obtained in a writing signed by the client.See, e.g., Rules 1.8 (a) and (g). For a definition of ‘‘signed,’’see subsection (o).

Screened. The definition of ‘‘screened’’ applies to situationswhere screening of a personally disqualified lawyer is permit-ted to remove imputation of a conflict of interest under Rules1.10, 1.11, 1.12 or 1.18.

The purpose of screening is to assure the affected partiesthat confidential information known by the personally disquali-fied lawyer remains protected. The personally disqualified law-yer shall acknowledge in writing to the client the obligationnot to communicate with any of the other lawyers in the firmwith respect to the matter. Similarly, other lawyers in the firmwho are working on the matter should be informed that thescreening is in place and that they may not communicate withthe personally disqualified lawyer with respect to the matter.Additional screening measures that are appropriate for theparticular matter will depend on the circumstances. To imple-ment, reinforce and remind all affected lawyers of the presenceof the screening, it may be appropriate for the firm to undertakesuch procedures as a written undertaking by the screened

6


lawyer to avoid any communication with other firm personneland any contact with any firm files or other information, includ-ing information in electronic form, relating to the matter, writtennotice and instructions to all other firm personnel forbiddingany communication with the screened lawyer relating to thematter, denial of access by the screened lawyer to firm filesor other information, including information in electronic form,relating to the matter and periodic reminders of the screen tothe screened lawyer and all other firm personnel.

In order to be effective, screening measures must be imple-mented as soon as practical after a lawyer or law firm knowsor reasonably should know that there is a need for screening.

CLIENT-LAWYER RELATIONSHIPS

Rule 1.1. CompetenceA lawyer shall provide competent representa-

tion to a client. Competent representation requiresthe legal knowledge, skill, thoroughness and prep-aration reasonably necessary for the represen-tation.

(P.B. 1978-1997, Rule 1.1.)COMMENTARY: Legal Knowledge and Skill. In determin-

ing whether a lawyer employs the requisite knowledge andskill in a particular matter, relevant factors include the relativecomplexity and specialized nature of the matter, the lawyer’sgeneral experience, the lawyer’s training and experience inthe field in question, the preparation and study the lawyer isable to give the matter and whether it is feasible to refer thematter to, or associate or consult with, a lawyer of establishedcompetence in the field in question. In many instances, therequired proficiency is that of a general practitioner. Expertisein a particular field of law may be required in some circum-stances.

A lawyer need not necessarily have special training or priorexperience to handle legal problems of a type with whichthe lawyer is unfamiliar. A newly admitted lawyer can be ascompetent as a practitioner with long experience. Someimportant legal skills, such as the analysis of precedent, theevaluation of evidence and legal drafting, are required in alllegal problems. Perhaps the most fundamental legal skill con-sists of determining what kind of legal problems a situationmay involve, a skill that necessarily transcends any particularspecialized knowledge. A lawyer can provide adequate repre-sentation in a wholly novel field through necessary study.Competent representation can also be provided through theassociation of a lawyer of established competence in the fieldin question.

In an emergency, a lawyer may give advice or assistancein a matter in which the lawyer does not have the skill ordinarilyrequired where referral to or consultation or association withanother lawyer would be impractical. Even in an emergency,however, assistance should be limited to that reasonably nec-essary in the circumstances, for ill-considered action underemergency conditions can jeopardize the client’s interest. Alawyer may accept representation where the requisite level ofcompetence can be achieved by reasonable preparation. Thisapplies as well to a lawyer who is appointed as counsel foran unrepresented person. See also Rule 6.2.

Thoroughness and Preparation. Competent handling ofa particular matter includes inquiry into and analysis of thefactual and legal elements of the problem, and use of methodsand procedures meeting the standards of competent prac-titioners. It also includes adequate preparation. The requiredattention and preparation are determined in part by what isat stake; major litigation and complex transactions ordinarily


require more extensive treatment than matters of lesser com-plexity and consequence. An agreement between the lawyerand the client regarding the scope of the representation maylimit the matters for which the lawyer is responsible. See Rule1.2 (c).

Retaining or Contracting with Other Lawyers. Beforea lawyer retains or contracts with other lawyers outside thelawyer’s own firm to provide or assist in the provision of legalservices to a client, the lawyer should ordinarily obtaininformed consent from the client and must reasonably believethat the other lawyers’ services will contribute to the competentand ethical representation of the client. See also Rules 1.2(allocation of authority), 1.4 (communication with client), 1.5(b) (scope of representation, basis or rate of fee andexpenses), 1.5 (e) (fee sharing), 1.6 (confidentiality), and 5.5(a) (unauthorized practice of law). Client consent may not benecessary when a nonfirm lawyer is hired to perform a discreteand limited task and the task does not require the disclosureof information protected by Rule 1.6. The reasonableness ofthe decision to retain or contract with other lawyers outsidethe lawyer’s own firm will depend upon the circumstances,including the education, experience and reputation of the non-firm lawyers; the nature of the services assigned to the nonfirmlawyers; and the legal protections, professional conduct rules,and ethical environments of the jurisdictions in which the ser-vices will be performed, particularly relating to confidentialinformation.

When lawyers from more than one law firm are providinglegal services to the client on a particular matter, the lawyersshould consult with each other and the client about the scopeof their respective representations and the allocation ofresponsibility among them. See Rule 1.2. When making alloca-tions of responsibility in a matter pending before a tribunal,lawyers and parties may have additional obligations that area matter of law beyond the scope of these Rules.

Maintaining Competence. To maintain the requisiteknowledge and skill, a lawyer should keep abreast of changesin the law and its practice, including the benefits and risksassociated with relevant technology, engage in continuingstudy and education and comply with all continuing legal edu-cation requirements to which the lawyer is subject.

Rule 1.2. Scope of Representation and Allo-cation of Authority between Client andLawyer(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) Subject to subsections (c) and (d), a lawyer

shall abide by a client’s decisions concerning theobjectives of representation and, as required byRule 1.4, shall consult with the client as to themeans by which they are to be pursued. A lawyermay take such action on behalf of the client as isimpliedly authorized to carry out the representa-tion. A lawyer shall abide by a client’s decisionwhether to settle a matter. In a criminal case, thelawyer shall abide by the client’s decision, afterconsultation with the lawyer, as to a plea to beentered, whether to waive jury trial and whetherthe client will testify. Subject to revocation by theclient and to the terms of the contract, a client’sdecision to settle a matter shall be implied wherethe lawyer is retained to represent the client by athird party obligated under the terms of a contract

7


to provide the client with a defense and indemnityfor the loss, and the third party elects to settle amatter without contribution by the client.

(b) A lawyer’s representation of a client, includ-ing representation by appointment, does not con-stitute an endorsement of the client’s political,economic, social or moral views or activities.

(c) A lawyer may limit the scope of the represen-tation if the limitation is reasonable under the cir-cumstances and the client gives informedconsent. Such informed consent shall not berequired when a client cannot be located despitereasonable efforts where the lawyer is retainedto represent a client by a third party that is obli-gated by contract to provide the client with adefense.

(d) A lawyer shall not counsel a client to engage,or assist a client, in conduct that the lawyer knowsis criminal or fraudulent, but a lawyer may (1)discuss the legal consequences of any proposedcourse of conduct with a client; (2) counsel orassist a client to make a good faith effort to deter-mine the validity, scope, meaning or application ofthe law; or (3) counsel or assist a client regardingconduct expressly permitted by Connecticut law,provided that the lawyer counsels the client aboutthe legal consequences, under other applicablelaw, of the client’s proposed course of conduct.

(P.B. 1978-1997, Rule 1.2.) (Amended June 26, 2006, totake effect Jan. 1, 2007; amended June 29, 2007, to takeeffect Jan. 1, 2008; amended June 13, 2014, to take effectJan. 1, 2015.)

COMMENTARY: Allocation of Authority between Clientand Lawyer. Subsection (a) confers upon the client the ulti-mate authority to determine the purposes to be served bylegal representation, within the limits imposed by law and thelawyer’s professional obligations. The decisions specified insubsection (a), such as whether to settle a civil matter, mustalso be made by the client. See Rule 1.4 (a) (1) for the lawyer’sduty to communicate with the client about such decisions. Withrespect to the means by which the client’s objectives are tobe pursued, the lawyer shall consult with the client as requiredby Rule 1.4 (a) (2) and may take such action as is impliedlyauthorized to carry out the representation.

On occasion, however, a lawyer and a client may disagreeabout the means to be used to accomplish the client’s objec-tives. Clients normally defer to the special knowledge andskill of their lawyer with respect to the means to be used toaccomplish their objectives, particularly with respect to techni-cal, legal and tactical matters. Conversely, lawyers usuallydefer to the client regarding such questions as the expenseto be incurred and concern for third persons who might beadversely affected. Because of the varied nature of the mattersabout which a lawyer and client might disagree and becausethe actions in question may implicate the interests of a tribunalor other persons, this Rule does not prescribe how such dis-agreements are to be resolved. Other law, however, may beapplicable and should be consulted by the lawyer. The lawyershould also consult with the client and seek a mutually accept-able resolution of the disagreement. If such efforts are unavail-ing and the lawyer has a fundamental disagreement with theclient, the lawyer may withdraw from the representation. See


Rule 1.16 (b) (4). Conversely, the client may resolve the dis-agreement by discharging the lawyer. See Rule 1.16 (a) (3).

At the outset of a representation, the client may authorizethe lawyer to take specific action on the client’s behalf withoutfurther consultation. Absent a material change in circum-stances and subject to Rule 1.4, a lawyer may rely on suchan advance authorization. The client may, however, revokesuch authority at any time.

In a case in which the client appears to be suffering dimin-ished capacity, the lawyer’s duty to abide by the client’s deci-sions is to be guided by reference to Rule 1.14.

Independence from Client’s Views or Activities. Legalrepresentation should not be denied to people who are unableto afford legal services or whose cause is controversial or thesubject of popular disapproval. By the same token, represent-ing a client does not constitute approval of the client’s viewsor activities.

Agreements Limiting Scope of Representation. Thescope of services to be provided by a lawyer may be limitedby agreement with the client or by the terms under which thelawyer’s services are made available to the client. For exam-ple, when a lawyer has been retained by an insurer to representan insured, the representation may be limited to mattersrelated to the insurance coverage. A limited representationmay be appropriate because the client has limited objectivesfor the representation. In addition, the terms upon which repre-sentation is undertaken may exclude specific means that mightotherwise be used to accomplish the client’s objectives. Suchlimitations may exclude actions that the client thinks are toocostly or that the lawyer regards as repugnant or imprudent.Nothing in Rule 1.2 shall be construed to authorize limitedappearances before any tribunal unless otherwise authorizedby law or rule.

Although this Rule affords the lawyer and client substantiallatitude to limit the scope of representation, the limitation mustbe reasonable under the circumstances. If, for example, aclient’s objective is limited to securing general informationabout the law the client needs in order to handle a commonand typically uncomplicated legal problem, the lawyer andclient may agree that the lawyer’s services will be limited toa brief telephone consultation. Such a limitation, however,would not be reasonable if the time allotted was not sufficientto yield advice upon which the client could rely. Although anagreement for a limited representation does not exempt alawyer from the duty to provide competent representation, thelimitation is a factor to be considered when determining thelegal knowledge, skill, thoroughness and preparation reason-ably necessary for the representation. See Rule 1.1.

All agreements concerning a lawyer’s representation of aclient must accord with the Rules of Professional Conduct andother law. See, e.g., Rules 1.1, 1.8 and 5.6.

Criminal, Fraudulent and Prohibited Transactions. Sub-section (d) prohibits a lawyer from knowingly counseling orassisting a client to commit a crime or fraud. This prohibition,however, does not preclude the lawyer from giving an honestopinion about the actual consequences that appear likely toresult from a client’s conduct. Nor does the fact that a clientuses advice in a course of action that is criminal or fraudulentof itself make a lawyer a party to the course of action. Thereis a critical distinction between presenting an analysis of legalaspects of questionable conduct and recommending themeans by which a crime or fraud might be committed.

When the client’s course of action has already begun andis continuing, the lawyer’s responsibility is especially delicate.The lawyer is required to avoid assisting the client, for example,by drafting or delivering documents that the lawyer knows arefraudulent or by suggesting how the wrongdoing might be

8


concealed. A lawyer may not continue assisting a client inconduct that the lawyer originally believed legally proper butthen discovers is criminal or fraudulent. The lawyer must,therefore, withdraw from the representation of the client in thematter. See Rule 1.16 (a). In some cases, withdrawal alonemight be insufficient. It may be necessary for the lawyer to givenotice of the fact of withdrawal and to disaffirm any opinion,document, affirmation or the like. See Rule 4.1.

Where the client is a fiduciary, the lawyer may be chargedwith special obligations in dealings with a beneficiary.

Subsection (d) applies whether or not the defrauded partyis a party to the transaction. Hence, a lawyer must not partici-pate in a transaction to effectuate criminal or fraudulent avoid-ance of tax liability. Subsection (d) does not precludeundertaking a criminal defense incident to a general retainerfor legal services to a lawful enterprise. Subsection (d) (2)recognizes that determining the validity or interpretation of astatute or regulation may require a course of action involvingdisobedience of the statute or regulation or of the interpretationplaced upon it by governmental authorities. Subsection (d) (3)is intended to permit counsel to provide legal services to clientswithout being subject to discipline under these Rules notwith-standing that the services concern conduct prohibited underfederal or other law but expressly permitted under Connecticutlaw, e.g., conduct under An Act Concerning the Palliative Useof Marijuana, Public Act 12-55, effective Oct. 1, 2012. Subsec-tion (d) (3) shall not provide a defense to a presentment filedpursuant to Practice Book Section 2-41 against an attorneyfound guilty of a serious crime in another jurisdiction.

If a lawyer comes to know or reasonably should know thata client expects assistance not permitted by the Rules of Pro-fessional Conduct or other law or if the lawyer intends to actcontrary to the client’s instructions, the lawyer must consultwith the client regarding the limitations on the lawyer’s conduct.See Rule 1.4 (a) (5).

Rule 1.3. DiligenceA lawyer shall act with reasonable diligence and

promptness in representing a client.(P.B. 1978-1997, Rule 1.3.)COMMENTARY: A lawyer must pursue a matter on behalf

of a client despite opposition, obstruction or personal inconve-nience to the lawyer, and take whatever lawful and ethicalmeasures are required to vindicate a client’s cause orendeavor. A lawyer must also act with commitment and dedica-tion to the interests of the client and with zeal in advocacyupon the client’s behalf. A lawyer is not bound, however, topress for every advantage that might be realized for a client.For example, a lawyer may have authority to exercise profes-sional discretion in determining the means by which a mattershould be pursued. See Rule 1.2. The lawyer’s duty to actwith reasonable diligence does not require the use of offensivetactics or preclude the treating of all persons involved in thelegal process with courtesy and respect.

A lawyer’s work load must be controlled so that each mattercan be handled competently.

Perhaps no professional shortcoming is more widelyresented than procrastination. A client’s interests often canbe adversely affected by the passage of time or the change ofconditions; in extreme instances, as when a lawyer overlooks astatute of limitations, the client’s legal position may bedestroyed. Even when the client’s interests are not affectedin substance, however, unreasonable delay can cause a clientneedless anxiety and undermine confidence in the lawyer’strustworthiness. A lawyer’s duty to act with reasonable prompt-ness, however, does not preclude the lawyer from agreeing


to a reasonable request for a postponement that will not preju-dice the lawyer’s client.

Unless the relationship is terminated as provided in Rule1.16, a lawyer should carry through to conclusion all mattersundertaken for a client. If a lawyer’s employment is limited toa specific matter, the relationship terminates when the matterhas been resolved. If a lawyer has served a client over asubstantial period in a variety of matters, the client sometimesmay assume that the lawyer will continue to serve on a continu-ing basis unless the lawyer gives notice of withdrawal. Doubtabout whether a client-lawyer relationship still exists shouldbe clarified by the lawyer, preferably in writing, so that theclient will not mistakenly suppose the lawyer is looking afterthe client’s affairs when the lawyer has ceased to do so. Forexample, if a lawyer has handled a judicial or administrativeproceeding that produced a result adverse to the client andthe lawyer and the client have not agreed that the lawyer willhandle the matter on appeal, the lawyer must consult withthe client about the possibility of appeal before relinquishingresponsibility for the matter. See Rule 1.4 (a) (2). Whetherthe lawyer is obligated to prosecute the appeal for the clientdepends on the scope of the representation the lawyer hasagreed to provide to the client. See Rule 1.2.

To prevent neglect of client matters in the event of a solepractitioner’s death or disability, the duty of diligence mayrequire that each sole practitioner prepare a plan, in conformitywith applicable rules, that designates another competent law-yer to review client files, notify each client of the lawyer’sdeath or disability, and determine whether there is a need forimmediate protective action. Cf. Rule 28 of the American BarAssociation Model Rules for Lawyer Disciplinary Enforcement(providing for court appointment of a lawyer to inventory filesand take other protective action in absence of a plan providingfor another lawyer to protect the interests of the clients of adeceased or disabled lawyer).

Rule 1.4. Communication(a) A lawyer shall:(1) promptly inform the client of any decision or

circumstance with respect to which the client’sinformed consent, as defined in Rule 1.0 (f), isrequired by these Rules;

(2) reasonably consult with the client about themeans by which the client’s objectives are to beaccomplished;

(3) keep the client reasonably informed aboutthe status of the matter;

(4) promptly comply with reasonable requestsfor information; and

(5) consult with the client about any relevantlimitation on the lawyer’s conduct when the lawyerknows that the client expects assistance not per-mitted by the Rules of Professional Conduct orother law.

(b) A lawyer shall explain a matter to the extentreasonably necessary to permit the client to makeinformed decisions regarding the representation.

(P.B. 1978-1997, Rule 1.4.) (Amended June 26, 2006, totake effect Jan. 1, 2007.)

COMMENTARY: Reasonable communication between thelawyer and the client is necessary for the client effectively toparticipate in the representation.

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Communicating with Client. If these Rules or other lawrequire that a particular decision about the representation bemade by the client, subsection (a) (1) requires that the lawyerpromptly consult with and secure the client’s consent prior totaking action. See Rule 1.2 (a).

Subsection (a) (2) requires the lawyer to reasonably consultwith the client about the means to be used to accomplish theclient’s objectives. In some situations—depending on both theimportance of the action under consideration and the feasibilityof consulting with the client—this duty will require consultationprior to taking action. In other circumstances, such as duringa trial when an immediate decision must be made, the exigencyof the situation may require the lawyer to act without priorconsultation. In such cases the lawyer must nonetheless actreasonably to inform the client of actions the lawyer has takenon the client’s behalf. Additionally, subsection (a) (3) requiresthat the lawyer keep the client reasonably informed about thestatus of the matter, such as significant developments affectingthe timing or the substance of the representation.

A lawyer’s regular communication with clients will minimizethe occasions on which a client will need to request informationconcerning the representation. When a client makes a reason-able request for information, however, subsection (a) (4)requires prompt compliance with the request, or if a promptresponse is not feasible, that the lawyer, or a member of thelawyer’s staff, acknowledge receipt of the request and advisethe client when a response may be expected. A lawyer shouldpromptly respond to or acknowledge client communications.

Explaining Matters. The client should have sufficient infor-mation to participate intelligently in decisions concerning theobjectives of the representation and the means by which theyare to be pursued, to the extent the client is willing and ableto do so. Adequacy of communication depends in part on thekind of advice or assistance that is involved. For example,when there is time to explain a proposal made in a negotiation,the lawyer should review all important provisions with the clientbefore proceeding to an agreement. In litigation, a lawyershould explain the general strategy and prospects of successand ordinarily should consult the client on tactics that are likelyto result in significant expense or to injure or coerce others.On the other hand, a lawyer ordinarily will not be expected todescribe trial or negotiation strategy in detail. The guidingprinciple is that the lawyer should fulfill reasonable clientexpectations for information consistent with the duty to act inthe client’s best interests, and the client’s overall requirementsas to the character of representation. In certain circumstances,such as when a lawyer asks a client to consent to a representa-tion affected by a conflict of interest, the client must giveinformed consent, as defined in Rule 1.0 (f).

Ordinarily, the information to be provided is that appropriatefor a client who is a comprehending and responsible adult.However, fully informing the client according to this standardmay be impracticable, for example, when the client is a childor suffers from diminished capacity. See Rule 1.14. When theclient is an organization or group, it is often impossible orinappropriate to inform every one of its members about itslegal affairs; ordinarily, the lawyer should address communica-tions to the appropriate officials of the organization. See Rule1.13. Where many routine matters are involved, a system oflimited or occasional reporting may be arranged with the client.

Withholding Information. In some circumstances, a law-yer may be justified in delaying transmission of informationwhen the client would be likely to react imprudently to animmediate communication. Thus, a lawyer might withhold apsychiatric diagnosis of a client when the examining psychia-trist indicates that disclosure would harm the client. A lawyermay not withhold information to serve the lawyer’s own interest


or convenience or the interests or convenience of anotherperson. Rules or court orders governing litigation may providethat information supplied to a lawyer may not be disclosed tothe client. Rule 3.4 (3) directs compliance with such rulesor orders.

Rule 1.5. Fees(a) A lawyer shall not make an agreement for,

charge, or collect an unreasonable fee or anunreasonable amount for expenses. The factorsto be considered in determining the reasonable-ness of a fee include the following:

(1) The time and labor required, the novelty anddifficulty of the questions involved, and the skillrequisite to perform the legal service properly;

(2) The likelihood, if made known to the client,that the acceptance of the particular employmentwill preclude other employment by the lawyer;

(3) The fee customarily charged in the localityfor similar legal services;

(4) The amount involved and the results ob-tained;

(5) The time limitations imposed by the clientor by the circumstances;

(6) The nature and length of the professionalrelationship with the client;

(7) The experience, reputation, and ability ofthe lawyer or lawyers performing the services; and

(8) Whether the fee is fixed or contingent.(b) The scope of the representation, the basis

or rate of the fee and expenses for which the clientwill be responsible, shall be communicated to theclient, in writing, before or within a reasonabletime after commencing the representation, exceptwhen the lawyer will charge a regularly repre-sented client on the same basis or rate. Anychanges in the basis or rate of the fee or expensesshall also be communicated to the client in writingbefore the fees or expenses to be billed at higherrates are actually incurred. In any representationin which the lawyer and the client agree that thelawyer will file a limited appearance, the limitedappearance engagement agreement shall alsoinclude the following: identification of the proceed-ing in which the lawyer will file the limited appear-ance; identification of the court events for whichthe lawyer will appear on behalf of the client; andnotification to the client that after the limitedappearance services have been completed, thelawyer will file a certificate of completion of limitedappearance with the court, which will serve toterminate the lawyer’s obligation to the client inthe matter, and as to which the client will have noright to object. Any change in the scope of therepresentation requires the client’s informed con-sent, shall be confirmed to the client in writing,and shall require the lawyer to file a new limitedappearance with the court reflecting the change(s)

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in the scope of representation. This subsectionshall not apply to public defenders or in situationswhere the lawyer will be paid by the court or astate agency.

(c) A fee may be contingent on the outcome ofthe matter for which the service is rendered,except in a matter in which a contingent fee isprohibited by subsection (d) or other law. A contin-gent fee agreement shall be in a writing signedby the client and shall state the method by whichthe fee is to be determined, including the percent-age or percentages of the recovery that shallaccrue to the lawyer as a fee in the event of settle-ment, trial or appeal, whether and to what extentthe client will be responsible for any court costsand expenses of litigation, and whether suchexpenses are to be deducted before or after thecontingent fee is calculated. The agreement mustclearly notify the client of any expenses for whichthe client will be liable whether or not the clientis the prevailing party. Upon conclusion of a con-tingent fee matter, the lawyer shall provide theclient with a written statement stating the outcomeof the matter and, if there is a recovery, showingthe remittance to the client and the method ofits determination.

(d) A lawyer shall not enter into an arrangementfor, charge, or collect:

(1) Any fee in a domestic relations matter, thepayment or amount of which is contingent uponthe securing of a dissolution of marriage or civilunion or upon the amount of alimony or support,or property settlement in lieu thereof; or

(2) A contingent fee for representing a defend-ant in a criminal case.

(e) A division of fee between lawyers who arenot in the same firm may be made only if:

(1) The client is advised in writing of the com-pensation sharing agreement and of the participa-tion of all the lawyers involved, and does notobject; and

(2) The total fee is reasonable.(P.B. 1978-1997. Rule 1.5.) (Amended June 26, 2006, to

take effect Jan. 1, 2007; amended June 14, 2013, to takeeffect Oct. 1, 2013.)

COMMENTARY: Basis or Rate of Fee. Subsection (a)requires that lawyers charge fees that are reasonable underthe circumstances. The factors specified in (1) through (8) arenot exclusive. Nor will each factor be relevant in each instance.Subsection (a) also requires that expenses for which the clientwill be charged must be reasonable. A lawyer may seek reim-bursement for the cost of services performed in-house, suchas copying, or for other expenses incurred in-house, such astelephone charges, either by charging a reasonable amountto which the client has agreed in advance or by charging anamount that reasonably reflects the cost incurred by thelawyer.

When the lawyer has regularly represented a client, thelawyer and the client ordinarily will have evolved an under-standing concerning the basis or rate of the fee and the


expenses for which the client will be responsible. In a newclient-lawyer relationship, however, an understanding as tofees and expenses must be promptly established. Generally,it is desirable to furnish the client with at least a simple memo-randum or copy of the lawyer’s customary fee arrangementsthat states the general nature of the legal services to be pro-vided, the basis, rate or total amount of the fee and whetherand to what extent the client will be responsible for any costs,expenses or disbursements in the course of the representa-tion. A written statement concerning the terms of the engage-ment reduces the possibility of misunderstanding. Absentextraordinary circumstances, the lawyer should send the writ-ten fee statement to the client before any substantial servicesare rendered, but in any event, not later than ten days aftercommencing the representation.

Contingent fees, like any other fees, are subject to thereasonableness standard of subsection (a) of this Rule. Indetermining whether a particular contingent fee is reasonable,or whether it is reasonable to charge any form of contingentfee, a lawyer must consider the factors that are relevant underthe circumstances. Applicable law may impose limitations oncontingent fees, such as a ceiling on the percentage allowable,or may require a lawyer to offer clients an alternative basisfor the fee. Applicable law also may apply to situations otherthan a contingent fee, for example, government regulationsregarding fees in certain tax matters. In matters where a contin-gent fee agreement has been signed by the client and isin accordance with General Statutes § 52-251c, the fee ispresumed to be reasonable.

Terms of Payment. A lawyer may require advance pay-ment of a fee, but is obliged to return any unearned portion.See Rule 1.16 (d). A lawyer may accept property in paymentfor services, such as an ownership interest in an enterprise,providing this does not involve acquisition of a proprietaryinterest in the cause of action or subject matter of the litigationcontrary to Rule 1.8 (i). However, a fee paid in property insteadof money may be subject to the requirements of Rule 1.8 (a)because such fees often have the essential qualities of abusiness transaction with the client.

An agreement may not be made whose terms might inducethe lawyer improperly to curtail services for the client or performthem in a way contrary to the client’s interest. For example,a lawyer should not enter into an agreement whereby servicesare to be provided only up to a stated amount when it isforeseeable that more extensive services probably will berequired, unless the situation is adequately explained to theclient. Otherwise, the client might have to bargain for furtherassistance in the midst of a proceeding or transaction. How-ever, it is proper to define the extent of services in light ofthe client’s ability to pay. A lawyer should not exploit a feearrangement based primarily on hourly charges by usingwasteful procedures.

Prohibited Contingent Fees. Subsection (d) prohibits alawyer from charging a contingent fee in a domestic relationsmatter when payment is contingent upon the securing of adivorce or upon the amount of alimony or support or propertysettlement to be obtained. This provision does not precludea contract for a contingent fee for legal representation in con-nection with the recovery of postjudgment balances due undersupport, alimony or other financial orders because such con-tracts do not implicate the same policy concerns.

Division of Fee. A division of fee is a single billing to aclient covering the fee of two or more lawyers who are not inthe same firm. A division of fee facilitates association of morethan one lawyer in a matter in which neither alone could servethe client as well and most often is used when the fee iscontingent and the division is between a referring lawyer and

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a trial specialist. Contingent fee agreements must be in writingsigned by the client and must otherwise comply with subsec-tion (c) of this Rule. A lawyer should only refer a matter toa lawyer whom the referring lawyer reasonably believes iscompetent to handle the matter. See Rule 1.1.

Subsection (e) does not prohibit or regulate divisions offees to be received in the future for work done when lawyerswere previously associated in a law firm.

Disputes over Fees. If an arbitration or mediation proce-dure such as that in Practice Book Section 2-32 (a) (3) hasbeen established for resolution of fee disputes, the lawyermust comply with the procedure when it is mandatory, and,even when it is voluntary, the lawyer should conscientiouslyconsider submitting to it. Law may prescribe a procedure fordetermining a lawyer’s fee, for example, in representation ofan executor or administrator, a class or a person entitled toa reasonable fee as part of the measure of damages. Thelawyer entitled to such a fee and a lawyer representing anotherparty concerned with the fee should comply with the pre-scribed procedure.

Rule 1.6. Confidentiality of Information(a) A lawyer shall not reveal information relating

to representation of a client unless the client givesinformed consent, the disclosure is impliedlyauthorized in order to carry out the representation,or the disclosure is permitted by subsection (b),(c), or (d).

(b) A lawyer shall reveal such information to theextent the lawyer reasonably believes necessaryto prevent the client from committing a criminalor fraudulent act that the lawyer believes is likelyto result in death or substantial bodily harm.

(c) A lawyer may reveal such information to theextent the lawyer reasonably believes neces-sary to:

(1) Prevent the client from committing a criminalor fraudulent act that the lawyer believes is likelyto result in substantial injury to the financial inter-est or property of another;

(2) Prevent, mitigate or rectify the consequenceof a client’s criminal or fraudulent act in the com-mission of which the lawyer’s services hadbeen used;

(3) Secure legal advice about the lawyer’s com-pliance with these Rules;

(4) Comply with other law or a court order.(5) Detect and resolve conflicts of interest aris-

ing from the lawyer’s change of employment orfrom changes in the composition or ownership ofa firm, but only if the revealed information wouldnot compromise the attorney-client privilege orotherwise prejudice the client.

(d) A lawyer may reveal such information toestablish a claim or defense on behalf of the law-yer in a controversy between the lawyer and theclient, to establish a defense to a criminal chargeor civil claim against the lawyer based upon con-duct in which the client was involved, or to respond


to allegations in any proceeding concerning thelawyer’s representation of the client.

(e) A lawyer shall make reasonable efforts toprevent the inadvertent or unauthorized disclo-sure of, or unauthorized access to, informationrelating to the representation of a client.

(P.B. 1978-1997, Rule 1.6.) (Amended June 26, 2006, totake effect Jan. 1, 2007; amended June 14, 2013, to takeeffect Jan. 1, 2014.)

COMMENTARY: This Rule governs the disclosure by alawyer of information relating to the representation of a clientduring the lawyer’s representation of the client. See Rule 1.18for the lawyer’s duties with respect to information provided tothe lawyer by a prospective client, Rule 1.9 (c) (2) for thelawyer’s duty not to reveal information relating to the lawyer’sprior representation of a former client and Rules 1.8 (b) and1.9 (c) (1) for the lawyer’s duties with respect to the use of suchinformation to the disadvantage of clients and former clients.

A fundamental principle in the client-lawyer relationship isthat, in the absence of the client’s informed consent, the lawyermust not reveal information relating to the representation. SeeRule 1.0 (f) for the definition of informed consent. This contri-butes to the trust that is the hallmark of the client-lawyer rela-tionship. The client is thereby encouraged to seek legalassistance and to communicate fully and frankly with the law-yer even as to embarrassing or legally damaging subject mat-ter. The lawyer needs this information to represent the clienteffectively and, if necessary, to advise the client to refrain fromwrongful conduct. Almost without exception, clients come tolawyers in order to determine their rights and what is, in thecomplex of laws and regulations, deemed to be legal andcorrect. Based upon experience, lawyers know that almost allclients follow the advice given, and the law is upheld.

The principle of client-lawyer confidentiality is given effectby related bodies of law, the attorney-client privilege, the workproduct doctrine and the Rule of confidentiality establishedin professional ethics. The attorney-client privilege and workproduct doctrine apply in judicial and other proceedings inwhich a lawyer may be called as a witness or otherwiserequired to produce evidence concerning a client. The Ruleof client-lawyer confidentiality applies in situations other thanthose where evidence is sought from the lawyer through com-pulsion of law. The confidentiality Rule, for example, appliesnot only to matters communicated in confidence by the clientbut also to all information relating to the representation, what-ever its source. A lawyer may not disclose such informationexcept as authorized or required by the Rules of ProfessionalConduct or other law. See also Scope.

Subsection (a) prohibits a lawyer from revealing informationrelating to the representation of a client. This prohibition alsoapplies to disclosures by a lawyer that do not in themselvesreveal protected information but could reasonably lead to thediscovery of such information by a third person. A lawyer’suse of a hypothetical to discuss issues relating to the represen-tation is permissible so long as there is no reasonable likeli-hood that the listener will be able to ascertain the identity ofthe client or the situation involved.

Authorized Disclosure. Except to the extent that the cli-ent’s instructions or special circumstances limit that authority,a lawyer is impliedly authorized to make disclosures about aclient when appropriate in carrying out the representation.In some situations, for example, a lawyer may be impliedlyauthorized to admit a fact that cannot properly be disputed tomake a disclosure that facilitates a satisfactory conclusion toa matter. Lawyers in a firm may, in the course of the firm’spractice, disclose to each other information relating to a client

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of the firm, unless the client has instructed that particularinformation be confined to specific lawyers.

Disclosure Adverse to Client. Although the public interestis usually best served by a strict rule requiring lawyers topreserve the confidentiality of information relating to the repre-sentation of their clients, the confidentiality Rule is subject tolimited exceptions. Subsection (b) recognizes the overridingvalue of life and physical integrity and requires disclosure incertain circumstances.

Subsection (c) (1) is a limited exception to the Rule ofconfidentiality that permits the lawyer to reveal information tothe extent necessary to enable affected persons or appropriateauthorities to prevent the client from committing a crime orfraud, as defined in Rule 1.0 (e), that is likely to result insubstantial injury to the financial or property interests ofanother. Such a serious abuse of the client-lawyer relationshipby the client forfeits the protection of this Rule. The clientcan, of course, prevent such disclosure by refraining from thewrongful conduct. Although subsection (c) (1) does not requirethe lawyer to reveal the client’s misconduct, the lawyer maynot counsel or assist the client in conduct the lawyer knowsis criminal or fraudulent. See Rule 1.2 (d). See also Rule 1.16with respect to the lawyer’s obligation or right to withdraw fromthe representation of the client in such circumstances, andRule 1.13 (c), which permits the lawyer, where the client isan organization, to reveal information relating to the represen-tation in limited circumstances.

Subsection (c) (2) addresses the situation in which thelawyer does not learn of the client’s crime or fraud until afterit has been consummated. Although the client no longer hasthe option of preventing disclosure by refraining from thewrongful conduct, there will be situations in which the losssuffered by the affected person can be prevented, rectified ormitigated. In such situations, the lawyer may disclose informa-tion relating to the representation to the extent necessary toenable the affected persons to prevent or mitigate reasonablycertain losses or to attempt to recoup their losses. Subsection(c) (2) does not apply when a person who has committed acrime or fraud thereafter employs a lawyer for representationconcerning that offense.

A lawyer’s confidentiality obligations do not preclude a law-yer from securing confidential legal advice about the lawyer’spersonal responsibility to comply with these Rules. In mostsituations, disclosing information to secure such advice willbe impliedly authorized for the lawyer to carry out the represen-tation. Even when the disclosure is not impliedly authorized,subsection (c) (3) permits such disclosure because of theimportance of a lawyer’s compliance with the Rules of Profes-sional Conduct. The lawyer’s right to disclose such informationto a second lawyer pursuant to subsection (c) (3) does notgive the second lawyer the duty or right to disclose suchinformation under subsections (b), (c) and (d). The first law-yer’s client does not become the client of the second lawyerjust because the first lawyer seeks the second lawyer’s adviceunder (c) (3).

Subsection (c) (5) recognizes that lawyers in different firmsmay need to disclose limited information to each other to detectand resolve conflicts of interest, such as when a lawyer isconsidering an association with another firm, two or morefirms are considering a merger, or a lawyer is considering thepurchase of a law practice. See Rule 1.17, commentary. Underthese circumstances, lawyers and law firms are permitted todisclose limited information, but only once substantive discus-sions regarding the new relationship have occurred. Any suchdisclosure should ordinarily include no more than the identityof the persons and entities involved in a matter, a brief sum-mary of the general issues involved, and information about


whether the matter has terminated. Even this limited informa-tion, however, should be disclosed only to the extent reason-ably necessary to detect and resolve conflicts of interest thatmight arise from the possible new relationship. Moreover, thedisclosure of any information is prohibited if it would compro-mise the attorney-client privilege or otherwise prejudice theclient (e.g., the fact that a corporate client is seeking adviceon a corporate takeover that has not been publicly announced,that a person consulted a lawyer about the possibility of divorcebefore the person’s intentions are known to the person’sspouse, or that a person has consulted a lawyer about acriminal investigation that has not led to a public charge).Under those circumstances, subsection (a) prohibits disclo-sure unless the client or former client gives informed consent.A lawyer’s fiduciary duty to the lawyer’s firm may also governa lawyer’s conduct when exploring an association with anotherfirm and is beyond the scope of these Rules. Any informationdisclosed pursuant to subsection (c) (5) may be used or furtherdisclosed only to the extent necessary to detect and resolveconflicts of interest. Subsection (c) (5) does not restrict theuse of information acquired by means independent of anydisclosure pursuant to subsection (c) (5). Subsection (c) (5)also does not affect the disclosure of information within a lawfirm when the disclosure is otherwise authorized, such as whena lawyer in a firm discloses information to another lawyer inthe same firm to detect and resolve conflicts of interest thatcould arise in connection with undertaking a new represen-tation.

Where a legal claim or disciplinary charge alleges complicityof the lawyer in a client’s conduct or other misconduct of thelawyer involving representation of the client, the lawyer mayrespond to the extent the lawyer reasonably believes neces-sary to establish a defense. The same is true with respect toa claim involving the conduct or representation of a formerclient. Such a charge can arise in a civil, criminal, disciplinaryor other proceeding and can be based on a wrong allegedlycommitted by the lawyer against the client or on a wrongalleged by a third person, for example, a person claiming tohave been defrauded by the lawyer and client acting together.The lawyer’s right to respond arises when an assertion of suchcomplicity has been made. Subsection (d) does not requirethe lawyer to await the commencement of an action or pro-ceeding that charges such complicity, so that the defense maybe established by responding directly to a third party who hasmade such an assertion. The right to defend also applies, ofcourse, where a proceeding has been commenced.

A lawyer entitled to a fee is permitted by subsection (d) toprove the services rendered in an action to collect it. Thisaspect of the rule expresses the principle that the beneficiaryof a fiduciary relationship may not exploit it to the detrimentof the fiduciary.

Other law may require that a lawyer disclose informationabout a client. Whether such a law supersedes Rule 1.6 isa question of law beyond the scope of these Rules. Whendisclosure of information relating to the representation appearsto be required by other law, the lawyer must discuss the matterwith the client to the extent required by Rule 1.4. If, however,the other law supersedes this Rule and requires disclosure,subsection (c) (4) permits the lawyer to make such disclosuresas are necessary to comply with the law.

A lawyer may be ordered to reveal information relating tothe representation of a client by a court or by another tribunalor governmental entity claiming authority pursuant to otherlaw to compel the disclosure. Absent informed consent of theclient to do otherwise, the lawyer should assert on behalf ofthe client all nonfrivolous claims that the order is not authorizedby other law or that the information sought is protected against

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disclosure by the attorney-client privilege or other applicablelaw. In the event of an adverse ruling, the lawyer must consultwith the client about the possibility of appeal to the extentrequired by Rule 1.4. Unless review is sought, however, sub-section (c) (4) permits the lawyer to comply with the court’sorder.

Subsection (b) requires and subsection (c) permits disclo-sure only to the extent the lawyer reasonably believes thedisclosure is necessary to accomplish one of the purposesspecified. Where practicable, the lawyer should first seek topersuade the client to take suitable action to obviate the needfor disclosure. In any case, a disclosure adverse to the client’sinterest should be no greater than the lawyer reasonablybelieves necessary to accomplish the purpose. If the disclo-sure will be made in connection with a judicial proceeding,the disclosure should be made in a manner that limits accessto the information to the tribunal or other persons having aneed to know it and appropriate protective orders or otherarrangements should be sought by the lawyer to the fullestextent practicable.

Subsection (c) permits but does not require the disclosureof information relating to a client’s representation to accom-plish the purposes specified in subsections (c) (1) through (c)(4). In exercising the discretion conferred by this Rule, thelawyer may consider such factors as the nature of the lawyer’srelationship with the client and with those who might be injuredby the client, the lawyer’s own involvement in the transactionand factors that may extenuate the conduct in question. Alawyer’s decision not to disclose as permitted by subsection(c) does not violate this Rule. Disclosure may be required,however, by other Rules. Some Rules require disclosure onlyif such disclosure would be permitted by subsection (b). SeeRules 1.2 (d), 4.1 (b), 8.1 and 8.3. Rule 3.3, on the otherhand, requires disclosure in some circumstances regardlessof whether such disclosure is permitted by this Rule. See Rule3.3 (c).

Acting Competently to Preserve Confidentiality. Sub-section (e) requires a lawyer to act competently to safeguardinformation relating to the representation of a client againstinadvertent or unauthorized disclosure by the lawyer or otherpersons who are participating in the representation of the clientor who are subject to the lawyer’s supervision. See Rules 1.1,5.1 and 5.3. The unauthorized access to, or the inadvertentor unauthorized disclosure of, information relating to the repre-sentation of a client does not constitute a violation of subsec-tion (e) if the lawyer has made reasonable efforts to preventthe access or disclosure. Factors to be considered in determin-ing the reasonableness of the lawyer’s efforts include, but arenot limited to, the sensitivity of the information, the likelihoodof disclosure if additional safeguards are not employed, thecost of employing additional safeguards, the difficulty of imple-menting the safeguards, and the extent to which the safe-guards adversely affect the lawyer’s ability to represent clients(e.g., by making a device or important piece of software exces-sively difficult to use). A client may require the lawyer to imple-ment special security measures not required by this Rule ormay give informed consent to forgo security measures thatwould otherwise be required by this Rule. Whether a lawyermay be required to take additional steps to safeguard a client’sinformation in order to comply with other law, such as state andfederal laws that govern data privacy or that impose notificationrequirements upon the loss of, or unauthorized access to,electronic information, is beyond the scope of these Rules. Fora lawyer’s duties when sharing information with nonlawyersoutside the lawyer’s own firm, see Rule 5.3, commentary.

When transmitting a communication that includes informa-tion relating to the representation of a client, the lawyer must


take reasonable precautions to prevent the information fromcoming into the hands of unintended recipients. This duty,however, does not require that the lawyer use special securitymeasures if the method of communication affords a reason-able expectation of privacy. Special circumstances, however,may warrant special precautions. Factors to be considered indetermining the reasonableness of the lawyer’s expectationof confidentiality include the sensitivity of the information andthe extent to which the privacy of the communication is pro-tected by law or by a confidentiality agreement. A client mayrequire the lawyer to implement special security measures notrequired by this Rule or may give informed consent to theuse of a means of communication that would otherwise beprohibited by this Rule. Whether a lawyer may be required totake additional steps in order to comply with other law, suchas state and federal laws that govern data privacy, is beyondthe scope of these Rules.

Former Client. The duty of confidentiality continues afterthe client-lawyer relationship has terminated. See Rule 1.9 (c)(2). See Rule 1.9 (c) (1) for the prohibition against using suchinformation to the disadvantage of the former client.

Rule 1.7. Conflict of Interest: Current Clients(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) Except as provided in subsection (b), a law-

yer shall not represent a client if the representationinvolves a concurrent conflict of interest. A concur-rent conflict of interest exists if:

(1) the representation of one client will bedirectly adverse to another client; or

(2) there is a significant risk that the representa-tion of one or more clients will be materially limitedby the lawyer’s responsibilities to another client,a former client or a third person or by a personalinterest of the lawyer.

(b) Notwithstanding the existence of a concur-rent conflict of interest under subsection (a), alawyer may represent a client if:

(1) the lawyer reasonably believes that the law-yer will be able to provide competent and diligentrepresentation to each affected client;

(2) the representation is not prohibited by law;(3) the representation does not involve the

assertion of a claim by one client against anotherclient represented by the lawyer in the same litiga-tion or the same proceeding before any tribu-nal; and

(4) each affected client gives informed consent,confirmed in writing.


COMMENTARY: General Principles. Loyalty and inde-pendent judgment are essential elements in the lawyer’s rela-tionship to a client. Concurrent conflicts of interest can arisefrom the lawyer’s responsibilities to another client, a formerclient or a third person or from the lawyer’s own interests. Forspecific Rules regarding certain concurrent conflicts of interest,see Rule 1.8. For former client conflicts of interest, see Rule1.9. For conflicts of interest involving prospective clients, seeRule 1.18. For definitions of ‘‘informed consent’’ and ‘‘con-firmed in writing,’’ see Rule 1.0 (f) and (c).

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Resolution of a conflict of interest problem under this Rulerequires the lawyer to: 1) clearly identify the client or clients;2) determine whether a conflict of interest exists; 3) decidewhether the representation may be undertaken despite theexistence of a conflict, i.e., whether the conflict is consentable;and 4) if so, consult with the clients affected under subsection(a) and obtain their informed consent, confirmed in writing.The clients affected under subsection (a) include both of theclients referred to in subsection (a) (1) and the one or moreclients whose representation might be materially limited undersubsection (a) (2).

A conflict of interest may exist before representation isundertaken, in which event the representation must bedeclined, unless the lawyer obtains the informed consent ofeach client under the conditions of subsection (b). To deter-mine whether a conflict of interest exists, a lawyer shouldadopt reasonable procedures, appropriate for the size andtype of firm and practice, to determine in both litigation andnonlitigation matters the persons and issues involved. Seealso Commentary to Rule 5.1. Ignorance caused by a failureto institute such procedures will not excuse a lawyer’s violationof this Rule. As to whether a client-lawyer relationship existsor, having once been established, is continuing, see Commen-tary to Rule 1.3 and Scope.

If a conflict arises after representation has been undertaken,the lawyer ordinarily must withdraw from the representation,unless the lawyer has obtained the informed consent of theclient under the conditions of subsection (b). See Rule 1.16.Where more than one client is involved, whether the lawyermay continue to represent any of the clients is determinedboth by the lawyer’s ability to comply with duties owed to theformer client and by the lawyer’s ability to represent adequatelythe remaining client or clients, given the lawyer’s duties to theformer client. See Rule 1.9; see also the next paragraph inthis Commentary and the first paragraph under the ‘‘SpecialConsiderations in Common Representation’’ heading, below.

Unforeseeable developments, such as changes in corpo-rate and other organizational affiliations or the addition orrealignment of parties in litigation, might create conflicts in themidst of a representation, as when a company sued by thelawyer on behalf of one client is bought by another clientrepresented by the lawyer in an unrelated matter. Dependingon the circumstances, the lawyer may have the option to with-draw from one of the representations in order to avoid theconflict. The lawyer must seek court approval where necessaryand take steps to minimize harm to the clients. See Rule 1.16.The lawyer must continue to protect the confidences of theclient from whose representation the lawyer has withdrawn.See Rule 1.9 (c).

Identifying Conflicts of Interest: Directly Adverse. Loy-alty to a current client prohibits undertaking representationdirectly adverse to that client without that client’s informedconsent. Thus, absent consent, a lawyer may not act as advo-cate in one matter against a person the lawyer represents insome other matter, even when the matters are wholly unre-lated. The client as to whom the representation is directlyadverse is likely to feel betrayed, and the resulting damageto the client-lawyer relationship is likely to impair the lawyer’sability to represent the client effectively. In addition, the clienton whose behalf the adverse representation is undertakenreasonably may fear that the lawyer will pursue that client’scase less effectively out of deference to the other client, i.e.,that the representation may be materially limited by the law-yer’s interest in retaining the current client. Similarly, a directlyadverse conflict may arise when a lawyer is required to cross-examine a client who appears as a witness in a lawsuit involv-ing another client, as when the testimony will be damaging to


the client who is represented in the lawsuit. On the other hand,simultaneous representation in unrelated matters of clientswhose interests are only economically adverse, such as repre-sentation of competing economic enterprises in unrelated liti-gation, does not ordinarily constitute a conflict of interest andthus may not require consent of the respective clients.

Directly adverse conflicts can also arise in transactionalmatters. For example, if a lawyer is asked to represent theseller of a business in negotiations with a buyer representedby the lawyer, not in the same transaction but in another,unrelated matter, the lawyer could not undertake the represen-tation without the informed consent of each client.

Identifying Conflicts of Interest: Material Limitation.Even where there is no direct adverseness, a conflict of interestexists if there is a significant risk that a lawyer’s ability toconsider, recommend or carry out an appropriate course ofaction for the client will be materially limited as a result of thelawyer’s other responsibilities or interests. For example, alawyer asked to represent several individuals seeking to forma joint venture is likely to be materially limited in the lawyer’sability to recommend or advocate all possible positions thateach might take because of the lawyer’s duty of loyalty to theothers. The conflict in effect forecloses alternatives that wouldotherwise be available to the client. The mere possibility ofsubsequent harm does not itself require disclosure and con-sent. The critical questions are the likelihood that a differencein interests will eventuate and, if it does, whether it will materi-ally interfere with the lawyer’s independent professional judg-ment in considering alternatives or foreclose courses of actionthat reasonably should be pursued on behalf of the client.

Lawyer’s Responsibilities to Former Clients and OtherThird Persons. In addition to conflicts with other current cli-ents, a lawyer’s duties of loyalty and independence may bematerially limited by responsibilities to former clients underRule 1.9 or by the lawyer’s responsibilities to other persons,such as fiduciary duties arising from a lawyer’s service as atrustee, executor or corporate director.

Personal Interest Conflicts. The lawyer’s own interestsmust not be permitted to have an adverse effect on representa-tion of a client. For example, if the probity of a lawyer’s ownconduct in a transaction is in serious question, it may be difficultor impossible for the lawyer to give a client detached advice.Similarly, when a lawyer has discussions concerning possibleemployment with an opponent of the lawyer’s client, or witha law firm representing the opponent, such discussions couldmaterially limit the lawyer’s representation of the client. Inaddition, a lawyer may not allow related business interests toaffect representation, for example, by referring clients to anenterprise in which the lawyer has an undisclosed financialinterest. See Rule 1.8 for specific Rules pertaining to a numberof personal interest conflicts, including business transactionswith clients; see also Rule 1.10 (personal interest conflictsunder Rule 1.7 ordinarily are not imputed to other lawyers ina law firm).

When lawyers representing different clients in the samematter or in substantially related matters are closely relatedby blood or marriage, there may be a significant risk thatclient confidences will be revealed and that the lawyer’s familyrelationship will interfere with both loyalty and independentprofessional judgment. As a result, each client is entitled toknow of the existence and implications of the relationshipbetween the lawyers before the lawyer agrees to undertakethe representation. Thus, a lawyer related to another lawyer,e.g., as parent, child, sibling or spouse, ordinarily may notrepresent a client in a matter where that lawyer is representinganother party, unless each client gives informed consent. The

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disqualification arising from a close family relationship is per-sonal and ordinarily is not imputed to members of firms withwhom the lawyers are associated. See Rule 1.10.

A lawyer is prohibited from engaging in a sexual relationshipwith a client unless the sexual relationship predates the forma-tion of the client-lawyer relationship. See Rule 1.8 (j).

Interest of Person Paying for a Lawyer’s Service. Alawyer may be paid from a source other than the client, includ-ing a co-client, if the client is informed of that fact and consentsand the arrangement does not compromise the lawyer’s dutyof loyalty or independent judgment to the client. See Rule1.8 (f). If acceptance of the payment from any other sourcepresents a significant risk that the lawyer’s representation ofthe client will be materially limited by the lawyer’s own interestin accommodating the person paying the lawyer’s fee or bythe lawyer’s responsibilities to a payer who is also a co-client,then the lawyer must comply with the requirements of subsec-tion (b) before accepting the representation, includingdetermining whether the conflict is consentable and, if so, thatthe client has adequate information about the material risksof the representation.

Prohibited Representations. Ordinarily, clients may con-sent to representation notwithstanding a conflict. However, asindicated in subsection (b), some conflicts are noncon-sentable, meaning that the lawyer involved cannot properlyask for such agreement or provide representation on the basisof the client’s consent. When the lawyer is representing morethan one client, the question of consentability must be resolvedas to each client.

Consentability is typically determined by consideringwhether the interests of the clients will be adequately protectedif the clients are permitted to give their informed consent torepresentation burdened by a conflict of interest. Thus, undersubsection (b) (1), representation is prohibited if in the circum-stances the lawyer cannot reasonably conclude that the lawyerwill be able to provide competent and diligent representation.See Rule 1.1 (competence) and Rule 1.3 (diligence).

Subsection (b) (2) describes conflicts that are noncon-sentable because the representation is prohibited by applica-ble law.

Subsection (b) (3) describes conflicts that are noncon-sentable because of the institutional interest in vigorous devel-opment of each client’s position when the clients are aligneddirectly against each other in the same litigation or the sameproceeding before any tribunal. Whether clients are aligneddirectly against each other within the meaning of this para-graph requires examination of the context of the proceeding.Although this paragraph does not preclude a lawyer’s multiplerepresentation of adverse parties to a mediation (becausemediation is not a proceeding before a ‘‘tribunal’’ under Rule1.0 [n]), such representation may be precluded by subsection(b) (1).

Informed Consent. Informed consent requires that eachaffected client be aware of the relevant circumstances and ofthe material and reasonably foreseeable ways that the conflictcould have adverse effects on the interests of that client. SeeRule 1.0 (f) (informed consent). The information requireddepends on the nature of the conflict and the nature of therisks involved. When representation of multiple clients in asingle matter is undertaken, the information must include theimplications of the common representation, including possibleeffects on loyalty, confidentiality and the attorney-client privi-lege and the advantages and risks involved. See second andthird paragraphs under the ‘‘Special Considerations in Com-mon Representation’’ heading in this Commentary, below(effect of common representation on confidentiality).


Under some circumstances it may be impossible to makethe disclosure necessary to obtain consent. For example,when the lawyer represents different clients in related mattersand one of the clients refuses to consent to the disclosurenecessary to permit the other client to make an informed deci-sion, the lawyer cannot properly ask the latter to consent. Insome cases the alternative to common representation can bethat each party may have to obtain separate representationwith the possibility of incurring additional costs. These costs,along with the benefits of securing separate representation,are factors that may be considered by the affected client indetermining whether common representation is in the cli-ent’s interests.

Consent Confirmed in Writing. Subsection (b) requiresthe lawyer to obtain the informed consent of the client, con-firmed in writing. Such a writing may consist of a documentexecuted by the client or one that the lawyer promptly recordsand transmits to the client following an oral consent. SeeRule 1.0 (c); see also Rule 1.0 (o) (writing includes electronictransmission). If it is not feasible to obtain or transmit thewriting at the time the client gives informed consent, then thelawyer must obtain or transmit it within a reasonable timethereafter. See Rule 1.0 (c). The requirement of a writing doesnot supplant the need in most cases for the lawyer to talkwith the client, to explain the risks and advantages, if any, ofrepresentation burdened with a conflict of interest, as well asreasonably available alternatives, and to afford the client areasonable opportunity to consider the risks and alternativesand to raise questions and concerns. Rather, the writing isrequired in order to impress upon clients the seriousness ofthe decision the client is being asked to make and to avoiddisputes or ambiguities that might later occur in the absenceof a writing.

Revoking Consent. A client who has given consent to aconflict may revoke the consent and, like any other client, mayterminate the lawyer’s representation at any time. Whetherrevoking consent to the client’s own representation precludesthe lawyer from continuing to represent other clients dependson the circumstances, including the nature of the conflict,whether the client revoked consent because of a materialchange in circumstances, the reasonable expectations of theother clients and whether material detriment to the other clientsor the lawyer would result.

Consent to Future Conflict. Whether a lawyer may prop-erly request a client to waive conflicts that might arise in thefuture is subject to the test of subsection (b). The effectivenessof such waivers is generally determined by the extent to whichthe client reasonably understands the material risks that thewaiver entails. The more comprehensive the explanation ofthe types of future conflicts that might arise and the actualand reasonably foreseeable adverse consequences of thoseconflicts, the greater the likelihood that the client will have therequisite understanding. Thus, if the client agrees to consentto a particular type of conflict with which the client is alreadyfamiliar, then the consent ordinarily will be effective with regardto that type of conflict. If the consent is general and open-ended, then the consent ordinarily will be ineffective, becauseit is not reasonably likely that the client will have understoodthe material risks involved. On the other hand, if the client isan experienced user of the legal services involved and isreasonably informed regarding the risk that a conflict mayarise, such consent is more likely to be effective, particularlyif, e.g., the client is independently represented by other counselin giving consent and the consent is limited to future conflictsunrelated to the subject of the representation. In any case,advance consent cannot be effective if the circumstances that

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materialize in the future are such as would make the conflictnonconsentable under subsection (b).

Conflicts in Litigation. Subsection (b) (3) prohibits repre-sentation of opposing parties in the same litigation, regardlessof the clients’ consent. On the other hand, simultaneous repre-sentation of parties whose interests in litigation may conflict,such as coplaintiffs or codefendants, is governed by subsec-tion (a) (2). A conflict may exist by reason of substantial dis-crepancy in the parties’ testimony, incompatibility in positionsin relation to an opposing party or the fact that there aresubstantially different possibilities of settlement of the claimsor liabilities in question. Such conflicts can arise in criminalcases as well as civil. The potential for conflict of interest inrepresenting multiple defendants in a criminal case is so gravethat ordinarily a lawyer should decline to represent more thanone codefendant. On the other hand, common representationof persons having similar interests in civil litigation is properif the requirements of subsection (b) are met.

Ordinarily, a lawyer may take inconsistent legal positionsin different tribunals at different times on behalf of differentclients. The mere fact that advocating a legal position on behalfof one client might create precedent adverse to the interestsof a client represented by the lawyer in an unrelated matterdoes not create a conflict of interest. A conflict of interestexists, however, if there is a significant risk that a lawyer’saction on behalf of one client will materially limit the lawyer’seffectiveness in representing another client in a different case;for example, when a decision favoring one client will createa precedent likely to seriously weaken the position taken onbehalf of the other client. Factors relevant in determiningwhether the clients need to be advised of the risk include:where the cases are pending, whether the issue is substantiveor procedural, the temporal relationship between the matters,the significance of the issue to the immediate and long-terminterests of the clients involved and the clients’ reasonableexpectations in retaining the lawyer. If there is significant riskof material limitation, then absent informed consent of theaffected clients, the lawyer must refuse one of the representa-tions or withdraw from one or both matters.

When a lawyer represents or seeks to represent a class ofplaintiffs or defendants in a class action lawsuit, unnamedmembers of the class are ordinarily not considered to be clientsof the lawyer for purposes of applying subsection (a) (1) ofthis Rule. Thus, the lawyer does not typically need to get theconsent of such a person before representing a client suingthe person in an unrelated matter. Similarly, a lawyer seekingto represent an opponent in a class action does not typicallyneed the consent of an unnamed member of the class whomthe lawyer represents in an unrelated matter.

Nonlitigation Conflicts. Conflicts of interest under subsec-tions (a) (1) and (a) (2) arise in contexts other than litigation.For a discussion of directly adverse conflicts in transactionalmatters, see second paragraph under ‘‘Identifying Conflicts ofInterest: Directly Adverse’’ heading in this Commentary,above. Relevant factors in determining whether there is signifi-cant risk of material limitation include the duration and intimacyof the lawyer’s relationship with the client or clients involved,the functions being performed by the lawyer, the likelihoodthat disagreements will arise and the likely prejudice to theclient from the conflict. The question is often one of proximityand degree. See first paragraph under ‘‘Identifying Conflictsof Interest: Material Limitation’’ heading in this Commentary,above.

For example, conflict questions may also arise in estateplanning and estate administration. A lawyer may be calledupon to prepare wills for several family members, such ashusband and wife, and, depending upon the circumstances,


a conflict of interest may be present. In estate administration,the identity of the client may be unclear under the law of aparticular jurisdiction. Under one view, the client is the fidu-ciary; under another view the client is the estate or trust,including its beneficiaries. In order to comply with conflict ofinterest rules, the lawyer should make clear the lawyer’s rela-tionship to the parties involved.

Whether a conflict is consentable depends on the circum-stances. For example, a lawyer may not represent multipleparties to a negotiation whose interests are fundamentallyantagonistic to each other, but common representation is per-missible where the clients are generally aligned in interesteven though there is some difference in interest among them.Thus, a lawyer may seek to establish or adjust a relationshipbetween clients on an amicable and mutually advantageousbasis; for example, in helping to organize a business in whichtwo or more clients are entrepreneurs, working out the financialreorganization of an enterprise in which two or more clientshave an interest or arranging a property distribution in settle-ment of an estate. The lawyer seeks to resolve potentiallyadverse interests by developing the parties’ mutual interests.Otherwise, each party might have to obtain separate represen-tation, with the possibility of incurring additional cost, complica-tion or even litigation. Given these and other relevant factors,the clients may prefer that the lawyer act for all of them.

Special Considerations in Common Representation. Inconsidering whether to represent multiple clients in the samematter, a lawyer should be mindful that if the common repre-sentation fails because the potentially adverse interests cannotbe reconciled, the result can be additional cost, embar-rassment and recrimination. Ordinarily, the lawyer will beforced to withdraw from representing all of the clients if thecommon representation fails. In some situations, the risk offailure is so great that multiple representation is plainly impos-sible. For example, a lawyer cannot undertake common repre-sentation of clients where contentious litigation or negotiationsbetween them are imminent or contemplated. Moreover,because the lawyer is required to be impartial between com-monly represented clients, representation of multiple clients isimproper when it is unlikely that impartiality can be maintained.Generally, if the relationship between the parties has alreadyassumed antagonism, the possibility that the clients’ interestscan be adequately served by common representation is notvery good. Other relevant factors are whether the lawyer sub-sequently will represent both parties on a continuing basisand whether the situation involves creating or terminating arelationship between the parties.

A particularly important factor in determining the appropri-ateness of common representation is the effect on client-law-yer confidentiality and the attorney-client privilege.

As to the duty of confidentiality, continued common repre-sentation will almost certainly be inappropriate if one clientasks the lawyer not to disclose to the other client informationrelevant to the common representation. This is so becausethe lawyer has an equal duty of loyalty to each client, and thelawyer should inform each client that each client has the rightto be informed of anything bearing on the representation thatmight affect that client’s interests and the right to expect thatthe lawyer will use that information to that client’s benefit. SeeRule 1.4. To that end, the lawyer must, at the outset of thecommon representation and as part of the process of obtainingeach client’s informed consent, advise each client that informa-tion will be shared and that the lawyer will have to withdrawif one client decides prior to disclosure that some matter mate-rial to the representation should be disclosed to the lawyerbut be kept from the other. In limited circumstances, it may

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be appropriate for the lawyer to proceed with the representa-tion when the clients have agreed, after being properlyinformed, that the lawyer will keep certain information confi-dential. For example, the lawyer may reasonably concludethat failure to disclose one client’s trade secrets to anotherclient will not adversely affect representation involving a jointventure between the clients and agree to keep that informationconfidential with the informed consent of both clients.

When seeking to establish or adjust a relationship betweenclients, the lawyer should make clear that the lawyer’s role isnot that of partisanship normally expected in other circum-stances and, thus, that the clients may be required to assumegreater responsibility for decisions than when each client isseparately represented. Any limitations on the scope of therepresentation made necessary as a result of the commonrepresentation should be fully explained to the clients at theoutset of the representation. See Rule 1.2 (c).

Subject to the above limitations, each client in the commonrepresentation has the right to loyal and diligent representationand the protection of Rule 1.9 concerning the obligations toa former client. The client also has the right to discharge thelawyer as stated in Rule 1.16.

Organizational Clients. A lawyer who represents a corpo-ration or other organization does not, by virtue of that represen-tation, necessarily represent any constituent or affiliatedorganization, such as a parent or subsidiary. See Rule 1.13(a). Thus, the lawyer for an organization is not barred fromaccepting representation adverse to an affiliate in an unrelatedmatter, unless the circumstances are such that the affiliateshould also be considered a client of the lawyer, there isan understanding between the lawyer and the organizationalclient that the lawyer will avoid representation adverse to theclient’s affiliates, or the lawyer’s obligations to either the organi-zational client or the new client are likely to limit materially thelawyer’s representation of the other client.

A lawyer for a corporation or other organization who is alsoa member of its board of directors should determine whetherthe responsibilities of the two roles may conflict. The lawyermay be called on to advise the corporation in matters involvingactions of the directors. Consideration should be given to thefrequency with which such situations may arise, the potentialintensity of the conflict, the effect of the lawyer’s resignationfrom the board and the possibility of the corporation’s obtaininglegal advice from another lawyer in such situations. If thereis material risk that the dual role will compromise the lawyer’sindependence of professional judgment, the lawyer should notserve as a director or should cease to act as the corporation’slawyer when conflicts of interest arise. The lawyer shouldadvise the other members of the board that in some circum-stances matters discussed at board meetings while the lawyeris present in the capacity of director might not be protectedby the attorney-client privilege and that conflict of interestconsiderations might require the lawyer’s recusal as a directoror might require the lawyer and the lawyer’s firm to declinerepresentation of the corporation in a matter.

Conflict Charged by an Opposing Party. Resolving ques-tions of conflict of interest is primarily the responsibility of thelawyer undertaking the representation. In litigation, a courtmay raise the question when there is reason to infer that thelawyer has neglected the responsibility. In a criminal case,inquiry by the court is generally required when a lawyer repre-sents multiple defendants. Where the conflict is such as clearlyto call in question the fair or efficient administration of justice,opposing counsel may properly raise the question. Such anobjection should be viewed with caution, however, for it canbe misused as a technique of harassment.


Rule 1.8. Conflict of Interest: ProhibitedTransactions(a) A lawyer shall not enter into a business

transaction, including investment services, with aclient or former client or knowingly acquire anownership, possessory, security or other pecuni-ary interest adverse to a client or former clientunless:

(1) The transaction and terms on which the law-yer acquires the interest are fair and reasonableto the client or former client and are fully disclosedand transmitted in writing to the client or formerclient in a manner that can be reasonably under-stood by the client or former client;

(2) The client or former client is advised in writ-ing that the client or former client should considerthe desirability of seeking and is given a reason-able opportunity to seek the advice of independentlegal counsel in the transaction;

(3) The client or former client gives informedconsent in writing signed by the client or formerclient, to the essential terms of the transactionand the lawyer’s role in the transaction, includingwhether the lawyer is representing the client inthe transaction;

(4) With regard to a business transaction, thelawyer advises the client or former client in writingeither (A) that the lawyer will provide legal servicesto the client or former client concerning the trans-action, or (B) that the lawyer will not provide legalservices to the client or former client and that thelawyer is involved as a business person only andnot as a lawyer representing the client or formerclient and that the lawyer is not one to whom theclient or former client can turn for legal adviceconcerning the transaction; and

(5) With regard to the providing of investmentservices, the lawyer advises the client or formerclient in writing (A) whether such services arecovered by legal liability insurance or other insur-ance, and either (B) that the lawyer will providelegal services to the client or former client con-cerning the transaction, or (C) that the lawyer willnot provide legal services to the client or formerclient and that the lawyer is involved as a businessperson only and not as a lawyer representing theclient or former client and that the lawyer is notone to whom the client or former client can turnto for legal services concerning the transaction.Investment services shall only apply where thelawyer has either a direct or indirect control overthe invested funds and a direct or indirect interestin the underlying investment.

For purposes of subsection (a) (1) through (a)(5), the phrase ‘‘former client’’ shall mean a clientfor whom the two-year period starting from theconclusion of representation has not expired.

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(b) A lawyer shall not use information relatingto representation of a client to the disadvantage ofthe client unless the client gives informed consent,except as permitted or required by these Rules.

(c) A lawyer shall not solicit any substantial giftfrom a client, including a testamentary gift, or pre-pare on behalf of a client an instrument givingthe lawyer or a person related to the lawyer anysubstantial gift, unless the lawyer or other recipi-ent of the gift is related to the client. For purposesof this paragraph, related persons include aspouse, child, grandchild, parent, grandparent orother relative or individual with whom the lawyer orthe client maintains a close, familial relationship.

(d) Prior to the conclusion of representation ofa client, a lawyer shall not make or negotiate anagreement giving the lawyer literary or mediarights to a portrayal or account based in substan-tial part on information relating to the represen-tation.

(e) A lawyer shall not provide financial assis-tance to a client in connection with pending orcontemplated litigation, except that:

(1) A lawyer may pay court costs and expensesof litigation on behalf of a client, the repaymentof which may be contingent on the outcome ofthe matter;

(2) A lawyer representing an indigent client maypay court costs and expenses of litigation onbehalf of the client.

(f) A lawyer shall not accept compensation forrepresenting a client from one other than the cli-ent unless:

(1) The client gives informed consent; subjectto revocation by the client, such informed consentshall be implied where the lawyer is retained torepresent a client by a third party obligated underthe terms of a contract to provide the client witha defense;

(2) There is no interference with the lawyer’sindependence of professional judgment or withthe client-lawyer relationship; and

(3) Information relating to representation of aclient is protected as required by Rule 1.6.

(g) A lawyer who represents two or more clientsshall not participate in making an aggregate settle-ment of the claims of or against the clients, or ina criminal case an aggregated agreement as toguilty or nolo contendere pleas, unless each clientgives informed consent, in a writing signed by theclient. The lawyer’s disclosure shall include theexistence and nature of all the claims or pleasinvolved and of the participation of each personin the settlement. Subject to revocation by theclient and to the terms of the contract, suchinformed consent shall be implied and need not


be in writing where the lawyer is retained to repre-sent a client by a third party obligated under theterms of a contract to provide the client with adefense and indemnity for the loss and the thirdparty elects to settle a matter without contributionby the client.

(h) A lawyer shall not:(1) Make an agreement prospectively limiting

the lawyer’s liability to a client for malpracticeunless the client is independently represented inmaking the agreement; or

(2) Settle a claim or potential claim for suchliability with an unrepresented client or former cli-ent unless that person is advised in writing of thedesirability of seeking and is given a reasonableopportunity to seek the advice of independentlegal counsel in connection therewith.

(i) A lawyer shall not acquire a proprietary inter-est in the cause of action or subject matter oflitigation the lawyer is conducting for a client,except that the lawyer may:

(1) Acquire a lien granted by law to secure thelawyer’s fee or expenses; and

(2) Contract with a client for a reasonable con-tingent fee in a civil case.

(j) A lawyer shall not have sexual relations witha client unless a consensual sexual relationshipexisted between them when the client-lawyer rela-tionship commenced.

(k) While lawyers are associated in a firm, aprohibition in the foregoing subsection (a) through(i) that applies to any one of them shall apply toall of them.


COMMENTARY: Business Transactions between Clientand Lawyer. Subsection (a) expressly applies to former clientsas well as existing clients. A lawyer’s legal skill and training,together with the relationship of trust and confidence betweenlawyer and client, create the possibility of overreaching whenthe lawyer participates in a business, property or financialtransaction with a client, for example, a loan or sales transac-tion or a lawyer investment on behalf of a client. The require-ments of subsection (a) must be met even when the transactionis not closely related to the subject matter of the representation,as when a lawyer drafting a will for a client learns that theclient needs money for unrelated expenses and offers to makea loan to the client. It also applies to lawyers purchasing prop-erty from estates they represent. It does not apply to ordinaryfee arrangements between client and lawyer, which are gov-erned by Rule 1.5, although its requirements must be metwhen the lawyer accepts an interest in the client’s businessor other nonmonetary property as payment of all or part of afee. In addition, the Rule does not apply to standard commer-cial transactions between the lawyer and the client for productsor services that the client generally markets to others, forexample, banking or brokerage services, products manufac-tured or distributed by the client, and utilities’ services. In suchtransactions, the lawyer has no advantage in dealing with the

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client, and the restrictions in subsection (a) are unnecessaryand impracticable.

Subsection (a) (1) requires that the transaction itself be fairto the client and that its essential terms be communicatedto the client, in writing, in a manner that can be reasonablyunderstood. Subsection (a) (2) requires that the client also beadvised, in writing, of the desirability of seeking the advice ofindependent legal counsel. It also requires that the client begiven a reasonable opportunity to obtain such advice. Subsec-tion (a) (3) requires that the lawyer obtain the client’s informedconsent, in a writing signed by the client, both to the essentialterms of the transaction and to the lawyer’s role. When neces-sary, the lawyer should discuss both the material risks ofthe proposed transaction, including any risk presented by thelawyer’s involvement, and the existence of reasonably avail-able alternatives and should explain why the advice of inde-pendent legal counsel is desirable. See Rule 1.0 (f) (definitionof informed consent).

The risk to a client is greatest when the client expects thelawyer to represent the client in the transaction itself or whenthe lawyer’s financial interest otherwise poses a significant riskthat the lawyer’s representation of the client will be materiallylimited by the lawyer’s financial interest in the transaction.Here, the lawyer’s role requires that the lawyer must comply,not only with the requirements of subsection (a), but also withthe requirements of Rule 1.7. Under that Rule, the lawyer mustdisclose the risks associated with the lawyer’s dual role asboth legal adviser and participant in the transaction, such asthe risk that the lawyer will structure the transaction or givelegal advice in a way that favors the lawyer’s interests at theexpense of the client. Moreover, the lawyer must obtain theclient’s informed consent. In some cases, the lawyer’s interestmay be such that Rule 1.7 will preclude the lawyer from seekingthe client’s consent to the transaction.

If the client is independently represented in the transaction,subsection (a) (2) of this Rule is inapplicable, and the subsec-tion (a) (1) requirement for full disclosure is satisfied either bya written disclosure by the lawyer involved in the transactionor by the client’s independent counsel. The fact that the clientwas independently represented in the transaction is relevantin determining whether the agreement was fair and reasonableto the client as subsection (a) (1) further requires.

Use of Information Related to Representation. Use ofinformation relating to the representation to the disadvantageof the client violates the lawyer’s duty of loyalty. Subsection(b) applies when the information is used to benefit either thelawyer or a third person, such as another client or businessassociate of the lawyer. For example, if a lawyer learns thata client intends to purchase and develop several parcels ofland, the lawyer may not use that information to purchase oneof the parcels in competition with the client or to recommendthat another client make such a purchase. The Rule does notprohibit uses that do not disadvantage the client. For example,a lawyer who learns a government agency’s interpretation oftrade legislation during the representation of one client mayproperly use that information to benefit other clients. Subsec-tion (b) prohibits disadvantageous use of client informationunless the client gives informed consent, except as permittedor required by these Rules. See Rules 1.2 (d), 1.6, 1.9 (c),3.3, 4.1 (b), 8.1 and 8.3.

Gifts to Lawyers. A lawyer may accept a gift from a client,if the transaction meets general standards of fairness. Forexample, a simple gift such as a present given at a holidayor as a token of appreciation is permitted. If a client offers thelawyer a more substantial gift, subsection (c) does not prohibitthe lawyer from accepting it, although such a gift may bevoidable by the client under the doctrine of undue influence,


which treats client gifts as presumptively fraudulent. In anyevent, due to concerns about overreaching and imposition onclients, a lawyer may not suggest that a substantial gift bemade to the lawyer or for the lawyer’s benefit, except wherethe lawyer is related to the client as set forth in paragraph (c).

If effectuation of a substantial gift requires preparing a legalinstrument such as a will or conveyance, the client shouldhave the detached advice that another lawyer can provide.The sole exception to this Rule is where the client is a relativeof the donee.

This Rule does not prohibit a lawyer from seeking to havethe lawyer or a partner or associate of the lawyer named asexecutor of the client’s estate or to another potentially lucrativefiduciary position. Nevertheless, such appointments will besubject to the general conflict of interest provision in Rule 1.7when there is a significant risk that the lawyer’s interest inobtaining the appointment will materially limit the lawyer’s inde-pendent professional judgment in advising the client concern-ing the choice of an executor or other fiduciary. In obtainingthe client’s informed consent to the conflict, the lawyer shouldadvise the client concerning the nature and extent of the law-yer’s financial interest in the appointment, as well as the avail-ability of alternative candidates for the position.

Literary Rights. An agreement by which a lawyer acquiresliterary or media rights concerning the conduct of the represen-tation creates a conflict between the interests of the client andthe personal interests of the lawyer. Measures suitable in therepresentation of the client may detract from the publicationvalue of an account of the representation. Subsection (d) doesnot prohibit a lawyer representing a client in a transactionconcerning literary property from agreeing that the lawyer’sfee shall consist of a share in ownership in the property, if thearrangement conforms to Rule 1.5 and subsections (a) and (i).

Financial Assistance. Lawyers may not subsidize lawsuitsor administrative proceedings brought on behalf of their clients,including making or guaranteeing loans to their clients for livingexpenses, because to do so would encourage clients to pursuelawsuits that might not otherwise be brought and becausesuch assistance gives lawyers too great a financial stake inthe litigation. These dangers do not warrant a prohibition ona lawyer lending a client court costs and litigation expenses,including the expenses of medical examination and the costsof obtaining and presenting evidence, because theseadvances are virtually indistinguishable from contingent feesand help ensure access to the courts. Similarly, an exceptionallowing lawyers representing indigent clients to pay courtcosts and litigation expenses regardless of whether thesefunds will be repaid is warranted.

Person Paying for a Lawyer’s Services. Subsection (f)requires disclosure of the fact that the lawyer’s services arebeing paid for by a third party. Such an arrangement mustalso conform to the requirements of Rule 1.6 concerning confi-dentiality and Rule 1.7 concerning conflict of interest. Wherethe client is a class, consent may be obtained on behalf ofthe class by court-supervised procedure.

Lawyers are frequently asked to represent a client undercircumstances in which a third person will compensate thelawyer, in whole or in part. The third person might be a relativeor friend, an indemnitor (such as a liability insurance company)or a co-client (such as a corporation sued along with one ormore of its employees). Because third-party payers frequentlyhave interests that differ from those of the client, includinginterests in minimizing the amount spent on the representationand in learning how the representation is progressing, lawyersare prohibited from accepting or continuing such representa-tions unless the lawyer determines that there will be no interfer-ence with the lawyer’s independent professional judgment and

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there is informed consent from the client. See also Rule 5.4(c) (prohibiting interference with a lawyer’s professional judg-ment by one who recommends, employs or pays the lawyerto render legal services for another).

Sometimes, it will be sufficient for the lawyer to obtain theclient’s informed consent regarding the fact of the paymentand the identity of the third-party payer. If, however, the feearrangement creates a conflict of interest for the lawyer, thenthe lawyer must comply with Rule 1.7. The lawyer must alsoconform to the requirements of Rule 1.6 concerning confidenti-ality. Under Rule 1.7 (a), a conflict of interest exists if thereis significant risk that the lawyer’s representation of the clientwill be materially limited by the lawyer’s own interest in thefee arrangement or by the lawyer’s responsibilities to the third-party payer (for example, when the third-party payer is a co-client). Under Rule 1.7 (b), the lawyer may accept or continuethe representation with the informed consent of each affectedclient, unless the conflict is nonconsentable under that subsec-tion. Under Rule 1.7 (b), the informed consent must be con-firmed in writing.

Aggregate Settlements. Differences in willingness tomake or accept an offer of settlement are among the risks ofcommon representation of multiple clients by a single lawyer.Under Rule 1.7, this is one of the risks that should be discussedbefore undertaking the representation, as part of the processof obtaining the clients’ informed consent. In addition, Rule1.2 (a) protects each client’s right to have the final say indeciding whether to accept or reject an offer of settlement andin deciding whether to enter a guilty or nolo contendere pleain a criminal case. The rule stated in this paragraph is a corol-lary of both these Rules and provides that, before any settle-ment offer or plea bargain is made or accepted on behalf ofmultiple clients, the lawyer must inform each of them aboutall the material terms of the settlement, including what theother clients will receive or pay if the settlement or plea offer isaccepted. See also Rule 1.0 (f) (definition of informed consent).Lawyers representing a class of plaintiffs or defendants, orthose proceeding derivatively, may not have a full client-lawyerrelationship with each member of the class; nevertheless, suchlawyers must comply with applicable rules regulating notifica-tion of class members and other procedural requirementsdesigned to ensure adequate protection of the entire class.

Limiting Liability and Settling Malpractice Claims.Agreements prospectively limiting a lawyer’s liability for mal-practice are prohibited unless the client is independently repre-sented in making the agreement because they are likely toundermine competent and diligent representation. Also, manyclients are unable to evaluate the desirability of making suchan agreement before a dispute has arisen, particularly if theyare then represented by the lawyer seeking the agreement.This subsection does not, however, prohibit a lawyer fromentering into an agreement with the client to arbitrate legalmalpractice claims, provided such agreements are enforce-able and the client is fully informed of the scope and effect ofthe agreement. Nor does this subsection limit the ability oflawyers to practice in the form of a limited-liability entity, wherepermitted by law, provided that each lawyer remains personallyliable to the client for his or her own conduct and the firmcomplies with any conditions required by law, such as provi-sions requiring client notification or maintenance of adequateliability insurance. Nor does it prohibit an agreement in accord-ance with Rule 1.2 that defines the scope of the representation,although a definition of scope that makes the obligations ofrepresentation illusory will amount to an attempt to limit liability.

Agreements settling a claim or a potential claim for malprac-tice are not prohibited by this Rule. Nevertheless, in view ofthe danger that a lawyer will take unfair advantage of an


unrepresented client or former client, the lawyer must firstadvise such a person in writing of the appropriateness ofindependent representation in connection with such a settle-ment. In addition, the lawyer must give the client or formerclient a reasonable opportunity to find and consult indepen-dent counsel.

Acquiring Proprietary Interest in Litigation. Subsection(i) states the traditional general rule that lawyers are prohibitedfrom acquiring a proprietary interest in litigation. Like subsec-tion (e), the general rule, which has its basis in common-lawchamperty and maintenance, is designed to avoid giving thelawyer too great an interest in the representation. In addition,when the lawyer acquires an ownership interest in the subjectof the representation, it will be more difficult for a client todischarge the lawyer if the client so desires. The Rule is subjectto specific exceptions developed in decisional law and contin-ued in these Rules. The exception for certain advances of thecosts of litigation is set forth in subsection (e). In addition,subsection (i) sets forth exceptions for liens authorized by lawto secure the lawyer’s fees or expenses and contracts forreasonable contingent fees. The law of each jurisdiction deter-mines which liens are authorized by law. These may includeliens granted by statute, liens originating in common law andliens acquired by contract with the client. When a lawyeracquires by contract a security interest in property other thanthat recovered through the lawyer’s efforts in the litigation,such an acquisition is a business or financial transaction witha client and is governed by the requirements of subsection(a). Contracts for contingent fees in civil cases are governedby Rule 1.5.

Client-Lawyer Sexual Relationships. The relationshipbetween lawyer and client is a fiduciary one in which the lawyeroccupies the highest position of trust and confidence. Therelationship is almost always unequal; thus, a sexual relation-ship between lawyer and client can involve unfair exploitationof the lawyer’s fiduciary role, in violation of the lawyer’s basicethical obligation not to use the trust of the client to the client’sdisadvantage. In addition, such a relationship presents a signif-icant danger that, because of the lawyer’s emotional involve-ment, the lawyer will be unable to represent the client withoutimpairment of the exercise of independent professional judg-ment. Moreover, a blurred line between the professional andpersonal relationships may make it difficult to predict to whatextent client confidences will be protected by the attorney-client evidentiary privilege, since client confidences are pro-tected by privilege only when they are imparted in the contextof the client-lawyer relationship. Because of the significantdanger of harm to client interest and because the client’s ownemotional involvement renders it unlikely that the client couldgive adequate informed consent, this Rule prohibits the lawyerfrom having sexual relations with a client regardless of whetherthe relationship is consensual and regardless of the absenceof prejudice to the client.

Sexual relationships that predate the client-lawyer relation-ship are not prohibited. Issues relating to the exploitation ofthe fiduciary relationship and client dependency are dimin-ished when the sexual relationship existed prior to the com-mencement of the client-lawyer relationship. However, beforeproceeding with the representation in these circumstances,the lawyer should consider whether the lawyer’s ability to rep-resent the client will be materially limited by the relationship.See Rule 1.7 (a) (2).

Imputation of Prohibitions. Under subsection (k), a prohi-bition on conduct by an individual lawyer in subsections (a)through (i) also applies to all lawyers associated in a firm withthe personally prohibited lawyer. The prohibition set forth in

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subsection (j) is personal and is not applied to associatedlawyers.

Rule 1.9. Duties to Former Clients(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) A lawyer who has formerly represented a

client in a matter shall not thereafter representanother person in the same or a substantiallyrelated matter in which that person’s interests arematerially adverse to the interests of the formerclient unless the former client gives informed con-sent, confirmed in writing.

(b) A lawyer shall not knowingly represent aperson in the same or a substantially related mat-ter in which a firm with which the lawyer formerlywas associated had previously represented aclient

(1) whose interests are materially adverse tothat person; and

(2) about whom the lawyer had acquired infor-mation protected by Rules 1.6 and 1.9 (c) that ismaterial to the matter; unless the former clientgives informed consent, confirmed in writing.

(c) A lawyer who has formerly represented aclient in a matter or whose present or former firmhas formerly represented a client in a matter shallnot thereafter:

(1) use information relating to the representa-tion to the disadvantage of the former client exceptas these Rules would permit or require withrespect to a client, or when the information hasbecome generally known; or

(2) reveal information relating to the representa-tion except as these Rules would permit or requirewith respect to a client.


COMMENTARY: After termination of a client-lawyer rela-tionship, a lawyer has certain continuing duties with respectto confidentiality and conflicts of interest and thus may notrepresent another client except in conformity with this Rule.Under this Rule, for example, a lawyer could not properly seekto rescind on behalf of a new client a contract drafted on behalfof the former client. So also a lawyer who has prosecuted anaccused person could not properly represent the accused ina subsequent civil action against the government concerningthe same transaction. Nor could a lawyer who has representedmultiple clients in a matter represent one of the clients againstthe interest of the others in the same or a substantially relatedmatter after a dispute arose among the clients in that matter,unless all affected clients give informed consent. See lastparagraph of this Commentary, below. Current and formergovernment lawyers must comply with this Rule to the extentrequired by Rule 1.11.

The scope of a ‘‘matter’’ for purposes of this Rule dependson the facts of a particular situation or transaction. The lawyer’sinvolvement in a matter can also be a question of degree.When a lawyer has been directly involved in a specific transac-tion, subsequent representation of other clients with materiallyadverse interests in that transaction clearly is prohibited. Onthe other hand, a lawyer who recurrently handled a type of


problem for a former client is not precluded from later repre-senting another client in a factually distinct problem of thattype even though the subsequent representation involves aposition adverse to the prior client. Similar considerations canapply to the reassignment of military lawyers between defenseand prosecution functions within the same military jurisdic-tions. The underlying question is whether the lawyer was soinvolved in the matter that the subsequent representation canbe justly regarded as a changing of sides in the matter inquestion.

Matters are ‘‘substantially related’’ for purposes of this Ruleif they involve the same transaction or legal dispute or if thereotherwise is a substantial risk that confidential factual informa-tion as would normally have been obtained in the prior repre-sentation would materially advance the client’s position in thesubsequent matter. For example, a lawyer who has repre-sented a businessperson and learned extensive private finan-cial information about that person may not then represent thatperson’s spouse in seeking a divorce. Similarly, a lawyer whohas previously represented a client in securing environmentalpermits to build a shopping center would be precluded fromrepresenting neighbors seeking to oppose rezoning of theproperty on the basis of environmental considerations; how-ever, the lawyer would not be precluded, on the grounds ofsubstantial relationship, from defending a tenant of the com-pleted shopping center in resisting eviction for nonpaymentof rent. Information that has been disclosed to the public orto other parties adverse to the former client ordinarily will notbe disqualifying. Information acquired in a prior representationmay have been rendered obsolete by the passage of time, acircumstance that may be relevant in determining whether tworepresentations are substantially related. In the case of anorganizational client, general knowledge of the client’s policiesand practices ordinarily will not preclude a subsequent repre-sentation; on the other hand, knowledge of specific factsgained in a prior representation that are relevant to the matterin question ordinarily will preclude such a representation. Aformer client is not required to reveal the confidential informa-tion learned by the lawyer in order to establish a substantialrisk that the lawyer has confidential information to use in thesubsequent matter. A conclusion about the possession of suchinformation may be based on the nature of the services thelawyer provided the former client and information that wouldin ordinary practice be learned by a lawyer providing suchservices.

Lawyers Moving between Firms. When lawyers havebeen associated within a firm but then end their association,the question of whether a lawyer should undertake representa-tion is more complicated. There are several competing consid-erations. First, the client previously represented by the formerfirm must be reasonably assured that the principle of loyaltyto the client is not compromised. Second, the rule should notbe so broadly cast as to preclude other persons from havingreasonable choice of legal counsel. Third, the rule should notunreasonably hamper lawyers from forming new associationsand taking on new clients after having left a previous associa-tion. In this connection, it should be recognized that todaymany lawyers practice in firms, that many lawyers to somedegree limit their practice to one field or another, and thatmany move from one association to another several times intheir careers. If the concept of imputation were applied withunqualified rigor, the result would be radical curtailment of theopportunity of lawyers to move from one practice setting toanother and of the opportunity of clients to change counsel.

Subsection (b) operates to disqualify the lawyer only whenthe lawyer involved has actual knowledge of information pro-tected by Rules 1.6 and 1.9 (c). Thus, if a lawyer, while with

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one firm acquired no knowledge or information relating to aparticular client of the firm, and that lawyer later joined anotherfirm, neither the lawyer individually nor the second firm isdisqualified from representing another client in the same or arelated matter even though the interests of the two clientsconflict. See Rule 1.10 (b) for the restrictions on a firm oncea lawyer has terminated association with the firm.

Application of subsection (b) depends on a situation’s par-ticular facts, aided by inferences, deductions or working pre-sumptions that reasonably may be made about the way inwhich lawyers work together. A lawyer may have generalaccess to files of all clients of a law firm and may regularlyparticipate in discussions of their affairs; it should be inferredthat such a lawyer in fact is privy to all information about allthe firm’s clients. In contrast, another lawyer may have accessto the files of only a limited number of clients and participatein discussions of the affairs of no other clients; in the absenceof information to the contrary, it should be inferred that sucha lawyer in fact is privy to information about the clients actuallyserved but not those of other clients. In such an inquiry, theburden of proof rests upon the firm whose disqualificationis sought.

Independent of the question of disqualification of a firm, alawyer changing professional association has a continuingduty to preserve confidentiality of information about a clientformerly represented. See Rules 1.6 and 1.9 (c).

Subsection (c) provides that information acquired by thelawyer in the course of representing a client may not subse-quently be used or revealed by the lawyer to the disadvantageof the client. However, the fact that a lawyer has once serveda client does not preclude the lawyer from using generallyknown information about that client when later representinganother client.

The provisions of this Rule are for the protection of formerclients and can be waived if the client gives informed consent,which consent must be confirmed in writing under subsections(a) and (b). See Rule 1.0 (f). With regard to the effectivenessof an advance waiver, see Commentary to Rule 1.7. Withregard to disqualification of a firm with which a lawyer is orwas formerly associated, see Rule 1.10.

Rule 1.10. Imputation of Conflicts of Inter-est: General Rule(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) While lawyers are associated in a firm, none

of them shall knowingly represent a client whenany one of them practicing alone would be prohib-ited from doing so by Rules 1.7 or 1.9, unless:

(1) the prohibition is based on a personal inter-est of the disqualified lawyer and does not presenta significant risk of materially limiting the repre-sentation of the client by the remaining lawyersin the firm; or

(2) the prohibition is based upon Rule 1.9 (a)or 1.9 (b) and arises out of the disqualified lawyer’sassociation with a prior firm, and

(A) the disqualified lawyer is timely screenedfrom any participation in the matter and is appor-tioned no part of the fee therefrom;

(B) written notice is promptly given to anyaffected former client to enable the former clientto ascertain compliance with the provisions of thisRule, which shall include a description of the


screening procedures employed; a statement ofthe firm’s and of the screened lawyer’s compli-ance with these Rules; a statement that reviewmay be available before a tribunal; and anagreement by the firm to respond promptly to anywritten inquiries or objections by the former clientabout the screening procedures; and

(C) certifications of compliance with theseRules and with the screening procedures are pro-vided to the former client by the screened lawyerand by a partner of the firm, at reasonable inter-vals upon the former client’s written request andupon termination of the screening procedures.

(b) When a lawyer has terminated an associa-tion with a firm, the firm is not prohibited fromthereafter representing a person with interestsmaterially adverse to those of a client representedby the formerly associated lawyer and not cur-rently represented by the firm, unless:

(1) The matter is the same or substantiallyrelated to that in which the formerly associatedlawyer represented the client; and

(2) Any lawyer remaining in the firm has infor-mation protected by Rules 1.6 and 1.9 (c) that ismaterial to the matter.

(c) A disqualification prescribed by this Rulemay be waived by the affected client under theconditions stated in Rule 1.7.

(d) The disqualification of lawyers associatedin a firm with former or current government law-yers is governed by Rule 1.11.


COMMENTARY: Definition of ‘‘Firm.’’ For purposes ofthe Rules of Professional Conduct, the term ‘‘firm’’ denoteslawyers in a law partnership, professional corporation, soleproprietorship or other association authorized to practice law;or lawyers employed in a legal services organization or thelegal department of a corporation or other organization. SeeRule 1.0 (d). Whether two or more lawyers constitute a firmwithin this definition can depend on the specific facts. SeeRule 1.0 and its Commentary.

Principles of Imputed Disqualification. The rule ofimputed disqualification stated in subsection (a) gives effectto the principle of loyalty to the client as it applies to lawyerswho practice in a law firm. Such situations can be consideredfrom the premise that a firm of lawyers is essentially one lawyerfor purposes of the rules governing loyalty to the client, orfrom the premise that each lawyer is vicariously bound by theobligation of loyalty owed by each lawyer with whom the lawyeris associated. Subsection (a) operates only among the lawyerscurrently associated in a firm. When a lawyer moves from onefirm to another, the situation is governed by Rules 1.9 (b) and1.10 (b).

The Rule in subsection (a) does not prohibit representationwhere neither questions of client loyalty nor protection of confi-dential information are presented. Where one lawyer in a firmcould not effectively represent a given client because of strongpolitical beliefs, for example, but that lawyer will do no workon the case and the personal beliefs of the lawyer will not

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materially limit the representation by others in the firm, thefirm should not be disqualified. On the other hand, if an oppos-ing party in a case were owned by a lawyer in the law firm,and others in the firm would be materially limited in pursuingthe matter because of loyalty to that lawyer, the personaldisqualification of the lawyer would be imputed to all othersin the firm.

The Rule in subsection (a) also does not prohibit represen-tation by others in the law firm where the person prohibited frominvolvement in a matter is a nonlawyer, such as a paralegal orlegal secretary. Nor does subsection (a) prohibit representa-tion if the lawyer is prohibited from acting because of eventsbefore the person became a lawyer, for example, work thatthe person did while a law student. Such persons, however,must be screened from any personal participation in the matterto avoid communication to others in the firm of confidentialinformation that both the nonlawyers and the firm have a legalduty to protect. See Rules 1.0 (k) and 5.3.

Rule 1.10 (b) operates to permit a law firm, under certaincircumstances, to represent a person with interests directlyadverse to those of a client represented by a lawyer whoformerly was associated with the firm. The Rule applies regard-less of when the formerly associated lawyer represented theclient. However, the law firm may not represent a person withinterests adverse to those of a present client of the firm, whichwould violate Rule 1.7. Moreover, the firm may not representthe person where the matter is the same or substantiallyrelated to that in which the formerly associated lawyer repre-sented the client and any other lawyer currently in the firmhas material information protected by Rules 1.6 and 1.9 (c).

Rule 1.10 (c) removes imputation with the informed consentof the affected client or former client under the conditionsstated in Rule 1.7. The conditions stated in Rule 1.7 requirethe lawyer to determine that the representation is not prohibitedby Rule 1.7 (b) and that each affected client or former clienthas given informed consent to the representation, confirmedin writing. In some cases, the risk may be so severe that theconflict may not be cured by client consent. For a discussionof the effectiveness of client waivers of conflicts that mightarise in the future, see Rule 1.7 and its commentary. For adefinition of informed consent, see Rule 1.0 (f).

Rule 1.10 (a) (2) similarly removes the imputation otherwiserequired by Rule 1.10 (a), but unlike subsection (c), it doesso without requiring that there be informed consent by theformer client. Instead, it requires that the procedures laid outin subparagraphs (A) through (C) of subsection (a) (2) befollowed. A description of effective screening mechanismsappears in Rule 1.0 (l) and commentary thereto. Lawyersshould be aware, however, that, even where screening mecha-nisms have been adopted, tribunals may consider additionalfactors in ruling upon motions to disqualify a lawyer from pend-ing litigation.

Subparagraph (A) of subsection (a) (2) does not prohibitthe screened lawyer from receiving a salary or partnershipshare established by prior independent agreement, but thatlawyer may not receive compensation directly related to thematter in which the lawyer is disqualified.

The notice required by subparagraph (B) of subsection (a)(2) generally should include a description of the screenedlawyer’s prior representation and be given as soon as practica-ble after the need for screening becomes apparent. It alsoshould include a statement by the screened lawyer and thefirm that the client’s material confidential information has notbeen disclosed or used in violation of the Rules. The noticeis intended to enable the former client to evaluate and com-ment upon the effectiveness of the screening procedures.


The certifications required by subparagraph (C) of subsec-tion (a) (2) give the former client assurance that the client’smaterial confidential information has not been disclosed orused inappropriately, either prior to timely implementation ofa screen or thereafter. If compliance cannot be certified, thecertificate must describe the failure to comply.

Where a lawyer has joined a private firm after having repre-sented the government, imputation is governed by Rule 1.11(b) and (c), not this Rule. Under Rule 1.11 (d), where a lawyerrepresents the government after having served clients in pri-vate practice, nongovernmental employment or in another gov-ernment agency, former-client conflicts are not imputed togovernment lawyers associated with the individually disquali-fied lawyer.

Where a lawyer is prohibited from engaging in certain trans-actions under Rule 1.8, subsection (k) of that Rule, and notthis Rule, determines whether that prohibition also applies toother lawyers associated in a firm with the personally prohib-ited lawyer.

Rule 1.11. Special Conflicts of Interest forFormer and Current Government Officersand Employees(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) Except as law may otherwise expressly per-

mit, a lawyer who has formerly served as a publicofficer or employee of the government:

(1) is subject to Rule 1.9 (c); and(2) shall not otherwise represent a client in con-

nection with a matter in which the lawyer partici-pated personally and substantially as a publicofficer or employee, unless the appropriate gov-ernment agency gives its informed consent, con-firmed in writing, to the representation.

(b) When a lawyer is disqualified from represen-tation under subsection (a), no lawyer in a firmwith which that lawyer is associated may know-ingly undertake or continue representation in sucha matter unless:

(1) The disqualified lawyer is timely screenedfrom any participation in the matter and is appor-tioned no part of the fee therefrom; and

(2) Written notice is promptly given to the appro-priate government agency to enable it to ascertaincompliance with the provisions of this Rule.

(c) Except as law may otherwise expressly per-mit, a lawyer having information that the lawyerknows is confidential government informationabout a person acquired when the lawyer was apublic officer or employee, may not represent aprivate client whose interests are adverse to thatperson in a matter in which the information couldbe used to the material disadvantage of that per-son. As used in this Rule, the term ‘‘confidentialgovernment information’’ means information thathas been obtained under governmental authorityand which, at the time this Rule is applied, thegovernment is prohibited by law from disclosingto the public or has a legal privilege not to discloseand which is not otherwise available to the public.

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A firm with which that lawyer is associated mayundertake or continue representation in the matteronly if the disqualified lawyer is timely screenedfrom any participation in the matter and is appor-tioned no part of the fee therefrom.

(d) Except as law may otherwise expressly per-mit, a lawyer currently serving as a public officeror employee:

(1) Is subject to Rules 1.7 and 1.9; and(2) Shall not:(i) Participate in a matter in which the lawyer

participated personally and substantially while inprivate practice or nongovernmental employment,unless the appropriate government agency givesits informed consent, confirmed in writing; or

(ii) Negotiate for private employment with anyperson who is involved as a party or as lawyerfor a party in a matter in which the lawyer is partici-pating personally and substantially; except that alawyer serving as a law clerk to a judge, otheradjudicative officer or arbitrator may negotiate forprivate employment as permitted by Rule 1.12(b) and subject to the conditions stated in Rule1.12 (b).

(e) As used in this Rule, the term ‘‘matter’’includes:

(1) Any judicial or other proceeding, application,request for a ruling or other determination, con-tract, claim, controversy, investigation, charge,accusation, arrest or other particular matterinvolving a specific party or parties, and

(2) Any other matter covered by the conflict ofinterest rules of the appropriate governmentagency.


COMMENTARY: A lawyer who has served or is currentlyserving as a public officer or employee is personally subjectto the Rules of Professional Conduct, including the prohibitionagainst concurrent conflicts of interest stated in Rule 1.7. Inaddition, such a lawyer may be subject to statutes and govern-ment regulations regarding conflict of interest. Such statutesand regulations may circumscribe the extent to which the gov-ernment agency may give consent under this Rule. See Rule1.0 (f) for the definition of informed consent.

Subsections (a) (1), (a) (2) and (d) (1) restate the obligationsof an individual lawyer who has served or is currently servingas an officer or employee of the government toward a formergovernment or private client. Rule 1.10 is not applicable tothe conflicts of interest addressed by this Rule. Rather, subsec-tion (b) sets forth a special imputation rule for former govern-ment lawyers that provides for screening and notice. Becauseof the special problems raised by imputation within a govern-ment agency, subsection (d) does not impute the conflicts ofa lawyer currently serving as an officer or employee of thegovernment to other associated government officers oremployees, although ordinarily it will be prudent to screensuch lawyers.

Subsections (a) (2) and (d) (2) apply regardless of whethera lawyer is adverse to a former client and are thus designednot only to protect the former client, but also to prevent a lawyer


from exploiting public office for the advantage of another client.For example, a lawyer who has pursued a claim on behalf ofthe government may not pursue the same claim on behalf of alater private client after the lawyer has left government service,except when authorized to do so by the government agencyunder subsection (a). Similarly, a lawyer who has pursued aclaim on behalf of a private client may not pursue the claimon behalf of the government, except when authorized to doso by subsection (d). As with subsections (a) (1) and (d) (1),Rule 1.10 is not applicable to the conflicts of interest addressedby these subsections.

This Rule represents a balancing of interests. On the onehand, where the successive clients are a government agencyand another client, public or private, the risk exists that poweror discretion vested in that agency might be used for thespecial benefit of the other client. A lawyer should not bein a position where benefit to the other client might affectperformance of the lawyer’s professional functions on behalfof the government. Also, unfair advantage could accrue to theother client by reason of access to confidential governmentinformation about the client’s adversary, obtainable onlythrough the lawyer’s government service. On the other hand,the rules governing lawyers presently or formerly employedby a government agency should not be so restrictive as toinhibit transfer of employment to and from the government.The government has a legitimate need to attract qualifiedlawyers as well as to maintain high ethical standards. Thus,a former government lawyer is disqualified only from particularmatters in which the lawyer participated personally and sub-stantially. The provisions for screening and waiver in subsec-tion (b) are necessary to prevent the disqualification rule fromimposing too severe a deterrent against entering public ser-vice. The limitation of disqualification in subsections (a) (2)and (d) (2) to matters involving a specific party or parties,rather than extending disqualification to all substantive issueson which the lawyer worked, serves a similar function.

When a lawyer has been employed by one governmentagency and then moves to a second government agency, itmay be appropriate to treat that second agency as anotherclient for purposes of this Rule, as when a lawyer is employedby a city and subsequently is employed by a federal agency.However, because the conflict of interest is governed by sub-section (d), the latter agency is not required to screen thelawyer as subsection (b) requires a law firm to do. The questionof whether two government agencies should be regarded asthe same or different clients for conflict of interest purposesis beyond the scope of these Rules. See Commentary toRule 1.13.

Subsections (b) and (c) contemplate a screening arrange-ment. See Rule 1.0 (l) (requirements for screening proce-dures). These subsections do not prohibit a lawyer fromreceiving a salary or partnership share established by priorindependent agreement, but that lawyer may not receive com-pensation directly relating the lawyer’s compensation to thefee in the matter in which the lawyer is disqualified.

Notice, including a description of the screened lawyer’s priorrepresentation and of the screening procedures employed,generally should be given as soon as practicable after theneed for screening becomes apparent.

Subsection (c) operates only when the lawyer in questionhas knowledge of the information, which means actual knowl-edge; it does not operate with respect to information thatmerely could be imputed to the lawyer.

Subsections (a) and (d) do not prohibit a lawyer from jointlyrepresenting a private party and a government agency whendoing so is permitted by Rule 1.7 and is not otherwise prohib-ited by law.

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For purposes of subsection (e) of this Rule, a ‘‘matter’’ maycontinue in another form. In determining whether two particularmatters are the same, the lawyer should consider the extentto which the matters involve the same basic facts, the sameor related parties, and the time elapsed.

Rule 1.12. Former Judge, Arbitrator, Media-tor or Other Third-Party Neutral(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) Except as stated in subsection (d), a lawyer

shall not represent anyone in connection with amatter in which the lawyer participated personallyand substantially as a judge or other adjudicativeofficer or law clerk to such a person or as anarbitrator, mediator or other third-party neutral,unless all parties to the proceeding give informedconsent, confirmed in writing.

(b) A lawyer shall not negotiate for employmentwith any person who is involved as a party or aslawyer for a party in a matter in which the lawyeris participating personally as a judge or other adju-dicative officer, or as an arbitrator, mediator orother third-party neutral. A lawyer serving as alaw clerk to a judge or other adjudicative officermay negotiate for employment with a party or law-yer involved in a matter in which the clerk is partici-pating personally, but only after the lawyer hasnotified the judge or other adjudicative officer.

(c) If a lawyer is disqualified by subsection (a),no lawyer in a firm with which that lawyer is associ-ated may knowingly undertake or continue repre-sentation in the matter unless:

(1) The disqualified lawyer is timely screenedfrom any participation in the matter and is appor-tioned no part of the fee therefrom; and

(2) Written notice is promptly given to the partiesand any appropriate tribunal to enable them toascertain compliance with the provisions of thisRule.

(d) An arbitrator selected as a partisan of aparty in a multi-member arbitration panel is notprohibited from subsequently representing thatparty.


COMMENTARY: This Rule generally parallels Rule 1.11.The term ‘‘personally and substantially’’ signifies that a judgewho was a member of a multi-member court, and thereafterleft judicial office to practice law, is not prohibited from repre-senting a client in a matter pending in the court, but in whichthe former judge did not participate. So also the fact that aformer judge exercised administrative responsibility in a courtdoes not prevent the former judge from acting as a lawyer ina matter where the judge had previously exercised remote orincidental administrative responsibility that did not affect themerits. Compare the Commentary to Rule 1.11. Participationon the merits or in settlement discussions is considered per-sonal and substantial. Nominal or ministerial responsibility isnot considered personal and substantial.


Like former judges, lawyers who have served as arbitrators,mediators or other third-party neutrals may be asked to repre-sent a client in a matter in which the lawyer participated person-ally. This Rule forbids such representation unless all of theparties to the proceedings give their informed consent, con-firmed in writing. See Rule 1.0 (c) and (f). Other law or codesof ethics governing third-party neutrals may impose more strin-gent standards of personal or imputed disqualification. SeeRule 2.4.

Although lawyers who serve as third-party neutrals do nothave information concerning the parties that is protected underRule 1.6, they typically owe the parties an obligation of confi-dentiality under law or codes of ethics governing third-partyneutrals. Thus, subsection (c) provides that conflicts of thepersonally disqualified lawyer will be imputed to other lawyersin a law firm unless the conditions of this subsection are met.

Requirements for screening procedures are stated in Rule1.0 (l). Subsection (c) (1) does not prohibit the screened lawyerfrom receiving a salary or partnership share established byprior independent agreement, but that lawyer may not receivecompensation directly related to the matter in which the lawyeris disqualified.

Notice, including a description of the screened lawyer’s priorrepresentation and of the screening procedures employed,generally should be given as soon as practicable after theneed for screening becomes apparent.

Rule 1.13. Organization as Client(a) A lawyer employed or retained by an organi-

zation represents the organization acting throughits duly authorized constituents.

(b) If a lawyer for an organization knows thatan officer, employee or other person associatedwith the organization is engaged in action, intendsto act or refuses to act in a matter related to therepresentation that is a violation of a legal obliga-tion to the organization, or a violation of law thatreasonably might be imputed to the organization,and that is likely to result in substantial injury tothe organization, then the lawyer shall proceedas is reasonably necessary in the best interest ofthe organization.

Unless the lawyer reasonably believes that it isnot in the best interest of the organization to doso, the lawyer shall refer the matter to higherauthority in the organization, including, if war-ranted by the circumstances, to the highestauthority that can act in behalf of the organizationas determined by applicable law.

(c) Except as provided in subsection (d), if(1) Despite the lawyer’s efforts in accordance

with subsection (b), the highest authority that canact on behalf of the organization insists upon orfails to address in a timely and appropriate manneran action, or a refusal to act, that is clearly aviolation of law and

(2) The lawyer reasonably believes that the vio-lation is reasonably certain to result in substantialinjury to the organization, then the lawyer mayreveal information relating to the representationwhether or not Rule 1.6 permits such disclosure,

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but only if and to the extent the lawyer reasonablybelieves necessary to prevent substantial injuryto the organization.

(d) Subsection (c) shall not apply with respectto information relating to a lawyer’s representationof an organization to investigate an alleged viola-tion of law, or to defend the organization or anofficer, employee or other constituent associatedwith the organization against a claim arising outof an alleged violation of law.

(e) A lawyer who reasonably believes that he orshe has been discharged because of the lawyer’sactions taken pursuant to subsections (b) or (c),or who withdraws under circumstances thatrequire or permit the lawyer to take action undereither of those subsections, shall proceed as thelawyer reasonably believes necessary to assurethat the organization’s highest authority isinformed of the lawyer’s discharge or withdrawal.

(f) In dealing with an organization’s directors,officers, employees, members, shareholders orother constituents, a lawyer shall explain the iden-tity of the client when the lawyer knows or reason-ably should know that the organization’s interestsare adverse to those of the constituents withwhom the lawyer is dealing.

(g) A lawyer representing an organization mayalso represent any of its directors, officers,employees, members, shareholders or other con-stituents, subject to the provisions of Rule 1.7. Ifthe organization’s consent to the dual representa-tion is required by Rule 1.7, the consent shall begiven by an appropriate official of the organizationother than the individual who is to be represented,or by the shareholders.


COMMENTARY: The Entity as the Client. An organiza-tional client is a legal entity, but it cannot act except throughits officers, directors, employees, shareholders and other con-stituents. Officers, directors, employees and shareholders arethe constituents of the corporate organizational client. Theduties defined in this Commentary apply equally to unincorpo-rated associations. ‘‘Other constituents’’ as used in this Com-mentary means the positions equivalent to officers, directors,employees and shareholders held by persons acting for orga-nizational clients that are not corporations.

When one of the constituents of an organizational clientcommunicates with the organization’s lawyer in that person’sorganizational capacity, the communication is protected byRule 1.6. Thus, by way of example, if an organizational clientrequests its lawyer to investigate allegations of wrongdoing,interviews made in the course of that investigation betweenthe lawyer and the client’s employees or other constituentsare covered by Rule 1.6. This does not mean, however, thatconstituents of an organizational client are the clients of thelawyer. The lawyer may not disclose to such constituents infor-mation relating to the representation except for disclosuresexplicitly or impliedly authorized by the organizational clientin order to carry out the representation or as otherwise permit-ted by Rule 1.6.


When constituents of the organization make decisions forit, the decisions ordinarily must be accepted by the lawyereven if their utility or prudence is doubtful. Decisions concern-ing policy and operations, including ones entailing serious risk,are not as such in the lawyer’s province. Subsection (b) makesclear, however, that when the lawyer knows that the organiza-tion is likely to be substantially injured by action of an officeror other constituent that violates a legal obligation to the organi-zation or is in violation of law that might be imputed to theorganization, the lawyer must proceed as is reasonably neces-sary in the best interest of the organization. As defined in Rule1.0 (g), knowledge can be inferred from circumstances, anda lawyer cannot ignore the obvious.

In determining how to proceed under subsection (b), thelawyer should give due consideration to the seriousness ofthe violation and its consequences, the responsibility in theorganization and the apparent motivation of the personsinvolved, the policies of the organization concerning such mat-ters, and any other relevant considerations. Ordinarily, referralto a higher authority would be necessary. In some circum-stances, however, it may be appropriate for the lawyer to askthe constituent to reconsider the matter; for example, if thecircumstances involve a constituent’s innocent misunder-standing of law and subsequent acceptance of the lawyer’sadvice, the lawyer may reasonably believe conclude that thebest interest of the organization does not require that thematter be referred to higher authority. If a constituent persistsin conduct contrary to the lawyer’s advice, it will be necessaryfor the lawyer to take steps to have the matter reviewed by ahigher authority in the organization. If the matter is of sufficientseriousness and importance or urgency to the organization,referral to higher authority in the organization may be neces-sary even if the lawyer has not communicated with the constit-uent. Any measures taken should, to the extent practicable,minimize the risk of revealing information relating to the repre-sentation to persons outside the organization. Even in circum-stances where a lawyer is not obligated by Rule 1.13 toproceed, a lawyer may bring to the attention of an organiza-tional client, including its highest authority, matters that thelawyer reasonably believes to be of sufficient importance towarrant doing so in the best interest of the organization.

Subsection (b) also makes clear that when it is reasonablynecessary to enable the organization to address the matterin a timely and appropriate manner, the lawyer must referthe matter to higher authority, including, if warranted by thecircumstances, the highest authority that can act on behalfof the organization under applicable law. The organization’shighest authority to whom a matter may be referred ordinarilywill be the board of directors or similar governing body. How-ever, applicable law may prescribe that under certain condi-tions the highest authority reposes elsewhere; for example,in the independent directors of a corporation.

Relation to Other Rules. The authority and responsibilityprovided in this Rule are concurrent with the authority andresponsibility provided in other Rules. In particular, this Ruledoes not limit or expand the lawyer’s responsibility under Rules1.8, 1.16, 3.3 and 4.1. Subsection (c) of this Rule supplementsRule 1.6 (b) by providing an additional basis upon which thelawyer may reveal information relating to the representation,but does not modify, restrict, or limit the provisions of Rule1.6 (b) (1) through (6). Under subsection (c) the lawyer mayreveal such information only when the organization’s highestauthority insists upon or fails to address threatened or ongoingaction that is clearly a violation of law, and then only to theextent the lawyer reasonably believes necessary to preventreasonably certain substantial injury to the organization. It isnot necessary that the lawyer’s services be used in furtherance

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of the violation, but it is required that the matter be related tothe lawyer’s representation of the organization. If the lawyer’sservices are being used by an organization to further a crimeor fraud by the organization, Rules 1.6 (b) (2) and 1.6 (b) (3)may permit the lawyer to disclose confidential information. Insuch circumstances, Rule 1.2 (d) may also be applicable, inwhich event, withdrawal from the representation under Rule1.6 (a) (1) may be required.

Subsection (d) makes clear that the authority of a lawyerto disclose information relating to a representation in circum-stances described in subsection (c) does not apply with respectto information relating to a lawyer’s engagement by an organi-zation to investigate an alleged violation of law or to defendthe organization or an officer, employee or other person asso-ciated with the organization against a claim arising out of analleged violation of law. This is necessary in order to enableorganizational clients to enjoy the full benefits of legal counselin conducting an investigation or defending against a claim.

A lawyer who reasonably believes that he or she has beendischarged because of the lawyer’s actions taken pursuant tosubsection (b) or (c), or who withdraws in circumstances thatrequire or permit the lawyer to take action under either of thesesubsections, must proceed as the lawyer reasonably believesnecessary to assure that the organization’s highest authorityis informed of the lawyer’s discharge or withdrawal.

Government Agency. The duty defined in this Rule appliesto governmental organizations. Defining precisely the identityof the client and prescribing the resulting obligations of suchlawyers may be more difficult in the government context andis a matter beyond the scope of these Rules. See Scope.Although in some circumstances the client may be a specificagency, it may also be a branch of government, such as theexecutive branch, or the government as a whole. For example,if the action or failure to act involves the head of a bureau,either the department of which the bureau is a part or therelevant branch of government may be the client for purposesof this Rule. Moreover, in a matter involving the conduct ofgovernment officials, a government lawyer may have authorityunder applicable law to question such conduct more exten-sively than that of a lawyer for a private organization in similarcircumstances. Thus, when the client is a governmental orga-nization, a different balance may be appropriate betweenmaintaining confidentiality and assuring that the wrongful actis prevented or rectified, for public business is involved. Inaddition, duties of lawyers employed by the government orlawyers in military service may be defined by statutes andregulations. This Rule does not limit that authority. See Scope.

Clarifying the Lawyer’s Role. There are times when theorganization’s interest may be or become adverse to those ofone or more of its constituents. In such circumstances thelawyer should advise any constituent, whose interest the law-yer finds adverse to that of the organization of the conflict orpotential conflict of interest, that the lawyer cannot representsuch constituent, and that such person may wish to obtainindependent representation. Care must be taken to assure thatthe individual understands that, when there is such adversity ofinterest, the lawyer for the organization cannot provide legalrepresentation for that constituent individual, and that discus-sions between the lawyer for the organization and the individ-ual may not be privileged.

Whether such a warning should be given by the lawyer forthe organization to any constituent individual may turn on thefacts of each case.

Dual Representation. Subsection (e) recognizes that alawyer for an organization may also represent a principal offi-cer or major shareholder.


Derivative Actions. Under generally prevailing law, theshareholders or members of a corporation may bring suit tocompel the directors to perform their legal obligations in thesupervision of the organization. Members of unincorporatedassociations have essentially the same right. Such an actionmay be brought nominally by the organization, but usually is, infact, a legal controversy over management of the organization.

The question can arise whether counsel for the organizationmay defend such an action. The proposition that the organiza-tion is the lawyer’s client does not alone resolve the issue. Mostderivative actions are a normal incident of an organization’saffairs, to be defended by the organization’s lawyer like anyother suit. However, if the claim involves serious charges ofwrongdoing by those in control of the organization, a conflictmay arise between the lawyer’s duty to the organization andthe lawyer’s relationship with the board. In those circum-stances, Rule 1.7 governs who should represent the directorsand the organization.

Rule 1.14. Client with Impaired Capacity(Amended June 26, 2006, to take effect Jan. 1, 2007;

amended June 30, 2008, to take effect Jan. 1, 2009.)(a) When a client’s capacity to make or commu-

nicate adequately considered decisions in con-nection with a representation is impaired, whetherbecause of minority, mental impairment or forsome other reason, the lawyer shall, as far asreasonably possible, maintain a normal client-law-yer relationship with the client.

(b) When the lawyer reasonably believes thatthe client is unable to make or communicate ade-quately considered decisions, is likely to suffersubstantial physical, financial or other harmunless action is taken and cannot adequately actin the client’s own interest, the lawyer may takereasonably necessary protective action, includingconsulting with individuals or entities that havethe ability to take action to protect the client and,in appropriate cases, seeking the appointment ofa legal representative.

(c) Information relating to the representation ofa client with impaired capacity is protected by Rule1.6. When taking protective action pursuant tosubsection (b), the lawyer is impliedly authorizedunder Rule 1.6 (a) to reveal information about theclient, but only to the extent reasonably necessaryto protect the client’s interests.


COMMENTARY: The normal client-lawyer relationship isbased on the assumption that the client, when properly advisedand assisted, is capable of making decisions about importantmatters. When the client is a minor or is unable to makeor communicate adequately considered decisions, however,maintaining the ordinary client-lawyer relationship may not bepossible in all respects. In particular, a severely incapacitatedperson may have no power to make legally binding decisions.Nevertheless, a client with impaired capacity often has theability to understand, deliberate upon, and reach conclusionsabout matters affecting the client’s own well-being. For exam-ple, children as young as five or six years of age, and certainly

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those of ten or twelve, are regarded as having opinions thatare entitled to weight in legal proceedings concerning theircustody. So also, it is recognized that some persons ofadvanced age can be quite capable of handling routine finan-cial matters while needing special legal protection concerningmajor transactions.

The fact that a client suffers a disability does not diminishthe lawyer’s obligation under these rules. Even if the personhas a legal representative, the lawyer should as far as possibleaccord the represented person the status of client, particularlyin maintaining communication.

The client may wish to have family members or other per-sons participate in discussions with the lawyer. When neces-sary to assist in the representation, the presence of suchpersons generally does not constitute a waiver of the attorney-client evidentiary privilege. Nevertheless, the lawyer mustkeep the client’s interests foremost and, except for protectiveaction authorized under subsection (b), must look to the client,and not family members, to make decisions on the client’sbehalf.

If a legal representative has already been appointed for theclient, the lawyer should look to the representative for deci-sions on behalf of the client only when such decisions arewithin the scope of the authority of the legal representative.In matters involving a minor, whether the lawyer should lookto the parents as natural guardians may depend on the typeof proceeding or matter in which the lawyer is representingthe minor. If the lawyer represents the guardian as distinct fromthe ward, and is aware that the guardian is acting adversely tothe ward’s interest, the lawyer may have an obligation to pre-vent or rectify the guardian’s misconduct. See Rule 1.2 (d).

Taking Protective Action. If a lawyer reasonably believesthat a client is likely to suffer substantial physical, financial orother harm unless action is taken, and that a normal client-lawyer relationship cannot be maintained as provided in sub-section (a) because the client lacks sufficient capacity to com-municate or to make adequately considered decisions inconnection with the representation, then subsection (b) per-mits the lawyer to take protective measures deemed neces-sary. Such measures could include: consulting with familymembers, using a reconsideration period to permit clarificationor improvement of circumstances, using voluntary surrogatedecision-making tools such as durable powers of attorney orconsulting with support groups, professional services, adult-protective agencies or other individuals or entities that havethe ability to protect the client. In taking any protective action,the lawyer should be guided by such factors as the wishesand values of the client to the extent known, the client’s bestinterests and the goals of intruding into the client’s decision-making autonomy to the least extent feasible, maximizing cli-ent capacities and respecting the client’s family and social con-nections.

In determining the extent of the client’s impaired capacity,the lawyer should consider and balance such factors as: theclient’s ability to articulate reasoning leading to a decision,variability of state of mind and ability to appreciate conse-quences of a decision; the substantive fairness of a decision;and the consistency of a decision with the known long-termcommitments and values of the client. In appropriate circum-stances, the lawyer may seek guidance from an appropriatediagnostician.

If a legal representative has not been appointed, the lawyershould consider whether appointment of a legal representativeis necessary to protect the client’s interests. In addition, rulesof procedure in litigation sometimes provide that minors orpersons with impaired capacity must be represented by aguardian or next friend if they do not have a general guardian.


In many circumstances, however, appointment of a legal repre-sentative may be more expensive or traumatic for the clientthan circumstances in fact require. Evaluation of such circum-stances is a matter entrusted to the professional judgment ofthe lawyer. In considering alternatives, however, the lawyershould be aware of any law that requires the lawyer to advocatethe least restrictive action on behalf of the client.

Disclosure of the Client’s Condition. Disclosure of theclient’s impaired capacity could adversely affect the client’sinterests. For example, raising the question of impaired capac-ity could, in some circumstances, lead to proceedings for invol-untary conservatorship and/or commitment. Informationrelating to the representation is protected by Rule 1.6. There-fore, unless authorized to do so by these rules or other law,the lawyer may not disclose such information. When takingprotective action pursuant to subsection (b), the lawyer isimpliedly authorized to make the necessary disclosures, evenwhen the client directs the lawyer to the contrary. Neverthe-less, given the risks of disclosure, subsection (c) limits whatthe lawyer may disclose in consulting with other individualsor entities or seeking the appointment of a legal representative.At the very least, the lawyer should determine whether it islikely that the person or entity consulted with will act adverselyto the client’s interests before discussing matters related to theclient. The lawyer’s position in such cases is an unavoidablydifficult one.

Emergency Legal Assistance. In an emergency where thehealth, safety or a financial interest of a person with impairedcapacity is threatened with imminent and irreparable harm, alawyer may take legal action on behalf of such a person eventhough the person is unable to establish a client-lawyer rela-tionship or to make or express considered judgments aboutthe matter, when the person or another acting in good faithon that person’s behalf has consulted with the lawyer. Evenin such an emergency, however, the lawyer should not actunless the lawyer reasonably believes that the person hasno other lawyer, agent or other representative available. Thelawyer should take legal action on behalf of the person onlyto the extent reasonably necessary to maintain the status quoor otherwise avoid imminent and irreparable harm. A lawyerwho undertakes to represent a person in such an exigentsituation has the same duties under these Rules as the lawyerwould with respect to a client.

A lawyer who acts on behalf of a person with impairedcapacity in an emergency should keep the confidences of theperson as if dealing with a client, disclosing them only to theextent necessary to accomplish the intended protective action.The lawyer should disclose to any tribunal involved and toany other counsel involved the nature of his or her relationshipwith the person. The lawyer should take steps to regularizethe relationship or implement other protective solutions assoon as possible. Normally, a lawyer would not seek compen-sation for such emergency actions taken.

Rule 1.15. Safekeeping Property(a) As used in this Rule, the terms below shall

have the following meanings:(1) ‘‘Allowable reasonable fees’’ for IOLTA

accounts are per check charges, per depositcharges, a fee in lieu of a minimum balance, fed-eral deposit insurance fees, sweep fees, and areasonable IOLTA account administrative ormaintenance fee.

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(2) An ‘‘eligible institution’’ means (i) a bank orsavings and loan association authorized by fed-eral or state law to do business in Connecticut,the deposits of which are insured by an agencyof the United States government, or (ii) an open-end investment company registered with theUnited States Securities and Exchange Commis-sion and authorized by federal or state law to dobusiness in Connecticut. In addition, an eligibleinstitution shall meet the requirements set forthin subsection (i) (3) below. The determination ofwhether or not an institution is an eligible institu-tion shall be made by the organization designatedby the judges of the superior court to administerthe program pursuant to subsection (i) (4) below,subject to the dispute resolution process providedin subsection (i) (4) (E) below.

(3) ‘‘Federal Funds Target Rate’’ means thetarget level for the federal funds rate set by theFederal Open Market Committee of the Board ofGovernors of the Federal Reserve System fromtime to time or, if such rate is no longer available,any comparable successor rate. If such rate orsuccessor rate is set as a range, the term ‘‘FederalFunds Target Rate’’ means the upper limit ofsuch range.

(4) ‘‘Interest- or dividend-bearing account’’means (i) an interest-bearing checking account,or (ii) an investment product which is a daily (over-night) financial institution repurchase agreementor an open-end money market fund. A daily finan-cial institution repurchase agreement must be fullycollateralized by U.S. Government Securities andmay be established only with an eligible institutionthat is ‘‘well-capitalized’’ or ‘‘adequately capital-ized’’ as those terms are defined by applicablefederal statutes and regulations. An open-endmoney market fund must be invested solely inU.S. Government Securities or repurchaseagreements fully collateralized by U.S. Govern-ment Securities, must hold itself out as a ‘‘moneymarket fund’’ as that term is defined by federalstatutes and regulations under the InvestmentCompany Act of 1940 and, at the time of theinvestment, must have total assets of at least$250,000,000.

(5) ‘‘IOLTA account’’ means an interest- or divi-dend-bearing account established by a lawyer orlaw firm for clients’ funds at an eligible institutionfrom which funds may be withdrawn upon requestby the depositor without delay. An IOLTA accountshall include only client or third person funds,except as permitted by subsection (i) (6) below.The determination of whether or not an interest- ordividend-bearing account meets the requirementsof an IOLTA account shall be made by the organi-zation designated by the judges of the superior


court to administer the program pursuant to sub-section (i) (4) below.

(6) ‘‘Non-IOLTA account’’ means an interest-or dividend-bearing account, other than an IOLTAaccount, from which funds may be withdrawnupon request by the depositor without delay.

(7) ‘‘U.S. Government Securities’’ means directobligations of the United States government, orobligations issued or guaranteed as to principaland interest by the United States or any agencyor instrumentality thereof, including United Statesgovernment-sponsored enterprises, as such termis defined by applicable federal statutes and regu-lations.

(b) A lawyer shall hold property of clients orthird persons that is in a lawyer’s possession inconnection with a representation separate fromthe lawyer’s own property. Funds shall be kept ina separate account maintained in the state wherethe lawyer’s office is situated or elsewhere withthe consent of the client or third person. Otherproperty shall be identified as such and appropri-ately safeguarded. Complete records of suchaccount funds and other property shall be keptby the lawyer and shall be preserved for a periodof seven years after termination of the represen-tation.

(c) A lawyer may deposit the lawyer’s own fundsin a client trust account for the sole purposes ofpaying bank service charges on that account orobtaining a waiver of fees and service chargeson the account, but only in an amount necessaryfor those purposes.

(d) Absent a written agreement with the clientotherwise, a lawyer shall deposit into a client trustaccount legal fees and expenses that have beenpaid in advance, to be withdrawn by the lawyeronly as fees are earned or expenses incurred.

(e) Upon receiving funds or other property inwhich a client or third person has an interest,a lawyer shall promptly notify the client or thirdperson. Except as stated in this Rule or otherwisepermitted by law or by agreement with the clientor third person, a lawyer shall promptly deliver tothe client or third person any funds or other prop-erty that the client or third person is entitled toreceive and, upon request by the client or thirdperson, shall promptly render a full accountingregarding such property.

(f) When in the course of representation a law-yer is in possession of property in which two ormore persons (one of whom may be the lawyer)have interests, the property shall be kept separateby the lawyer until any competing interests areresolved. The lawyer shall promptly distribute allportions of the property as to which the lawyer isable to identify the parties that have interests and

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as to which there are no competing interests.Where there are competing interests in the prop-erty or a portion of the property, the lawyer shallsegregate and safeguard the property subject tothe competing interests.

(g) The word ‘‘interest(s)’’ as used in this sub-section and subsections (e) and (f) means morethan the mere assertion of a claim by a third party.In the event a lawyer is notified by a third partyor a third party’s agent of a claim to funds heldby the lawyer on behalf of a client, but it is unclearto the lawyer whether the third party has a validinterest within the meaning of this Rule, the lawyermay make a written request that the third partyor third party’s agent provide the lawyer such rea-sonable information and/or documentation asneeded to assist the lawyer in determiningwhether substantial grounds exist for the third par-ty’s claim to the funds. If the third party or thirdparty’s agent fails to comply with such a requestwithin sixty days, the lawyer may distribute thefunds in question to the client.

(h) Notwithstanding subsections (b), (c), (d), (e)and (f), lawyers and law firms shall participate inthe statutory program for the use of interestearned on lawyers’ clients’ funds accounts to pro-vide funding for the delivery of legal services tothe poor by nonprofit corporations whose principalpurpose is providing legal services to the poorand for law school scholarships based on financialneed. Lawyers and law firms shall place a client’sor third person’s funds in an IOLTA account if thelawyer or law firm determines, in good faith, thatthe funds cannot earn income for the client inexcess of the costs incurred to secure suchincome. For the purpose of making this good faithdetermination of whether a client’s funds cannotearn income for the client in excess of the costsincurred to secure such income, the lawyer or lawfirm shall consider the following factors: (1) Theamount of the funds to be deposited; (2) theexpected duration of the deposit, including thelikelihood of delay in resolving the relevant trans-action, proceeding or matter for which the fundsare held; (3) the rates of interest, dividends oryield at eligible institutions where the funds areto be deposited; (4) the costs associated withestablishing and administering interest-bearingaccounts or other appropriate investments for thebenefit of the client, including service charges,minimum balance requirements or fees imposedby the eligible institutions; (5) the costs of theservices of the lawyer or law firm in connectionwith establishing and maintaining the account orother appropriate investments; (6) the costs ofpreparing any tax reports required for income


earned on the funds in the account or other appro-priate investments; and (7) any other circum-stances that affect the capability of the funds toearn income for the client in excess of the costsincurred to secure such income. No lawyer shallbe subject to discipline for determining in goodfaith to deposit funds in the interest earned onlawyers’ clients’ funds account in accordance withthis subsection.

(i) An IOLTA account may only be establishedat an eligible institution that meets the followingrequirements:

(1) No earnings from the IOLTA account shallbe made available to a lawyer or law firm.

(2) Lawyers or law firms depositing a client’s orthird person’s funds in an IOLTA account shalldirect the depository institution:

(A) To remit interest or dividends, net of allow-able reasonable fees, if any, on the averagemonthly balance in the account, or as otherwisecomputed in accordance with the institution’sstandard accounting practices, at least quarterly,to the organization designated by the judges ofthe superior court to administer this statutoryprogram;

(B) To transmit to the organization administer-ing the program with each remittance a report thatidentifies the name of the lawyer or law firm forwhom the remittance is sent, the amount of remit-tance attributable to each IOLTA account, the rateand type of interest or dividends applied, theamount of interest or dividends earned, theamount and type of fees and service chargesdeducted, if any, and the average account bal-ance for the period for which the report is madeand such other information as is reasonablyrequired by such organization; and

(C) To transmit to the depositing lawyer or lawfirm at the same time a report in accordance withthe institution’s normal procedures for reportingto its depositors.

(3) Participation by banks, savings and loanassociations, and investment companies in theIOLTA program is voluntary. An eligible institutionthat elects to offer and maintain IOLTA accountsshall meet the following requirements:

(A) The eligible institution shall pay no less onits IOLTA accounts than the highest interest rateor dividend generally available from the institutionto its non-IOLTA customers when the IOLTAaccount meets or exceeds the same minimumbalance or other eligibility qualifications on its non-IOLTA accounts, if any. In determining the highestinterest rate or dividend generally available fromthe institution to its non-IOLTA customers, an eli-gible institution may consider, in addition to thebalance in the IOLTA account, factors customarily

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considered by the institution when setting interestrates or dividends for its non-IOLTA customers,provided that such factors do not discriminatebetween IOLTA accounts and non-IOLTAaccounts and that these factors do not includethefact that the account is an IOLTA account. In lieuof the rate set forth in the first sentence of thissubparagraph, an eligible institution may pay arate equal to the higher of either (i) one percentper annum, or (ii) sixty percent of the FederalFunds Target Rate. Such alternate rate shall bedetermined for each calendar quarter as of thefirst business day of such quarter and shall bedeemed net of allowable reasonable fees and ser-vice charges. The eligible institution may offer,and the lawyer or law firm may request, a sweepaccount that provides a mechanism for the over-night investment of balances in the IOLTA accountin an interest- or dividend-bearing account that isa daily financial institution repurchase agreementor a money market fund. Nothing in this Rule shallpreclude an eligible institution from paying ahigher interest rate or dividend than describedabove or electing to waive any fees and servicecharges on an IOLTA account. An eligible institu-tion may choose to pay the higher interest or divi-dend rate on an IOLTA account in lieu ofestablishing it as a higher rate product.

(B) Interest and dividends shall be calculated inaccordance with the eligible institution’s standardpractices for non-IOLTA customers.

(C) Allowable reasonable fees are the only feesand service charges that may be deducted byan eligible institution from interest earned on anIOLTA account. Allowable reasonable fees maybe deducted from interest or dividends on anIOLTA account only at the rates and in accord-ance with the customary practices of the eligibleinstitution for non-IOLTA customers. No fees orservice charges other than allowable reasonablefees may be assessed against the accrued inter-est or dividends on an IOLTA account. Any feesand service charges other than allowable reason-able fees shall be the sole responsibility of, andmay only be charged to, the lawyer or law firmmaintaining the IOLTA account. Fees and servicecharges in excess of the interest or dividendsearned on one IOLTA account for any period shallnot be taken from interest or dividends earned onany other IOLTA account or accounts or from theprincipal of any IOLTA account.

(4) The judges of the superior court, upon rec-ommendation of the chief court administrator,shall designate an organization qualified underSec. 501 (c) (3) of the Internal Revenue Code, orany subsequent corresponding Internal RevenueCode of the United States, as from time to time


amended, to administer the program. The chiefcourt administrator shall cause to be printed inthe Connecticut Law Journal an appropriateannouncement identifying the designated organi-zation. The organization administering the pro-gram shall comply with the following:

(A) Each June mail to each judge of the superiorcourt and to each lawyer or law firm participatingin the program a detailed annual report of all fundsdisbursed under the program including theamount disbursed to each recipient of funds;

(B) Each June submit the following in detailto the chief court administrator for approval andcomment by the Executive Committee of thesuperior court: (i) its proposed goals and objec-tives for the program; (ii) the procedures it hasestablished to avoid discrimination in the award-ing of grants; (iii) information regarding the insur-ance and fidelity bond it has procured; (iv) adescription of the recommendations and adviceit has received from the Advisory Panel estab-lished by General Statutes § 51-81c and theaction it has taken to implement such recommen-dations and advice; (v) the method it utilizes toallocate between the two uses of funds providedfor in § 51-81c and the frequency with which itdisburses funds for such purposes; (vi) the proce-dures it has established to monitor grantees toensure that any limitations or restrictions on theuse of the granted funds have been observedby the grantees, such procedures to include thereceipt of annual audits of each grantee showingcompliance with grant awards and setting forthquantifiable levels of services that each granteehas provided with grant funds; (vii) the proceduresit has established to ensure that no funds thathave been awarded to grantees are used for lob-bying purposes; and (viii) the procedures it hasestablished to segregate funds to be disbursedunder the program from other funds of the organi-zation;

(C) Allow the judicial branch access to its booksand records upon reasonable notice;

(D) Submit to audits by the judicial branch; and(E) Provide for a dispute resolution process for

resolving disputes as to whether a bank, savingsand loan association, or open-end investmentcompany is an eligible institution within the mean-ing of this Rule.

(5) Before an organization may be designatedto administer this program, it shall file with thechief court administrator, and the judges of thesuperior court shall have approved, a resolutionof the board of directors of such an organizationwhich includes provisions:

(A) Establishing that all funds the organizationmight receive pursuant to subsection (i) (2) (A)

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above will be exclusively devoted to providingfunding for the delivery of legal services to thepoor by nonprofit corporations whose principalpurpose is providing legal services to the poorand for law school scholarships based on financialneed and to the collection, management and dis-tribution of such funds;

(B) Establishing that all interest and dividendsearned on such funds, less allowable reasonablefees, if any, shall be used exclusively for suchpurposes;

(C) Establishing and describing the methodsthe organization will utilize to implement andadminister the program and to allocate funds tobe disbursed under the program, the frequencywith which the funds will be disbursed by the orga-nization for such purposes, and the segregationof such funds from other funds of the organization;

(D) Establishing that the organization shall con-sult with and receive recommendations from theAdvisory Panel established by General Statutes§ 51-81c regarding the implementation andadministration of the program, including themethod of allocation and the allocation of fundsto be disbursed under such program;

(E) Establishing that the organization shall com-ply with the requirements of this Rule; and

(F) Establishing that said resolution will not beamended, and the facts and undertakings set forthin it will not be altered, until the same shall havebeen approved by the judges of the superior courtand ninety days have elapsed after publication bythe chief court administrator of the notice of suchapproval in the Connecticut Law Journal.

(6) Nothing in this subsection (i) shall preventa lawyer or law firm from depositing a client’s orthird person’s funds, regardless of the amount ofsuch funds or the period for which such funds areexpected to be held, in a separate non-IOLTAaccount established on behalf of and for the bene-fit of the client or third person. Such an accountshall be established as:

(A) A separate clients’ funds account for theparticular client or third person on which the inter-est or dividends will be paid to the client or thirdperson; or

(B) A pooled clients’ funds account with subac-counting by the bank, savings and loan associa-tion or investment company or by the lawyer orlaw firm, which provides for the computation ofinterest or dividends earned by each client’s orthird person’s funds and the payment thereof tothe client or third person.

(j) A lawyer who practices in this jurisdictionshall maintain current financial records as pro-vided in this Rule and shall retain the following


records for a period of seven years after termina-tion of the representation:

(1) receipt and disbursement journals con-taining a record of deposits to and withdrawalsfrom client trust accounts, specifically identifyingthe date, source, and description of each itemdeposited, as well as the date, payee and purposeof each disbursement;

(2) ledger records for all client trust accountsshowing, for each separate trust client or benefi-ciary, the source of all funds deposited, the namesof all persons for whom the funds are or wereheld, the amount of such funds, the descriptionsand amounts of charges or withdrawals, and thenames of all persons or entities to whom suchfunds were disbursed;

(3) copies of retainer and compensationagreements with clients as required by Rule 1.5of the Rules of Professional Conduct;

(4) copies of accountings to clients or third per-sons showing the disbursement of funds to themor on their behalf;

(5) copies of bills for legal fees and expensesrendered to clients;

(6) copies of records showing disbursementson behalf of clients;

(7) the physical or electronic equivalents of allcheckbook registers, bank statements, records ofdeposit, prenumbered canceled checks, and sub-stitute checks provided by a financial institution;

(8) records of all electronic transfers from clienttrust accounts, including the name of the personauthorizing transfer, the date of transfer, the nameof the recipient and confirmation from the financialinstitution of the trust account number from whichmoney was withdrawn and the date and the timethe transfer was completed;

(9) copies of monthly trial balances and at leastquarterly reconciliations of the client trustaccounts maintained by the lawyer; and

(10) copies of those portions of client files thatare reasonably related to client trust accounttransactions.

(k) With respect to client trust accounts requiredby this Rule:

(1) only a lawyer admitted to practice law in thisjurisdiction or a person under the direct supervi-sion of the lawyer shall be an authorized signatoryor authorize transfers from a client trust account;

(2) receipts shall be deposited intact andrecords of deposit should be sufficiently detailedto identify each item; and

(3) withdrawals shall be made only by checkpayable to a named payee or by authorized elec-tronic transfer and not to cash.

(l) The records required by this Rule may bemaintained by electronic, photographic, or other

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media provided that they otherwise comply withthese Rules and that printed copies can be pro-duced. These records shall be readily accessibleto the lawyer.

(m) Upon dissolution of a law firm or of anylegal professional corporation, the partners shallmake reasonable arrangements for the mainte-nance of client trust account records specified inthis Rule.

(n) Upon the sale of a law practice, the sellershall make reasonable arrangements for themaintenance of records specified in this Rule.

(P.B. 1978-1997, Rule 1.15.) (Amended June 26, 2006, totake effect Sept. 1, 2006; amended June 29, 2007, to takeeffect Sept. 1, 2007; amended June 30, 2008, to take effectAug. 1, 2008; amended June 21, 2010, to take effect Aug. 1,2010; amended June 20, 2011, to take effect Jan. 1, 2012;amended June 12, 2015, to take effect Jan. 1, 2016.)

COMMENTARY: A lawyer should hold property of otherswith the care required of a professional fiduciary. Securitiesshould be kept in a safe deposit box, except when some otherform of safekeeping is warranted by special circumstances.All property that is the property of clients or third persons,including prospective clients, must be kept separate from thelawyer’s business and personal property and, if moneys, inone or more trust accounts. Separate trust accounts may bewarranted when administering estate moneys or acting in simi-lar fiduciary capacities. A lawyer should maintain on a currentbasis books and records in accordance with generallyaccepted accounting practices.

While normally it is impermissible to commingle the lawyer’sown funds with client funds, subsection (c) provides that it ispermissible when necessary to pay bank service charges onthat account. Accurate records must be kept regarding whichpart of the funds is the lawyer’s.

Lawyers often receive funds from which the lawyer’s feewill be paid. The lawyer is not required to remit to the clients’funds account funds that the lawyer reasonably believes repre-sent fees owed. However, a lawyer may not hold funds tocoerce a client into accepting the lawyer’s contention. Thedisputed portion of the funds must be kept in a trust accountand the lawyer should suggest means for prompt resolutionof the dispute, such as arbitration. The undisputed portion ofthe funds shall be promptly distributed.

Subsection (f) also recognizes that third parties, such as aclient’s creditor who has a lien on funds recovered in a personalinjury action, may have lawful interests in specific funds orother property in a lawyer’s custody. A lawyer may have aduty under applicable law to protect such third-party interestsagainst wrongful interference by the client. In such cases thelawyer must refuse to surrender the property to the client untilthe competing interests are resolved. A lawyer should notunilaterally assume to arbitrate a dispute between the clientand the third party, but, when there are substantial groundsfor dispute as to the person entitled to the funds, the lawyermay file an action to have a court resolve the dispute.

The word ‘‘interest(s)’’ as used in subsections (e), (f) and(g) includes, but is not limited to, the following: a valid judgmentconcerning disposition of the property; a valid statutory orjudgment lien, or other lien recognized by law, against theproperty; a letter of protection or similar obligation that is both(a) directly related to the property held by the lawyer, and(b) an obligation specifically entered into to aid the lawyer inobtaining the property; or a written assignment, signed by the


client, conveying an interest in the funds or other property toanother person or entity.

The obligations of a lawyer under this Rule are independentof those arising from activity other than rendering legal ser-vices. For example, a lawyer who serves only as an escrowagent is governed by the applicable law relating to fiduciarieseven though the lawyer does not render legal services in thetransaction and is not governed by this Rule. A ‘‘lawyers’ fund’’for client protection provides a means through the collectiveefforts of the bar to reimburse persons who have lost moneyor property as a result of dishonest conduct of a lawyer. Wheresuch a fund has been established, a lawyer must participatewhere it is mandatory, and, even when it is voluntary, thelawyer should participate.

Subsection (i) requires lawyers and law firms to participatein the statutory IOLTA program. The lawyer or law firm shouldreview its IOLTA account at reasonable intervals to determinewhether changed circumstances require further action withrespect to the funds of any client or third person.

Subsection (j) lists the basic financial records that a lawyermust maintain with regard to all trust accounts of a law firm.These include the standard books of account, and the support-ing records that are necessary to safeguard and account forthe receipt and disbursement of client or third person fundsas required by Rule 1.15 of the Rules of Professional Conduct.

Subsection (j) requires that lawyers maintain client trustaccount records, including the physical or electronic equiva-lents of all checkbook registers, bank statements, records ofdeposit, prenumbered canceled checks, and substitute checksfor a period of at least seven years after termination of eachparticular legal engagement or representation. The ‘‘CheckClearing for the 21st Century Act’’ or ‘‘Check 21 Act,’’ codifiedat 12 U.S.C. § 5001 et seq., recognizes ‘‘substitute checks’’as the legal equivalent of an original check. A ‘‘substitutecheck’’ is defined at 12 U.S.C. § 5002 (16) as paper reproduc-tion of the original check that contains an image of the frontand back of the original check; bears a magnetic ink characterrecognition (‘‘MICR’’) line containing all the informationappearing on the MICR line of the original check; conformswith generally applicable industry standards for substitutechecks; and is suitable for automated processing in the samemanner as the original check. Banks, as defined in 12 U.S.C.§ 5002 (2), are not required to return to customers the originalcanceled checks. Most banks now provide electronic imagesof checks to customers who have access to their accounts oninternet based websites. It is the lawyer’s responsibility todownload electronic images. Electronic images shall be main-tained for the requisite number of years and shall be readilyavailable for printing upon request or shall be printed andmaintained for the requisite number years.

The ACH (Automated Clearing House) Network is an elec-tronic funds transfer or payment system that primarily providesfor the interbank clearing of electronic payments between origi-nating and receiving participating financial institutions. ACHtransactions are payment instructions to either debit or credita deposit account. ACH payments are used in a variety ofpayment environments including bill payments, business-to-business payments, and government payments (e.g. taxrefunds). In addition to the primary use of ACH transactions,retailers and third parties use the ACH system for other typesof transactions including electronic check conversion (ECC).ECC is the process of transmitting MICR information fromthe bottom of a check, converting check payments to ACHtransactions depending upon the authorization given by theaccount holder at the point-of-purchase. In this type of transac-tion, the lawyer should be careful to comply with the require-ments of subsection (j) (8).

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There are five types of check conversions where a lawyershould be careful to comply with the requirements of subsec-tion (j) (8). First, in a ‘‘point-of-purchase conversion,’’ a papercheck is converted into a debit at the point of purchase, andthe paper check is returned to the issuer. Second, in a ‘‘back-office conversion,’’ a paper check is presented at the point-of-purchase and is later converted into a debit, and the papercheck is destroyed. Third, in a ‘‘account-receivable conver-sion,’’ a paper check is converted into a debit, and the papercheck is destroyed. Fourth, in a ‘‘telephone-initiated debit’’or ‘‘check-by-phone’’ conversion, bank account information isprovided via the telephone, and the information is convertedto a debit. Fifth, in a ‘‘web-initiated debit,’’ an electronic pay-ment is initiated through a secure web environment. Subsec-tion (j) (8) applies to each of the types of electronic fundstransfers described. All electronic funds transfers shall berecorded, and a lawyer should not reuse a check number whichhas been previously used in an electronic transfer transaction.

The potential of these records to serve as safeguards isrealized only if the procedures set forth in subsection (j) (9) areregularly performed. The trial balance is the sum of balances ofeach client’s ledger card (or the electronic equivalent). Its valuelies in comparing it on a monthly basis to a control balance.The control balance starts with the previous month’s balance,then adds receipts from the Trust Receipts Journal and sub-tracts disbursements from the Trust Disbursements Journal.Once the total matches the trial balance, the reconciliationreadily follows by adding amounts of any outstanding checksand subtracting any deposits not credited by the bank atmonth’s end. This balance should agree with the bank state-ment. Quarterly reconciliation is recommended only as a mini-mum requirement; monthly reconciliation is the preferredpractice given the difficulty of identifying an error (whether bythe lawyer or the bank) among three months’ transactions.

In some situations, documentation in addition to that listedin subdivisions (1) through (9) of subsection (i) is necessaryfor a complete understanding of a trust account transaction.The type of document that a lawyer must retain under subdivi-sion (10) of subsection (i) because it is ‘‘reasonably related’’to a client trust transaction will vary depending on the natureof the transaction and the significance of the document inshedding light on the transaction. Examples of documentsthat typically must be retained under this subdivision includecorrespondence between the client and lawyer relating to adisagreement over fees or costs or the distribution of proceeds,settlement agreements contemplating payment of funds, set-tlement statements issued to the client, documentation relatingto sharing litigation costs and attorney fees for subrogatedclaims, agreements for division of fees between lawyers, guar-antees of payment to third parties out of proceeds recoveredon behalf of a client, and copies of bills, receipts or correspon-dence related to any payments to third parties on behalf of aclient (whether made from the client’s funds or from the law-yer’s funds advanced for the benefit of the client).

Subsection (k) lists minimal accounting controls for clienttrust accounts. It also enunciates the requirement that only alawyer admitted to the practice of law in this jurisdiction or aperson who is under the direct supervision of the lawyer shallbe the authorized signatory or authorized to make electronictransfers from a client trust account. While it is permissible togrant limited nonlawyer access to a client trust account, suchaccess should be limited and closely monitored by the lawyer.The lawyer has a nondelegable duty to protect and preservethe funds in a client trust account and can be disciplined forfailure to supervise subordinates who misappropriate clientfunds. See Rules 5.1 and 5.3 of the Rules of ProfessionalConduct.


Authorized electronic transfers shall be limited to (1) moneyrequired for payment to a client or third person on behalf ofa client; (2) expenses properly incurred on behalf of a client,such as filing fees or payment to third persons for servicesrendered in connection with the representation; or (3) moneytransferred to the lawyer for fees that are earned in connectionwith the representation and are not in dispute; or (4) moneytransferred from one client trust account to another clienttrust account.

The requirements in subdivision (2) of subsection (k) thatreceipts shall be deposited intact mean that a lawyer cannotdeposit one check or negotiable instrument into two or moreaccounts at the same time, a practice commonly known as asplit deposit.

Subsection (l) allows the use of alternative media for themaintenance of client trust account records if printed copiesof necessary reports can be produced. If trust records arecomputerized, a system of regular and frequent (preferablydaily) backup procedures is essential. If a lawyer uses third-party electronic or internet based file storage, the lawyer mustmake reasonable efforts to ensure that the company has inplace, or will establish reasonable procedures to protect theconfidentiality of client information. See ABA Formal EthicsOpinion 398 (1995). Records required by subsection (j) shallbe readily accessible and shall be readily available to be pro-duced upon request by the client or third person who has aninterest as provided in Rule 1.15 of the Rules of ProfessionalConduct, or by the official request of a disciplinary authority,including but not limited to, a subpoena duces tecum. Personalidentifying information in records produced upon request bythe client or third person or by disciplinary authority shallremain confidential and shall be disclosed only in a mannerto ensure client confidentiality as otherwise required by lawor court rule.

Subsections (m) and (n) provide for the preservation of alawyer’s client trust account records in the event of dissolutionor sale of a law practice. Regardless of the arrangements thepartners or shareholders make among themselves for mainte-nance of the client trust records, each partner may be heldresponsible for ensuring the availability of these records. Forthe purposes of these Rules, the terms ‘‘law firm,’’ ‘‘partner,’’and ‘‘reasonable’’ are defined in accordance with Rules 1.0(d), (h), and (i) of the Rules of Professional Conduct.

Rule 1.16. Declining or Terminating Repre-sentation(a) Except as stated in subsection (c), a lawyer

shall not represent a client or, where representa-tion has commenced, shall withdraw from the rep-resentation of a client if:

(1) The representation will result in violation ofthe Rules of Professional Conduct or other law;

(2) The lawyer’s physical or mental conditionmaterially impairs the lawyer’s ability to representthe client; or

(3) The lawyer is discharged.(b) Except as stated in subsection (c), a lawyer

may withdraw from representing a client if:(1) withdrawal can be accomplished without

material adverse effect on the interests of theclient;

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(2) the client persists in a course of actioninvolving the lawyer’s services that the lawyer rea-sonably believes is criminal or fraudulent;

(3) the client has used the lawyer’s services toperpetrate a crime or fraud;

(4) the client insists upon taking action that thelawyer considers repugnant or with which the law-yer has a fundamental disagreement;

(5) the client fails substantially to fulfill an obliga-tion to the lawyer regarding the lawyer’s servicesand has been given reasonable warning that thelawyer will withdraw unless the obligation is ful-filled;

(6) the representation will result in an unreason-able financial burden on the lawyer or has beenrendered unreasonably difficult by the client; or

(7) other good cause for withdrawal exists.(c) A lawyer must comply with applicable law

requiring notice to or permission of a tribunal whenterminating a representation. When ordered to doso by a tribunal, a lawyer shall continue represen-tation notwithstanding good cause for terminatingthe representation.

(d) Upon termination of representation, a lawyershall take steps to the extent reasonably practica-ble to protect a client’s interests, such as givingreasonable notice to the client, allowing time foremployment of other counsel, surrenderingpapers and property to which the client is entitledand refunding any advance payment of the feethat has not been earned. The lawyer may retainpapers relating to the client to the extent permittedby other law. If the representation of the client isterminated either by the lawyer withdrawing fromrepresentation or by the client discharging the law-yer, the lawyer shall confirm the termination inwriting to the client before or within a reasonabletime after the termination of the representation.


COMMENTARY: A lawyer should not accept representationin a matter unless it can be performed competently, promptly,without improper conflict of interest and to completion. Ordi-narily, a representation in a matter is completed when theagreed upon assistance has been concluded. See Rules 1.2(c) and 6.5; see also Rule 1.3, Commentary.

Mandatory Withdrawal. A lawyer ordinarily must declineor withdraw from representation if the client demands that thelawyer engage in conduct that is illegal or violates the Rulesof Professional Conduct or other law. The lawyer is not obligedto decline or withdraw simply because the client suggests sucha course of conduct; a client may make such a suggestion inthe hope that a lawyer will not be constrained by a profes-sional obligation.

When a lawyer has been appointed to represent a client,withdrawal ordinarily requires approval of the appointingauthority. See also Rule 6.2. Similarly, court approval or noticeto the court is often required by applicable law before a lawyer


withdraws from pending litigation. Difficulty may be encoun-tered if withdrawal is based on the client’s demand that thelawyer engage in unprofessional conduct. The court mayrequest an explanation for the withdrawal, while the lawyermay be bound to keep confidential the facts that would consti-tute such an explanation. Lawyers should be mindful of theirobligations to both clients and the court under Rules 1.6and 3.3.

Withdrawal of Limited Appearance. When the lawyer hasfiled a limited appearance under Practice Book Section 3-8(b) and the lawyer has completed the representation describedin the limited appearance, the lawyer is not required to obtainpermission of the tribunal to terminate the representationbefore filing the certificate of completion.

Discharge. A client has a right to discharge a lawyer atany time, with or without cause, subject to liability for paymentfor the lawyer’s services. Where future dispute about the with-drawal may be anticipated, it may be advisable to prepare awritten statement reciting the circumstances.

Whether a client can discharge appointed counsel maydepend on applicable law. A client seeking to do so shouldbe given a full explanation of the consequences. These conse-quences may include a decision by the appointing authoritythat appointment of successor counsel is unjustified, thusrequiring the client to represent himself or herself.

If the client has diminished capacity, the client may lackthe legal capacity to discharge the lawyer and, in any event,the discharge may be seriously adverse to the client’s inter-ests. The lawyer should make special effort to help the clientconsider the consequences and may take reasonably neces-sary protective action as provided in Rule 1.14.

Assisting the Client upon Withdrawal. Even if the lawyerhas been unfairly discharged by the client, a lawyer must takeall reasonable steps to mitigate the consequences to the client.The lawyer may retain papers as security for a fee only to theextent permitted by law. See Rule 1.5.

Confirmation in Writing. A written statement to the clientconfirming the termination of the relationship and the basis ofthe termination reduces the possibility of misunderstandingthe status of the relationship. The written statement shouldbe sent to the client before or within a reasonable time afterthe termination of the relationship.

Rule 1.17. Sale of Law PracticeA lawyer or a law firm may sell or purchase a

law practice, or an area of practice, including goodwill, if the following conditions are satisfied:

(a) The seller ceases to engage in the privatepractice of law, or in the area of practice that hasbeen sold, in Connecticut;

(b) The entire practice, or the entire area ofpractice, is sold to one or more lawyers or lawfirms;

(c) The seller gives written notice to each of theseller’s clients regarding:

(1) the proposed sale;(2) the client’s right to retain other counsel or

to take possession of the file; and(3) the fact that the client’s consent to the trans-

fer of the client’s files will be presumed if the clientdoes not take any action or does not otherwiseobject within ninety days of receipt of the notice.

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If a client cannot be given notice, the representa-tion of that client may be transferred to the pur-chaser only upon entry of an order so authorizingby a court having jurisdiction. The seller may dis-close to the court in camera information relatingto the representation only to the extent necessaryto obtain an order authorizing the transfer of a file.

(d) The fees charged clients shall not beincreased by reason of the sale.

(Adopted June 26, 2006, to take effect Jan. 1, 2007.)COMMENTARY: The practice of law is a profession, not

merely a business. Clients are not commodities that can bepurchased and sold at will. Pursuant to this Rule, when alawyer or an entire firm ceases to practice, or ceases to prac-tice in an area of law, and other lawyers or firms take overthe representation, the selling lawyer or firm may obtain com-pensation for the reasonable value of the practice as maywithdrawing partners of law firms. See Rules 5.4 and 5.6.

Termination of Practice by the Seller. The requirementthat all of the private practice, or all of an area of practice, besold is satisfied if the seller in good faith makes the entirepractice, or the area of practice, available for sale to the pur-chasers. The fact that a number of the seller’s clients decidenot to be represented by the purchasers but take their matterselsewhere, therefore, does not result in a violation.

The requirement that the seller cease to engage in theprivate practice of law does not prohibit employment as alawyer on the staff of a public agency or a legal services entitythat provides legal services to the poor, or as in-house counselto a business.

The Rule permits a sale of an entire practice attendantupon retirement from the private practice of law within thejurisdiction. Its provisions, therefore, accommodate the lawyerwho sells the practice upon the occasion of moving to anotherstate. Some states are so large that a move from one localetherein to another is tantamount to leaving the jurisdiction inwhich the lawyer has engaged in the practice of law. To alsoaccommodate lawyers so situated, states may permit the saleof the practice when the lawyer leaves the geographic arearather than the jurisdiction. The alternative desired should beindicated by selecting one of the two provided for in Rule1.17 (a).

This Rule also permits a lawyer or law firm to sell an areaof practice. If an area of practice is sold and the lawyer remainsin the active practice of law, the lawyer must cease acceptingany matters in the area of practice that has been sold, eitheras counsel or co-counsel or by assuming joint responsibilityfor a matter in connection with the division of a fee with anotherlawyer as would otherwise be permitted by Rule 1.5 (e). Forexample, a lawyer with a substantial number of estate planningmatters and a substantial number of probate administrationcases may sell the estate planning portion of the practice butremain in the practice of law by concentrating on probateadministration; however, that practitioner may not thereafteraccept any estate planning matters. Although a lawyer wholeaves a jurisdiction or geographical area typically would sellthe entire practice, this Rule permits the lawyer to limit thesale to one or more areas of the practice, thereby preservingthe lawyer’s right to continue practice in the areas of the prac-tice that were not sold.

Sale of Entire Practice or Entire Area of Practice. TheRule requires that the seller’s entire practice, or an entire areaof practice, be sold. The prohibition against sale of less thanan entire practice area protects those clients whose mattersare less lucrative and who might find it difficult to secure other


counsel if a sale could be limited to substantial fee-generatingmatters. The purchasers are required to undertake all clientmatters in the practice or practice area, subject to client con-sent. This requirement is satisfied, however, even if a pur-chaser is unable to undertake a particular client matterbecause of a conflict of interest.

Client Confidences, Consent and Notice. Negotiationsbetween a seller and a prospective purchaser prior to disclo-sure of information relating to a specific representation of anidentifiable client no more violate the confidentiality provisionsof Rule 1.6 than do preliminary discussions concerning thepossible association of another lawyer or mergers betweenfirms, with respect to which client consent is not required. SeeRule 1.6 (c) (5). Providing the purchaser access to detailedinformation relating to the representation, such as the client’sfile, however, requires client consent. The Rule provides thatbefore such information can be disclosed by the seller to thepurchaser the client must be given actual written notice of thecontemplated sale, including the identity of the purchaser,and must be told that the decision to consent or make otherarrangements must be made within ninety days. If nothing isheard from the client within that time, consent to the saleis presumed.

A lawyer or law firm ceasing to practice cannot be requiredto remain in practice because some clients cannot be givenactual notice of the proposed purchase. Since these clientscannot themselves consent to the purchase or direct any otherdisposition of their files, the Rule requires an order from acourt having jurisdiction authorizing their transfer or other dis-position. The court can be expected to determine whetherreasonable efforts to locate the client have been exhausted,and whether the absent client’s legitimate interests will beserved by authorizing the transfer of the file so that the pur-chaser may continue the representation. Preservation of clientconfidences requires that the petition for a court order beconsidered in camera. This procedure is contemplated as anin camera review of privileged materials.

All the elements of client autonomy, including the client’sabsolute right to discharge a lawyer and transfer the represen-tation to another, survive the sale of the practice or area ofpractice.

Fee Arrangements between Client and Purchaser. Thesale may not be financed by increases in fees charged exclu-sively to the clients of the purchased practice. Existingagreements between the seller and the client as to fees andthe scope of the work must be honored by the purchaser.

Other Applicable Ethical Standards. Lawyers participat-ing in the sale of a law practice or a practice area are subjectto the ethical standards applicable to involving another lawyerin the representation of a client. These include, for example,the seller’s obligation to exercise competence in identifying apurchaser qualified to assume the practice and the purchaser’sobligation to undertake the representation competently (seeRule 1.1); the obligation to avoid disqualifying conflicts, andto secure the client’s informed consent for those conflicts thatcan be agreed to (see Rule 1.7 regarding conflicts and Rule1.0 for the definition of informed consent); and the obligationto protect information relating to the representation (see Rules1.6 and 1.9).

If approval of the substitution of the purchasing lawyer forthe selling lawyer is required by the rules of any tribunal inwhich a matter is pending, such approval must be obtainedbefore the matter can be included in the sale (see Rule 1.16).

Applicability of the Rule. This Rule applies to the sale ofa law practice by representatives of a deceased, disabled ordisappeared lawyer. Thus, the seller may be represented bya nonlawyer representative not subject to these Rules. Since,

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however, no lawyer may participate in a sale of a law practicewhich does not conform to the requirements of this Rule, therepresentatives of the seller as well as the purchasing lawyercan be expected to see to it that they are met.

Admission to or retirement from a law partnership or profes-sional association, retirement plans and similar arrangements,and a sale of tangible assets of a law practice, do not constitutea sale or purchase governed by this Rule.

This Rule does not apply to the transfers of legal representa-tion between lawyers when such transfers are unrelated tothe sale of a practice or an area of practice.

Rule 1.18. Duties to Prospective Client(a) A person who consults with a lawyer con-

cerning the possibility of forming a client-lawyerrelationship with respect to a matter is a prospec-tive client.

(b) Even when no client-lawyer relationshipensues, a lawyer who has learned informationfrom a prospective client shall not use or revealthat information, except as Rule 1.9 would permitwith respect to information of a former client.

(c) A lawyer subject to subsection (b) shall notrepresent a client with interests materially adverseto those of a prospective client in the same or asubstantially related matter if the lawyer receivedinformation from the prospective client that couldbe significantly harmful to that person in the mat-ter, except as provided in subsection (d). If a law-yer is disqualified from representation under thisparagraph, no lawyer in a firm with which thatlawyer is associated may knowingly undertake orcontinue representation in such a matter, exceptas provided in subsection (d).

(d) When the lawyer has received disqualifyinginformation as defined in subsection (c), represen-tation is permissible if:

(1) both the affected client and the prospectiveclient have given informed consent, confirmed inwriting, or

(2) the lawyer who received the information tookreasonable measures to avoid exposure to moredisqualifying information than was reasonablynecessary to determine whether to represent theprospective client; and

(i) the disqualified lawyer is timely screenedfrom any participation in the matter; and

(ii) written notice is promptly given to the pro-spective client.

(Adopted June 26, 2006, to take effect Jan. 1, 2007;amended June 13, 2014, to take effect Jan. 1, 2015.)

COMMENTARY: Prospective clients, like clients, may dis-close information to a lawyer, place documents or other prop-erty in the lawyer’s custody, or rely on the lawyer’s advice. Alawyer’s consultations with a prospective client usually arelimited in time and depth and leave both the prospective clientand the lawyer free (and sometimes required) to proceed nofurther. Hence, prospective clients should receive some butnot all of the protection afforded clients.


A person becomes a prospective client by consulting witha lawyer about the possibility of forming a client-lawyer rela-tionship with respect to a matter. Whether communications,including written, oral, or electronic communications, consti-tute a consultation depends on the circumstances. For exam-ple, a consultation is likely to have occurred if a lawyer, eitherin person or through the lawyer’s advertising in any medium,specifically requests or invites the submission of informationabout a potential representation without clear and reasonablyunderstandable warnings and cautionary statements that limitthe lawyer’s obligations, and a person provides information inresponse. In contrast, a consultation does not occur if a personprovides information to a lawyer in response to advertising thatmerely describes the lawyer’s education, experience, areas ofpractice, and contact information, or provides legal informationof general interest. Such a person communicates informationunilaterally to a lawyer, without any reasonable expectationthat the lawyer is willing to discuss the possibility of forminga client-lawyer relationship, and is thus not a ‘‘prospectiveclient.’’ Moreover, a person who communicates with a lawyerfor the purpose of disqualifying the lawyer is not a ‘‘prospec-tive client.’’

It is often necessary for a prospective client to reveal infor-mation to the lawyer during an initial consultation prior to thedecision about formation of a client-lawyer relationship. Thelawyer often must learn such information to determine whetherthere is a conflict of interest with an existing client and whetherthe matter is one that the lawyer is willing to undertake. Subsec-tion (b) prohibits the lawyer from using or revealing that infor-mation, except as permitted by Rule 1.9, even if the client orlawyer decides not to proceed with the representation. Theduty exists regardless of how brief the initial consultationmay be.

In order to avoid acquiring disqualifying information froma prospective client, a lawyer considering whether or not toundertake a new matter should limit the initial consultation toonly such information as reasonably appears necessary forthat purpose. Where the information indicates that a conflictof interest or other reason for nonrepresentation exists, thelawyer should so inform the prospective client or decline therepresentation. If the prospective client wishes to retain thelawyer, and if consent is possible under Rule 1.7, then consentfrom all affected present or former clients must be obtainedbefore accepting the representation.

A lawyer may condition consultations with a prospectiveclient on the person’s informed consent that no informationdisclosed during the consultation will prohibit the lawyer fromrepresenting a different client in the matter. See Rule 1.0 (f)for the definition of informed consent. If the agreementexpressly so provides, the prospective client may also consentto the lawyer’s subsequent use of information received fromthe prospective client.

Even in the absence of an agreement, under subsection(c), the lawyer is not prohibited from representing a client withinterests adverse to those of the prospective client in the sameor a substantially related matter unless the lawyer has receivedfrom the prospective client information that could be signifi-cantly harmful if used in the matter.

Under subsection (c), the prohibition in this Rule is imputedto other lawyers as provided in Rule 1.10, but, under subsec-tion (d) (1), imputation may be avoided if the lawyer obtainsthe informed consent, confirmed in writing, of both the prospec-tive and affected clients. In the alternative, imputation may beavoided if the conditions of subsection (d) (2) are met and alldisqualified lawyers are timely screened and written noticeis promptly given to the prospective client. See Rule 1.0 (l)(requirements for screening procedures).

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Notice, including a general description of the subject matterabout which the lawyer was consulted, and of the screeningprocedures employed, generally should be given as soon aspracticable after the need for screening becomes apparent.

For the duty of competence of a lawyer who gives assis-tance on the merits of a matter to a prospective client, see Rule1.1. For a lawyer’s duties when a prospective client entrustsvaluables or papers to the lawyer’s care, see Rule 1.15.

COUNSELOR

Rule 2.1. AdvisorIn representing a client, a lawyer shall exercise

independent professional judgment and rendercandid advice. In rendering advice, a lawyer mayrefer not only to law but to other considerationssuch as moral, economic, social and political fac-tors, that may be relevant to the client’s situation.

(P.B. 1978-1997, Rule 2.1.)COMMENTARY: Scope of Advice. A client is entitled to

straightforward advice expressing the lawyer’s honest assess-ment. Legal advice often involves unpleasant facts and alter-natives that a client may be disinclined to confront. Inpresenting advice, a lawyer endeavors to sustain the client’smorale and may put advice in as acceptable a form as honestypermits. However, a lawyer should not be deterred from givingcandid advice by the prospect that the advice will be unpalat-able to the client.

Advice couched in narrow legal terms may be of little valueto a client, especially where practical considerations, suchas cost or effects on other people, are predominant. Purelytechnical legal advice, therefore, can sometimes be inade-quate. It is proper for a lawyer to refer to relevant moral andethical considerations in giving advice. Although a lawyer isnot a moral advisor as such, moral and ethical considerationsimpinge upon most legal questions and may decisively influ-ence how the law will be applied.

A client may expressly or impliedly ask the lawyer for purelytechnical advice. When such a request is made by a clientexperienced in legal matters, the lawyer may accept it at facevalue. When such a request is made by a client inexperiencedin legal matters, however, the lawyer’s responsibility as advisormay include indicating that more may be involved than strictlylegal considerations.

Matters that go beyond strictly legal questions may also bein the domain of another profession. Family matters caninvolve problems within the professional competence of psy-chiatry, clinical psychology or social work; business matterscan involve problems within the competence of the accountingprofession or of financial specialists. Where consultation witha professional in another field is itself something a competentlawyer would recommend, the lawyer should make such arecommendation. At the same time, a lawyer’s advice at itsbest often consists of recommending a course of action in theface of conflicting recommendations of experts.

Offering Advice. In general, a lawyer is not expected togive advice until asked by the client. However, when a lawyerknows that a client proposes a course of action that is likelyto result in substantial adverse legal consequences to theclient, the lawyer’s duty to the client under Rule 1.4 may requirethat the lawyer offer advice if the client’s course of action isrelated to the representation. Similarly, when a matter is likelyto involve litigation, it may be necessary under Rule 1.4 toinform the client of forms of dispute resolution that might consti-tute reasonable alternatives to litigation.


A lawyer ordinarily has no duty to initiate investigation ofa client’s affairs or to give advice that the client has indicatedis unwanted, but a lawyer may initiate advice to a client whendoing so appears to be in the client’s interest.

Rule 2.2. Intermediary[Repealed as of Jan. 1, 2007.]

Rule 2.3. Evaluation for Use by ThirdPersons(a) A lawyer may provide an evaluation of a

matter affecting a client for the use of someoneother than the client if the lawyer reasonablybelieves that making the evaluation is compatiblewith other aspects of the lawyer’s relationship withthe client.

(b) When the lawyer knows or reasonablyshould know that the evaluation is likely to affectthe client’s interests materially and adversely, thelawyer shall not provide the evaluation unless theclient gives informed consent.

(c) Except as disclosure is authorized in con-nection with a report of an evaluation, informationrelating to the evaluation is otherwise protectedby Rule 1.6.


COMMENTARY: Definition. An evaluation may be per-formed at the client’s direction or when impliedly authorizedin order to carry out the representation. See Rule 1.2. Suchan evaluation may be for the primary purpose of establishinginformation for the benefit of third parties; for example, anopinion concerning the title of property rendered at the behestof a vendor for the information of a prospective purchaser, orat the behest of a borrower for the information of a prospectivelender. In some situations, the evaluation may be required bya government agency; for example, an opinion concerning thelegality of the securities registered for sale under the securitieslaws. In other instances, the evaluation may be required bya third person, such as a purchaser of a business.

A legal evaluation should be distinguished from an investi-gation of a person with whom the lawyer does not have aclient-lawyer relationship. A legal evaluation of a client shouldalso be distinguished from a report by counsel for an insuredto the insured’s carrier on the status of the matter that is thesubject of representation, provided the report does not containmatter that is detrimental to the client’s relationship with theinsurance carrier. For example, a lawyer retained by a pur-chaser to analyze a vendor’s title to property does not havea client-lawyer relationship with the vendor. So also, an investi-gation into a person’s affairs by a government lawyer, or byspecial counsel employed by the government, is not an evalua-tion as that term is used in this Rule. The question is whetherthe lawyer is retained by the person whose affairs are beingexamined. When the lawyer is retained by that person, thegeneral rules concerning loyalty to client and preservation ofconfidences apply, which is not the case if the lawyer isretained by someone else. For this reason, it is essential toidentify the person by whom the lawyer is retained. This shouldbe made clear not only to the person under examination, butalso to others to whom the results are to be made available.

Duties Owed to Third Person and Client. When the evalu-ation is intended for the information or use of a third person,a legal duty to that person may or may not arise. That legal

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question is beyond the scope of this Rule. However, sincesuch an evaluation involves a departure from the normal client-lawyer relationship, careful analysis of the situation is required.The lawyer must be satisfied as a matter of professional judg-ment that making the evaluation is compatible with other func-tions undertaken in behalf of the client. For example, if thelawyer is acting as advocate in defending the client againstcharges of fraud, it would normally be incompatible with thatresponsibility for the lawyer to perform an evaluation for othersconcerning the same or a related transaction. Assuming nosuch impediment is apparent, however, the lawyer shouldadvise the client of the implications of the evaluation, particu-larly the lawyer’s responsibilities to third persons and the dutyto disseminate the findings.

Access to and Disclosure of Information. The qualityof an evaluation depends on the freedom and extent of theinvestigation upon which it is based. Ordinarily, a lawyer shouldhave whatever latitude of investigation seems necessary asa matter of professional judgment. Under some circumstances,however, the terms of the evaluation may be limited. For exam-ple, certain issues or sources may be categorically excluded,or the scope of search may be limited by time constraints orthe noncooperation of persons having relevant information.Any such limitations that are material to the evaluation shouldbe described in the report. If after a lawyer has commencedan evaluation, the client refuses to comply with the terms uponwhich it was understood the evaluation was to have beenmade, the lawyer’s obligations are determined by law, havingreference to the terms of the client’s agreement and the sur-rounding circumstances. In no circumstances is the lawyerpermitted to knowingly make a false statement of material factor law in providing an evaluation under this Rule. See Rule 4.1.

Obtaining Client’s Informed Consent. Information relat-ing to an evaluation is protected by Rule 1.6. In many situa-tions, providing an evaluation to a third party poses nosignificant risk to the client; thus, the lawyer may be impliedlyauthorized to disclose information to carry out the representa-tion. See Rule 1.6 (a). Where, however, it is reasonably likelythat providing the evaluation will affect the client’s interestsmaterially and adversely, the lawyer must first obtain the cli-ent’s consent after the client has been adequately informedconcerning the important possible effects on the client’s inter-ests. See Rules 1.6 (a) and 1.0 (f).

Financial Auditors’ Requests for Information. When aquestion concerning the legal situation of a client arises at theinstance of the client’s financial auditor and the question isreferred to the lawyer, the lawyer’s response may be madein accordance with procedures recognized in the legal profes-sion. Such a procedure is set forth in the American Bar Associ-ation Statement of Policy Regarding Lawyers’ Responses toAuditors’ Requests for Information, adopted in 1975.

Rule 2.4. Lawyer Serving as Third-PartyNeutral(a) A lawyer serves as a third-party neutral

when the lawyer assists two or more persons whoare not clients of the lawyer to reach a resolution ofa dispute or other matter that has arisen betweenthem. Service as a third-party neutral may includeservice as an arbitrator, a mediator or in suchother capacity as will enable the lawyer to assistthe parties to resolve the matter.

(b) A lawyer serving as a third-party neutralshall inform unrepresented parties that the lawyer


is not representing them. When the lawyer knowsor reasonably should know that a party does notunderstand the lawyer’s role in the matter, thelawyer shall explain the difference between thelawyer’s role as a third-party neutral and a law-yer’s role as one who represents a client.

(Adopted June 26, 2006, to take effect Jan. 1, 2007.)COMMENTARY: Alternative dispute resolution has

become a substantial part of the civil justice system. Aside fromrepresenting clients in dispute-resolution processes, lawyersoften serve as third-party neutrals. A third-party neutral is aperson, such as a mediator, arbitrator, conciliator or evaluator,who assists the parties, represented or unrepresented, in theresolution of a dispute or in the arrangement of a transaction.Whether a third-party neutral serves primarily as a facilitator,evaluator or decision maker depends on the particular processthat is either selected by the parties or mandated by a court.

The role of a third-party neutral is not unique to lawyers,although, in some court-connected contexts, only lawyers areallowed to serve in this role or to handle certain types of cases.In performing this role, the lawyer may be subject to court rulesor other law that apply either to third-party neutrals generally orto lawyers serving as third-party neutrals. Lawyer-neutrals mayalso be subject to various codes of ethics, such as the Codeof Ethics for Arbitration in Commercial Disputes prepared bya joint committee of the American Bar Association and theAmerican Arbitration Association or the Model Standards ofConduct for Mediators jointly prepared by the American BarAssociation, the American Arbitration Association and theSociety of Professionals in Dispute Resolution.

Unlike nonlawyers who serve as third-party neutrals, law-yers serving in this role may experience unique problems asa result of differences between the role of a third-party neutraland a lawyer’s service as a client representative. The potentialfor confusion is significant when the parties are unrepresentedin the process. Thus, subsection (b) requires a lawyer-neutralto inform unrepresented parties that the lawyer is not repre-senting them. For some parties, particularly parties who fre-quently use dispute-resolution processes, this information willbe sufficient. For others, particularly those who are using theprocess for the first time, more information will be required.Where appropriate, the lawyer should inform unrepresentedparties of the important differences between the lawyer’s roleas third-party neutral and a lawyer’s role as a client representa-tive, including the inapplicability of the attorney-client eviden-tiary privilege as well as the inapplicability of the duty ofconfidentiality. The extent of disclosure required under thissubsection will depend on the particular parties involved andthe subject matter of the proceeding, as well as the particularfeatures of the dispute-resolution process selected.

A lawyer who serves as a third-party neutral subsequentlymay be asked to serve as a lawyer representing a client inthe same matter. The conflicts of interest that arise for boththe individual lawyer and the lawyer’s law firm are addressedin Rule 1.12.

Lawyers who represent clients in alternative dispute-resolu-tion processes are governed by the Rules of ProfessionalConduct. When the dispute-resolution process takes placebefore a tribunal, as in binding arbitration (see Rule 1.0 [n]),the lawyer’s duty of candor is governed by Rule 3.3. Otherwise,the lawyer’s duty of candor toward both the third-party neutraland other parties is governed by Rule 4.1.

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ADVOCATE

Rule 3.1. Meritorious Claims and Con-tentionsA lawyer shall not bring or defend a proceeding,

or assert or controvert an issue therein, unlessthere is a basis in law and fact for doing so thatis not frivolous, which includes a good faith argu-ment for an extension, modification or reversal ofexisting law. A lawyer for the defendant in a crimi-nal proceeding, or the respondent in a proceedingthat could result in incarceration, may neverthe-less so defend the proceeding as to require thatevery element of the case be established.


COMMENTARY: The advocate has a duty to use legalprocedure for the fullest benefit of the client’s cause, but alsoa duty not to abuse legal procedure. The law, both proceduraland substantive, establishes the limits within which an advo-cate may proceed. However, the law is not always clear andnever is static. Accordingly, in determining the proper scopeof advocacy, account must be taken of the law’s ambiguitiesand potential for change.

The filing of an action or defense or similar action takenfor a client is not frivolous merely because the facts have notfirst been fully substantiated or because the lawyer expectsto develop vital evidence only by discovery. What is requiredof lawyers, however, is that they inform themselves aboutthe facts of their clients’ cases and the applicable law anddetermine that they can make good faith arguments in supportof their clients’ positions. Such action is not frivolous eventhough the lawyer believes that the client’s position ultimatelywill not prevail. The action is frivolous, however, if the lawyeris unable either to make a good faith argument on the meritsof the action taken or to support the action taken by a goodfaith argument for an extension, modification or reversal ofexisting law.

The lawyer’s obligations under this Rule are subordinateto federal or state constitutional law that entitles a defendantin a criminal matter to the assistance of counsel in presentinga claim or contention that otherwise would be prohibited bythis Rule.

Rule 3.2. Expediting LitigationA lawyer shall make reasonable efforts to expe-

dite litigation consistent with the interests of theclient.

(P.B. 1978-1997, Rule 3.2.)COMMENTARY: Dilatory practices bring the administration

of justice into disrepute. Although there will be occasions whena lawyer may properly seek a postponement for personal rea-sons, it is not proper for a lawyer to routinely fail to expeditelitigation solely for the convenience of the advocates. Nor willa failure to expedite be reasonable if done for the purpose offrustrating an opposing party’s attempt to obtain rightfulredress or repose. It is not a justification that similar conductis often tolerated by the bench and bar. The question is whethera competent lawyer acting in good faith would regard thecourse of action as having some substantial purpose otherthan delay. Realizing financial or other benefit from otherwiseimproper delay in litigation is not a legitimate interest of theclient.


Rule 3.3. Candor toward the Tribunal(a) A lawyer shall not knowingly:(1) Make a false statement of fact or law to a

tribunal or fail to correct a false statement of mate-rial fact or law previously made to the tribunal bythe lawyer;

(2) Fail to disclose to the tribunal legal authorityin the controlling jurisdiction known to the lawyerto be directly adverse to the position of the clientand not disclosed by opposing counsel; or

(3) Offer evidence that the lawyer knows to befalse. If a lawyer, the lawyer’s client, or a witnesscalled by the lawyer, has offered material evi-dence and the lawyer comes to know of its falsity,the lawyer shall take reasonable remedial mea-sures, including, if necessary, disclosure to thetribunal.

(b) A lawyer who represents a client in an adju-dicative proceeding and who knows that a personintends to engage, is engaging or has engagedin criminal or fraudulent conduct related to theproceeding shall take reasonable remedial mea-sures, including, if necessary, disclosure to thetribunal.

(c) The duties stated in subsections (a) and (b)continue at least to the conclusion of the proceed-ing, and apply even if compliance requires disclo-sure of information otherwise protected by Rule1.6.

(d) In an ex parte proceeding, a lawyer shallinform the tribunal of all material facts known tothe lawyer that will enable the tribunal to makean informed decision, whether or not the factsare adverse.

(e) When, prior to judgment, a lawyer becomesaware of discussion or conduct by a juror whichviolates the trial court’s instructions to the jury,the lawyer shall promptly report that discussionor conduct to the trial judge.

(P.B. 1978-1997, Rule 3.3.)COMMENTARY: This Rule governs the conduct of a lawyer

who is representing a client in the proceedings of a tribunal.See Rule 1.0 (n) for the definition of ‘‘tribunal.’’ It also applieswhen the lawyer is representing a client in an ancillary proceed-ing conducted pursuant to the tribunal’s adjudicative authority,such as a deposition. Thus, for example, subsection (a) (3)requires a lawyer to take reasonable remedial measures ifthe lawyer comes to know that a client who is testifying in adeposition has offered evidence that is false.

This Rule sets forth the special duties of lawyers as officersof the court to avoid conduct that undermines the integrity ofthe adjudicative process. A lawyer acting as an advocate inan adjudicative proceeding has an obligation to present theclient’s case with persuasive force. Performance of that dutywhile maintaining confidences of the client, however, is quali-fied by the advocate’s duty of candor to the tribunal. Conse-quently, although a lawyer in an adversary proceeding is notrequired to present an impartial exposition of the law or tovouch for the evidence submitted in a cause, the lawyer must

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not allow the tribunal to be misled by false statements of lawor fact or evidence that the lawyer knows to be false.

Representations by a Lawyer. An advocate is responsiblefor pleadings and other documents prepared for litigation, butis usually not required to have personal knowledge of mattersasserted therein, for litigation documents ordinarily presentassertions by the client, or by someone on the client’s behalf,and not assertions by the lawyer. Compare Rule 3.1. However,an assertion purporting to be on the lawyer’s own knowledge,as in an affidavit by the lawyer or in a statement in opencourt, may properly be made only when the lawyer knows theassertion is true or believes it to be true on the basis of areasonably diligent inquiry. There are circumstances wherefailure to make a disclosure is the equivalent of an affirmativemisrepresentation. The obligation prescribed in Rule 1.2 (d)not to counsel a client to commit or assist the client in commit-ting a fraud applies in litigation. Regarding compliance withRule 1.2 (d), see the Commentary to that Rule. See also theCommentary to Rule 8.4 (2).

Legal Argument. Legal argument based on a knowinglyfalse representation of law constitutes dishonesty toward thetribunal. A lawyer is not required to make a disinterested expo-sition of the law, but must recognize the existence of pertinentlegal authorities. Furthermore, as stated in subsection (a) (2),an advocate has a duty to disclose directly adverse authorityin the controlling jurisdiction that has not been disclosed bythe opposing party. The underlying concept is that legal argu-ment is a discussion seeking to determine the legal premisesproperly applicable to the case.

Offering Evidence. Subsection (a) (3) requires that thelawyer refuse to offer evidence that the lawyer knows to befalse, regardless of the client’s wishes. This duty is premisedon the lawyer’s obligation as an officer of the court to preventthe trier of fact from being misled by false evidence. A lawyerdoes not violate this Rule if the lawyer offers the evidence forthe purpose of establishing its falsity.

If a lawyer knows that the client intends to testify falsely orwants the lawyer to introduce false evidence, the lawyer shouldseek to persuade the client that the evidence should not beoffered. If the persuasion is ineffective and the lawyer contin-ues to represent the client, the lawyer must refuse to offer thefalse evidence. If only a portion of a witness’ testimony willbe false, the lawyer may call the witness to testify but maynot elicit or otherwise permit the witness to present the testi-mony that the lawyer knows is false.

The duties stated in subsections (a) and (b) apply to alllawyers, including defense counsel in criminal cases. In somejurisdictions, however, courts have required counsel to presentthe accused as a witness or to give a narrative statement ifthe accused so desires, even if counsel knows that the testi-mony or statement will be false. The obligation of the advocateunder the Rules of Professional Conduct is subordinate tosuch requirements.

The prohibition against offering false evidence only appliesif the lawyer knows that the evidence is false. A lawyer’sreasonable belief that evidence is false does not preclude itspresentation to the trier of fact. A lawyer’s knowledge thatevidence is false, however, can be inferred from the circum-stances. See Rule 1.0 (g). Thus, although a lawyer shouldresolve doubts about the veracity of testimony or other evi-dence in favor of the client, the lawyer cannot ignore an obvi-ous falsehood.

Because of the special protections historically providedcriminal defendants, however, this Rule does not permit alawyer to refuse to offer the testimony of such a client wherethe lawyer reasonably believes but does not know that thetestimony will be false. Unless the lawyer knows the testimony


will be false, the lawyer must honor the client’s decision totestify.

Remedial Measures. Having offered material evidence inthe belief that it was true, a lawyer may subsequently cometo know that the evidence is false. Or, a lawyer may be sur-prised when the lawyer’s client, or another witness called bythe lawyer, offers testimony the lawyer knows to be false,either during the lawyer’s direct examination or in responseto cross-examination by the opposing lawyer. In such situa-tions or if the lawyer knows of the falsity of testimony elicitedfrom the client during a deposition, the lawyer must take rea-sonable remedial measures. In such situations, the advocate’sproper course is to remonstrate with the client confidentially,advise the client of the lawyer’s duty of candor to the tribunaland seek the client’s cooperation with respect to the withdrawalor correction of the false statements or evidence. If that fails,the advocate must take further remedial action. If withdrawalfrom the representation is not permitted or will not undo theeffect of the false evidence, the advocate must make suchdisclosure to the tribunal as is reasonably necessary to remedythe situation, even if doing so requires the lawyer to revealinformation that otherwise would be protected by Rule 1.6. Itis for the tribunal then to determine what should be done.

The disclosure of a client’s false testimony can result ingrave consequences to the client, including not only a senseof betrayal but also loss of the case and perhaps a prosecutionfor perjury. But the alternative is that the lawyer cooperatein deceiving the court, thereby subverting the truth-findingprocess which the adversary system is designed to implement.See Rule 1.2 (d). Furthermore, unless it is clearly understoodthat the lawyer will act upon the duty to disclose the existenceof false evidence, the client can simply reject the lawyer’sadvice to reveal the false evidence and insist that the lawyerkeep silent. Thus, the client could in effect coerce the lawyerinto being a party to fraud on the court.

Preserving Integrity of Adjudicative Process. Lawyershave a special obligation to protect a tribunal against criminalor fraudulent conduct that undermines the integrity of the adju-dicative process, such as bribing, intimidating or otherwiseunlawfully communicating with a witness, juror, court officialor other participant in the proceeding, unlawfully destroying orconcealing documents or other evidence or failing to discloseinformation to the tribunal when required by law to do so.Thus, subsection (b) requires a lawyer to take reasonableremedial measures, including disclosure if necessary, when-ever the lawyer knows that a person, including the lawyer’sclient, intends to engage, is engaging or has engaged in crimi-nal or fraudulent conduct related to the proceeding. Nothingin Rule 3.3 (e) is meant to limit a lawyer’s obligation to takeappropriate action after judgment has entered.

Duration of Obligation. A practical time limit on the obliga-tion to rectify false evidence or false statements of fact hasto be established. The conclusion of the proceeding is a rea-sonably definite point for the termination of the obligation. Incriminal and juvenile delinquency matters, the duty to correcta newly discovered and material falsehood continues untilthe defendant or delinquent is discharged from custody orreleased from judicial supervision, whichever occurs later. Thelawyer shall notify the tribunal that false evidence or falsestatements of fact were made.

Ex Parte Proceedings. Ordinarily, an advocate has thelimited responsibility of presenting one side of the matters thata tribunal should consider in reaching a decision; the conflictingposition is expected to be presented by the opposing party.However, in any ex parte proceeding, such as an application

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for a temporary restraining order, there is no balance of presen-tation by opposing advocates. The object of an ex parte pro-ceeding is nevertheless to yield a substantially just result. Thejudge has an affirmative responsibility to accord the absentparty just consideration. The lawyer for the represented partyhas the correlative duty to make disclosures of material factsknown to the lawyer and that the lawyer reasonably believesare necessary to an informed decision.

Withdrawal. Normally, a lawyer’s compliance with the dutyof candor imposed by this Rule does not require that the lawyerwithdraw from the representation of a client whose interestswill be or have been adversely affected by the lawyer’s disclo-sure. The lawyer may, however, be required by Rule 1.16 (a)to seek permission of the tribunal to withdraw if the lawyer’scompliance with this Rule’s duty of candor results in such anextreme deterioration of the client-lawyer relationship that thelawyer can no longer competently represent the client. Alsosee Rule 1.16 (b) for the circumstances in which a lawyer willbe permitted to seek a tribunal’s permission to withdraw. Inconnection with a request for permission to withdraw that ispremised on a client’s misconduct, a lawyer may reveal infor-mation relating to the representation only to the extent reason-ably necessary to comply with this Rule or as otherwisepermitted by Rule 1.6.

Rule 3.4. Fairness to Opposing Party andCounselA lawyer shall not:(1) Unlawfully obstruct another party’s access

to evidence or unlawfully alter, destroy or conceala document or other material having potential evi-dentiary value. A lawyer shall not counsel or assistanother person to do any such act;

(2) Falsify evidence, counsel or assist a witnessto testify falsely, or offer an inducement to a wit-ness that is prohibited by law;

(3) Knowingly disobey an obligation under therules of a tribunal except for an open refusal basedon an assertion that no valid obligation exists;

(4) In pretrial procedure, make a frivolous dis-covery request or fail to make reasonably diligenteffort to comply with a legally proper discoveryrequest by an opposing party;

(5) In trial, allude to any matter that the lawyerdoes not reasonably believe is relevant or that willnot be supported by admissible evidence, assertpersonal knowledge of facts in issue except whentestifying as a witness, or state a personal opinionas to the justness of a cause, the credibility of awitness, the culpability of a civil litigant or the guiltor innocence of an accused; or

(6) Request a person other than a client torefrain from voluntarily giving relevant informationto another party unless:

(A) The person is a relative or an employee orother agent of a client; and

(B) The lawyer reasonably believes that the per-son’s interests will not be adversely affected byrefraining from giving such information.


(7) Present, participate in presenting, orthreaten to present criminal charges solely toobtain an advantage in a civil matter.

(P.B. 1978-1997, Rule 3.4.)COMMENTARY: The procedure of the adversary system

contemplates that the evidence in a case is to be marshaledcompetitively by the contending parties. Fair competition inthe adversary system is secured by prohibitions againstdestruction or concealment of evidence, improperly influencingwitnesses, obstructive tactics in discovery procedure, andthe like.

Documents and other items of evidence are often essentialto establish a claim or defense. Subject to evidentiary privi-leges, the right of an opposing party, including the government,to obtain evidence through discovery or subpoena is animportant procedural right. The exercise of that right can befrustrated if relevant material is altered, concealed ordestroyed. Applicable law in many jurisdictions makes it anoffense to destroy material for the purpose of impairing itsavailability in a pending proceeding or one whose commence-ment can be foreseen. Falsifying evidence is also generally acriminal offense. Subdivision (1) applies to evidentiary materialgenerally, including computerized information. Applicable lawmay permit a lawyer to take temporary possession of physicalevidence of client crimes for the purpose of conducting alimited examination that will not alter or destroy material char-acteristics of the evidence. In such a case, applicable law mayrequire the lawyer to turn the evidence over to the police orother prosecuting authority, depending on the circumstances.

With regard to subdivision (2), it is not improper to pay awitness’ expenses or to compensate an expert witness onterms permitted by law. The common law rule in most jurisdic-tions is that it is improper to pay an occurrence witness anyfee for testifying and that it is improper to pay an expert witnessa contingent fee.

Subdivision (6) permits a lawyer to advise employees of aclient to refrain from giving information to another party, forthe employees may identify their interests with those of theclient. See also Rule 4.2.

Rule 3.5. Impartiality and Decorum(Amended June 26, 2006, to take effect Jan. 1, 2007.)A lawyer shall not:(1) Seek to influence a judge, juror, prospective

juror or other official by means prohibited by law;(2) Communicate ex parte with such a person

during the proceeding unless authorized to do soby law or court order;

(3) Communicate with a juror or prospectivejuror after discharge of the jury if:

(a) the communication is prohibited by law orcourt order;

(b) the juror has made known to the lawyer adesire not to communicate; or

(c) the communication involves misrepresenta-tion, coercion, duress or harassment; or

(4) Engage in conduct intended to disrupt atribunal or ancillary proceedings such as deposi-tions and mediations.


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COMMENTARY: Many forms of improper influence upona tribunal are proscribed by criminal law. Others are specifiedin the ABA Model Code of Judicial Conduct, with which anadvocate should be familiar. A lawyer is required to avoidcontributing to a violation of such provisions.

During a proceeding a lawyer may not communicate exparte with persons serving in an official capacity in the proceed-ing, such as judges, masters or jurors, unless authorized todo so by law or court order.

A lawyer may on occasion want to communicate with ajuror or prospective juror after the jury has been discharged.The lawyer may do so unless the communication is prohibitedby law or a court order but must respect the desire of the jurornot to talk with the lawyer. The lawyer may not engage inimproper conduct during the communication.

The advocate’s function is to present evidence and argu-ment so that the cause may be decided according to law.Refraining from abusive or obstreperous conduct is a corollaryof the advocate’s right to speak on behalf of litigants. A lawyermay stand firm against abuse by a judge but should avoidreciprocation; the judge’s default is no justification for similardereliction by an advocate. An advocate can present thecause, protect the record for subsequent review and preserveprofessional integrity by patient firmness no less effectivelythan by belligerence or theatrics.

Rule 3.6. Trial Publicity(a) A lawyer who is participating or has partici-

pated in the investigation or litigation of a mattershall not make an extrajudicial statement that thelawyer knows or reasonably should know will bedisseminated by means of public communicationand will have a substantial likelihood of materiallyprejudicing an adjudicative proceeding in thematter.

(b) Notwithstanding subsection (a), a lawyermay make a statement that a reasonable lawyerwould believe is required to protect a client fromthe substantial undue prejudicial effect of recentpublicity not initiated by the lawyer or the lawyer’sclient. A statement made pursuant to this subsec-tion shall be limited to such information as is nec-essary to mitigate the recent adverse publicity.

(c) No lawyer associated in a firm or govern-ment agency with a lawyer subject to subsection(a) shall make a statement prohibited by subsec-tion (a).


COMMENTARY: (1) It is difficult to strike a balance betweenprotecting the right to a fair trial and safeguarding the right offree expression. Preserving the right to a fair trial necessarilyentails some curtailment of the information that may be dis-seminated about a party prior to trial, particularly where trialby jury is involved. If there were no such limits, the resultwould be the practical nullification of the protective effect ofthe rules of forensic decorum and the exclusionary rules ofevidence. On the other hand, there are vital social interestsserved by the free dissemination of information about eventshaving legal consequences and about legal proceedings them-selves. The public has a right to know about threats to itssafety and measures aimed at assuring its security. It also


has a legitimate interest in the conduct of judicial proceedings,particularly in matters of general public concern. Furthermore,the subject matter of legal proceedings is often of direct signifi-cance in debate and deliberations over questions of publicpolicy.

(2) Special rules of confidentiality may validly govern pro-ceedings in juvenile, domestic relations and mental disabilityproceedings, and perhaps other types of litigation. Rule 3.4(3) requires compliance with such Rules.

(3) The Rule sets forth a basic general prohibition againsta lawyer making statements that the lawyer knows or shouldknow will have a substantial likelihood of materially prejudicingan adjudicative proceeding. Recognizing that the public valueof informed commentary is great and the likelihood of prejudiceto a proceeding by the commentary of a lawyer who is notinvolved in the proceeding is small, the Rule applies only tolawyers who are, or who have been involved in the investiga-tion or litigation of a case, and their associates.

(4) Certain subjects would not ordinarily be considered topresent a substantial likelihood of material prejudice, such as:

(a) the claim, offense or defense involved and, except whenprohibited by law, the identity of the persons involved;

(b) information contained in a public record;(c) that an investigation of the matter is in progress;(d) the scheduling or result of any step in litigation;(e) a request for assistance in obtaining evidence and infor-

mation necessary thereto;(f) a warning of danger concerning the behavior of a person

involved, when there is reason to believe that there exists thelikelihood of substantial harm to an individual or to the publicinterest; and

(g) in a criminal case: in addition to subparagraphs (a)through (f):

(i) identity, residence, occupation and family status of theaccused;

(ii) if the accused has not been apprehended, informationnecessary to aid in apprehension of that person;

(iii) the fact, time and place of arrest; and(iv) the identity of investigating and arresting officers or

agencies and the length of the investigation.(5) There are, on the other hand, certain subjects which

are more likely than not to have a material prejudicial effecton a proceeding, particularly when they refer to a civil mattertriable to a jury, a criminal matter, or any other proceedingthat could result in incarceration. These subjects relate to:

(a) the character, credibility, reputation or criminal recordof a party, suspect in a criminal investigation or witness, orthe identity of a witness, or the expected testimony of a partyor witness;

(b) in a criminal case or proceeding that could result inincarceration, the possibility of a plea of guilty to the offenseor the existence or contents of any confession, admission, orstatement given by a defendant or suspect or that person’srefusal or failure to make a statement;

(c) the performance or results of any examination or testor the refusal or failure of a person to submit to an examinationor test, or the identity or nature of physical evidence expectedto be presented;

(d) any opinion as to the guilt or innocence of a defendantor suspect in a criminal case or proceeding that could resultin incarceration;

(e) information that the lawyer knows or reasonably shouldknow is likely to be inadmissible as evidence in a trial andthat would, if disclosed, create a substantial risk of prejudicingan impartial trial; or

(f) the fact that a defendant has been charged with a crime,unless there is included therein a statement explaining that

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the charge is merely an accusation and that the defendant ispresumed innocent until and unless proven guilty.

(6) Another relevant factor in determining prejudice is thenature of the proceeding involved. Criminal jury trials will bemost sensitive to extrajudicial speech. Civil trials may be lesssensitive. Nonjury hearings and arbitration proceedings maybe even less affected. The Rule will still place limitations onprejudical comments in these cases, but the likelihood of preju-dice may be different depending on the type of proceeding.

(7) Finally, extrajudicial statements that might otherwiseraise a question under this Rule may be permissible whenthey are made in response to statements made publicly byanother party, another party’s lawyer, or third persons, wherea reasonable lawyer would believe a public response isrequired in order to avoid prejudice to the lawyer’s client. Whenprejudicial statements have been publicly made by others,responsive statements may have the salutary effect of less-ening any resulting adverse impact on the adjudicative pro-ceeding. Such responsive statements should be limited tocontain only such information as is necessary to mitigateundue prejudice created by the statements made by others.

(8) See Rule 3.8 (5) for additional duties of prosecutors inconnection with extrajudicial statements about criminal pro-ceedings.

Rule 3.7. Lawyer as Witness(a) A lawyer shall not act as advocate at a trial

in which the lawyer is likely to be a necessarywitness unless:

(1) The testimony relates to an uncontestedissue;

(2) The testimony relates to the nature andvalue of legal services rendered in the case; or

(3) Disqualification of the lawyer would worksubstantial hardship on the client.

(b) A lawyer may act as advocate in a trial inwhich another lawyer in the lawyer’s firm is likelyto be called as a witness unless precluded fromdoing so by Rule 1.7 or Rule 1.9.


COMMENTARY: Combining the roles of advocate and wit-ness can prejudice the tribunal and the opposing party and canalso involve a conflict of interest between the lawyer and client.

Advocate-Witness Rule. The tribunal has proper objectionwhen the trier of fact may be confused or misled by a lawyerserving as both advocate and witness. The opposing party hasproper objection where the combination of roles may prejudicethat party’s rights in the litigation. A witness is required totestify on the basis of personal knowledge, while an advocateis expected to explain and comment on evidence given byothers. It may not be clear whether a statement by an advo-cate-witness should be taken as proof or as an analysis ofthe proof.

To protect the tribunal, subsection (a) prohibits a lawyerfrom simultaneously serving as advocate and necessary wit-ness except in those circumstances specified in subsections(a) (1) through (a) (3). Subsection (a) (1) recognizes that ifthe testimony will be uncontested, the ambiguities in the dualrole are purely theoretical. Subsection (a) (2) recognizes thatwhere the testimony concerns the extent and value of legalservices rendered in the action in which the testimony isoffered, permitting the lawyers to testify avoids the need fora second trial with new counsel to resolve that issue. Moreover,


in such a situation the judge has firsthand knowledge of thematter in issue; hence, there is less dependence on the adver-sary process to test the credibility of the testimony.

Apart from these two exceptions, subsection (a) (3) recog-nizes that a balancing is required between the interests of theclient and those of the tribunal and the opposing party. Whetherthe tribunal is likely to be misled or the opposing party is likelyto suffer prejudice depends on the nature of the case, theimportance and probable tenor of the lawyer’s testimony, andthe probability that the lawyer’s testimony will conflict with thatof other witnesses. Even if there is risk of such prejudice, indetermining whether the lawyer should be disqualified, dueregard must be given to the effect of disqualification on thelawyer’s client. It is relevant that one or both parties couldreasonably foresee that the lawyer would probably be a wit-ness. The conflict of interest principles stated in Rules 1.7,1.9 and 1.10 have no application to this aspect of the problem.

Because the tribunal is not likely to be misled when a lawyeracts as advocate in a trial in which another lawyer in thelawyer’s firm will testify as a necessary witness, subsection(b) permits the lawyer to do so except in situations involvinga conflict of interest.

Conflict of Interest. In determining if it is permissible toact as advocate in a trial in which the lawyer will be a necessarywitness, the lawyer must also consider that the dual role maygive rise to a conflict of interest that will require compliancewith Rules 1.7 or 1.9. For example, if there is likely to besubstantial conflict between the testimony of the client andthat of the lawyer, the representation involves a conflict ofinterest that requires compliance with Rule 1.7. This wouldbe true even though the lawyer might not be prohibited bysubsection (a) from simultaneously serving as advocate andwitness because the lawyer’s disqualification would work asubstantial hardship on the client. Similarly, a lawyer whomight be permitted to simultaneously serve as an advocateand a witness by subsection (a) (3) might be precluded fromdoing so by Rule 1.9. The problem can arise whether thelawyer is called as a witness on behalf of the client or is calledby the opposing party. Determining whether or not such aconflict exists is primarily the responsibility of the lawyerinvolved. If there is a conflict of interest, the lawyer must securethe client’s informed consent, confirmed in writing. In somecases, the lawyer will be precluded from seeking the client’sconsent. See Rule 1.7. See Rule 1.0 (c) for the definition of‘‘confirmed in writing’’ and Rule 1.0 (f) for the definition of‘‘informed consent.’’

Subsection (b) provides that a lawyer is not disqualifiedfrom serving as an advocate because a lawyer with whom thelawyer is associated in a firm is precluded from doing so bysubsection (a). If, however, the testifying lawyer would alsobe disqualified by Rule 1.7 or Rule 1.9 from representing theclient in the matter, other lawyers in the firm will be precludedfrom representing the client by Rule 1.10 unless the clientgives informed consent under the conditions stated in Rule 1.7.

Rule 3.8. Special Responsibilities of a Pros-ecutorThe prosecutor in a criminal case shall:(1) Refrain from prosecuting a charge that the

prosecutor knows is not supported by probablecause;

(2) Make reasonable efforts to assure that theaccused has been advised of the right to, and theprocedure for obtaining, counsel and has beengiven reasonable opportunity to obtain counsel;

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(3) Not seek to obtain from an unrepresentedaccused a waiver of important pretrial rights, suchas the right to a preliminary hearing;

(4) Make timely disclosure to the defense of allevidence or information known to the prosecutorthat tends to negate the guilt of the accused ormitigates the offense, and, in connection with sen-tencing, disclose to the defense and to the tribunalall unprivileged mitigating information known tothe prosecutor, except when the prosecutor isrelieved of this responsibility by a protective orderof the tribunal; and

(5) Exercise reasonable care to prevent investi-gators, law enforcement personnel, employeesor other persons assisting or associated with theprosecutor in a criminal case from making anextrajudicial statement that the prosecutor wouldbe prohibited from making under Rule 3.6.

(6) When a prosecutor knows of new and credi-ble evidence creating a reasonable probabilitythat a convicted defendant did not commit anoffense of which the defendant was convicted, theprosecutor shall, unless a court authorizes delay:

(A) if the conviction was obtained outside theprosecutor’s jurisdiction, promptly disclose thatevidence to a court and an appropriate author-ity, and

(B) if the conviction was obtained in the prose-cutor’s jurisdiction, promptly disclose that evi-dence to the defendant, and a court and anappropriate authority.


COMMENTARY: A prosecutor has the responsibility of aminister of justice and not simply that of an advocate. Thisresponsibility carries with it specific obligations to see thatthe defendant is accorded procedural justice and that guilt isdecided upon the basis of sufficient evidence. Precisely howfar the prosecutor is required to go in this direction is a matter ofdebate and varies in different jurisdictions. Many jurisdictionshave adopted the ABA Standards of Criminal Justice Relatingto the Prosecution Function, which in turn are the product ofprolonged and careful deliberation by lawyers experienced inboth criminal prosecution and defense. See also Rule 3.3(d), governing ex parte proceedings, among which grand juryproceedings are included. Applicable law may require othermeasures by the prosecutor and knowing disregard of thoseobligations or a systematic abuse of prosecutorial discretioncould constitute a violation of Rule 8.4.

Subdivision (3) does not apply to an accused appearing asa self-represented party with the approval of the tribunal. Nordoes it forbid the lawful questioning of a suspect who hasknowingly waived the rights to counsel and silence.

The exception in subdivision (4) recognizes that a prosecu-tor may seek an appropriate protective order from the tribunalif disclosure of information to the defense could result in sub-stantial harm to an individual or to the public interest.

When a prosecutor knows of new and credible evidencecreating a reasonable probability that a person outside theprosecutor’s jurisdiction was convicted of a crime that the


person did not commit, subdivision (6) requires prompt disclo-sure to a court and other appropriate authority, such as theOffice of the Chief Public Defender, the office of the FederalDefender or the chief prosecutor of the jurisdiction where theconviction occurred. When disclosure is made to the chiefprosecutor of the jurisdiction, that prosecutor must then inde-pendently evaluate his or her own ethical obligations underthis Rule with respect to the evidence. If the conviction wasobtained in the prosecutor’s jurisdiction, subdivision (6)requires the prosecutor to promptly disclose the evidence tothe defendant and a court and other appropriate authority,such as the Office of the Chief Public Defender or the officeof the Federal Defender. Disclosure to a court shall be bywritten notice to the presiding judge of the jurisdiction in whichthe conviction was obtained, or, where the conviction was infederal court, to the chief United States District Court Judge.Consistent with the objectives of Rules 4.2 and 4.3, disclosureto a represented defendant must be made through the defend-ant’s counsel. If a defendant is not represented, or if the prose-cutor cannot determine if a defendant is represented,disclosure to the Office of the Chief Public Defender or theOffice of the Federal Defender shall satisfy the requirementof notice to the defendant. The prosecutor may seek to delaydisclosure by means of a protective order or other appropriatemeasure to protect the safety of a witness, to secure theintegrity of an ongoing investigation, or other similar purpose.Knowledge denotes the actual knowledge of the prosecutorwho is determining the scope of his or her own ethical dutyto act. A ‘‘reasonable probability that the defendant did notcommit an offense of which the defendant was convicted’’ is‘‘a probability sufficient to undermine confidence in the out-come,’’ as articulated in Brady v. Maryland, 373 U.S. 83, 87,83 S. Ct. 1194, 10 L. Ed. 2d 215 (1963), and Strickland v.Washington, 466 U.S. 668, 694, 105 S. Ct. 2052, 80 L. Ed.2d 674 (1984). The decision by a prosecutor to disclose infor-mation to a defendant or an appropriate authority shall not bedeemed a concession that, and shall not ethically foreclose theprosecutor from contesting before a factfinder or an appellatetribunal that, the evidence is new or credible or that it createsa reasonable probability that the defendant did not committhe offense.

A prosecutor’s independent judgment, made in good faith,that the new evidence is not of such nature as to trigger theobligations of subdivision (6), though subsequently determinedto have been erroneous, does not constitute a violation ofthis Rule.

Rule 3.9. Advocate in Nonadjudicative Pro-ceedingsA lawyer representing a client before a legisla-

tive body or administrative agency in a nonadjudi-cative proceeding shall disclose that theappearance is in a representative capacity andshall conform to the provisions of Rules 3.3 (a)through (c), 3.4 (1) through (3), and 3.5.


COMMENTARY: In representation before bodies such aslegislatures, municipal councils, and executive and administra-tive agencies acting in a rule-making or policy-making capac-ity, lawyers present facts, formulate issues and advanceargument in the matters under consideration. The decision-making body, like a court, should be able to rely on the integrityof the submissions made to it. A lawyer appearing beforesuch a body must deal with it honestly and in conformity with

46


applicable rules of procedure. See Rules 3.3 (a) through (c),3.4 (a) through (c) and 3.5.

Lawyers have no exclusive right to appear before nonadju-dicative bodies, as they do before a court. The requirementsof this Rule therefore may subject lawyers to regulations inap-plicable to advocates who are not lawyers. However, legisla-tures and administrative agencies have a right to expectlawyers to deal with them as they deal with courts.

This Rule only applies when a lawyer represents a clientin connection with an official hearing or meeting of a govern-mental agency or a legislative body to which the lawyer or thelawyer’s client is presenting evidence or argument. It does notapply to representation of a client in a negotiation or otherbilateral transaction with a governmental agency or in connec-tion with an application for a license or other privilege or theclient’s compliance with generally applicable reporting require-ments, such as the filing of income tax returns. Nor does itapply to the representation of a client in connection with aninvestigation or examination of the client’s affairs conductedby government investigators or examiners. Representation insuch matters is governed by Rules 4.1 through 4.4.

TRANSACTIONS WITH PERSONSOTHER THAN CLIENTS

Rule 4.1. Truthfulness in Statements toOthersIn the course of representing a client a lawyer

shall not knowingly:(1) Make a false statement of material fact or

law to a third person; or(2) Fail to disclose a material fact when disclo-

sure is necessary to avoid assisting a criminal orfraudulent act by a client, unless disclosure isprohibited by Rule 1.6.


COMMENTARY: Misrepresentation. A lawyer is requiredto be truthful when dealing with others on a client’s behalf,but generally has no affirmative duty to inform an opposingparty of relevant facts. A misrepresentation can occur if thelawyer incorporates or affirms a statement of another personthat the lawyer knows is false. Misrepresentations can alsooccur by partially true but misleading statements or omissionsthat are the equivalent of affirmative false statements. Fordishonest conduct that does not amount to a false statementor for misrepresentations by a lawyer other than in the courseof representing a client, see Rule 8.4.

Statements of Fact. This Rule refers to statements of fact.Whether a particular statement should be regarded as oneof fact can depend on the circumstances. Under generallyaccepted conventions in negotiation, certain types of state-ments ordinarily are not taken as statements of material fact.Estimates of price or value placed on the subject of a transac-tion and a party’s intentions as to an acceptable settlementof a claim are ordinarily in this category, and so is the existenceof an undisclosed principal except where nondisclosure of theprincipal would constitute fraud. Lawyers should be mindfulof their obligations under applicable law to avoid criminal andtortious misrepresentation.

Crime or Fraud by Client. Under Rule 1.2 (d), a lawyeris prohibited from counseling or assisting a client in conductthat the lawyer knows is criminal or fraudulent. Subdivision(2) states a specific application of the principle set forth inRule 1.2 (d) and addresses the situation where a client’s crime


or fraud takes the form of a lie or misrepresentation. Ordinarily,a lawyer can avoid assisting a client’s crime or fraud by with-drawing from the representation. Sometimes it may be neces-sary for the lawyer to give notice of the fact of withdrawal andto disaffirm an opinion, document, affirmation or the like. Inextreme cases, substantive law may require a lawyer to dis-close information relating to the representation to avoid beingdeemed to have assisted the client’s crime or fraud. If thelawyer can avoid assisting a client’s crime or fraud only bydisclosing this information, then under subdivision (2) the law-yer is required to do so, unless the disclosure is prohibited byRule 1.6.

Rule 4.2. Communication with Person Rep-resented by CounselIn representing a client, a lawyer shall not com-

municate about the subject of the representationwith a party the lawyer knows to be representedby another lawyer in the matter, unless the lawyerhas the consent of the other lawyer or is author-ized by law to do so. An otherwise unrepresentedparty for whom a limited appearance has beenfiled pursuant to Practice Book Section 3-8 (b) isconsidered to be unrepresented for purposes ofthis Rule as to anything other than the subjectmatter of the limited appearance. When a limitedappearance has been filed for the party, andserved on the other lawyer, or the other lawyer isotherwise notified that a limited appearance hasbeen filed or will be filed, that lawyer may directlycommunicate with the party only about mattersoutside the scope of the limited appearance with-out consulting with the party’s limited appear-ance lawyer.

(P.B. 1978-1997, Rule 4.2.) (Amended June 14, 2013, totake effect Oct. 1, 2013.)

COMMENTARY: This Rule does not prohibit communica-tion with a party, or an employee or agent of a party, concerningmatters outside the representation. For example, the existenceof a controversy between a government agency and a privateparty, or between two organizations, does not prohibit a lawyerfor either from communicating with nonlawyer representativesof the other regarding a separate matter. Also, parties to amatter may communicate directly with each other and a lawyerhaving independent justification for communicating with theother party is permitted to do so. Communications authorizedby law include, for example, the right of a party to a controversywith a government agency to speak with government officialsabout the matter.

In the case of an organization, this Rule prohibits communi-cations by a lawyer for one party concerning the matter inrepresentation with persons having a managerial responsibilityon behalf of the organization, and with any other person whoseact or omission in connection with that matter may be imputedto the organization for purposes of civil or criminal liability orwhose statement may constitute an admission on the part ofthe organization. If an agent or employee of the organizationis represented in the matter by his or her own counsel, theconsent by that counsel to a communication will be sufficientfor purposes of this Rule. (Compare Rule 3.4).

This Rule also covers any person, whether or not a partyto a formal proceeding, who is represented by counsel con-cerning the matter in question.

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Rule 4.3. Dealing with UnrepresentedPersonIn dealing on behalf of a client with a person

who is not represented by counsel, in whole or inpart, a lawyer shall not state or imply that thelawyer is disinterested. When the lawyer knowsor reasonably should know that the unrepresentedperson misunderstands the lawyer’s role in thematter, the lawyer shall make reasonable effortsto correct the misunderstanding. The lawyer shallnot give legal advice to an unrepresented person,other than the advice to secure counsel, if thelawyer knows or reasonably should know that theinterests of such a person are or have a reason-able possibility of being in conflict with the inter-ests of the client.

(P.B. 1978-1997, Rule 4.3.) (Amended June 26, 2006, totake effect Jan. 1, 2007; amended June 14, 2013, to takeeffect Oct. 1, 2013.)

COMMENTARY: An unrepresented person, particularlyone not experienced in dealing with legal matters, mightassume that a lawyer is disinterested in loyalties or is a disinter-ested authority on the law even when the lawyer representsa client. In order to avoid a misunderstanding, a lawyer willtypically need to identify the lawyer’s client and, where neces-sary, explain that the client has interests opposed to those ofthe unrepresented person. For misunderstandings that some-times arise when a lawyer for an organization deals with anunrepresented constituent, see Rule 1.13 (d).

The Rule distinguishes between situations involving unrep-resented persons whose interests may be adverse to thoseof the lawyer’s client and those in which the person’s interestsare not in conflict with the client’s. In the former situation, thepossibility that the lawyer will compromise the unrepresentedperson’s interests is so great that the Rule prohibits the givingof any advice, apart from the advice to obtain counsel. Whethera lawyer is giving impermissible advice may depend on theexperience and sophistication of the unrepresented person,as well as the setting in which the behavior and commentsoccur. This Rule does not prohibit a lawyer from negotiatingthe terms of a transaction or settling a dispute with an unrepre-sented person. So long as the lawyer has explained that thelawyer represents an adverse party and is not representingthe person, the lawyer may inform the person of the terms onwhich the lawyer’s client will enter into an agreement or settle amatter, prepare documents that require the person’s signatureand explain the lawyer’s own view of the meaning of the docu-ment or the lawyer’s view of the underlying legal obligations.

See Rule 3.8 for particular duties of prosecutors in dealingwith unrepresented persons.

Rule 4.4. Respect for Rights of ThirdPersons(a) In representing a client, a lawyer shall not

use means that have no substantial purpose otherthan to embarrass, delay, or burden a third per-son, or use methods of obtaining evidence thatviolate the legal rights of such a person.

(b) A lawyer who receives a document or elec-tronically stored information relating to the repre-sentation of the lawyer’s client and knows orreasonably should know that the document or


electronically stored information was inadver-tently sent shall promptly notify the sender.


COMMENTARY: Responsibility to a client requires a lawyerto subordinate the interests of others to those of the client,but that responsibility does not imply that a lawyer may disre-gard the rights of third persons. It is impractical to catalogueall such rights, but they include legal restrictions on methodsof obtaining evidence from third persons and unwarrantedintrusions into privileged relationships, such as the client-law-yer relationship.

Subsection (b) recognizes that lawyers sometimes receivea document or electronically stored information that was mis-takenly sent or produced by opposing parties or their lawyers.A document or electronically stored information is inadvertentlysent when it is accidentally transmitted, such as when ane-mail or letter is misaddressed or a document or electronicallystored information is accidentally included with information thatwas intentionally transmitted. If a lawyer knows or reasonablyshould know that such a document or electronically storedinformation was sent inadvertently, then this Rule requires thelawyer to promptly notify the sender in order to permit thatperson to take protective measures. Whether the lawyer isrequired to take additional steps, such as returning the docu-ment or electronically stored information, is a matter of lawbeyond the scope of these Rules, as is the question of whetherthe privilege status of a document or electronically storedinformation has been waived. Similarly, this Rule does notaddress the legal duties of a lawyer who receives a documentor electronically stored information that the lawyer knows orreasonably should know may have been inappropriatelyobtained by the sending person. For purposes of this Rule,‘‘document or electronically stored information’’ includes, inaddition to paper documents, e-mail and other forms of elec-tronically stored information, including embedded data (com-monly referred to as ‘‘metadata’’), that is subject to being reador put into readable form. Metadata in electronic documentscreates an obligation under this Rule only if the receivinglawyer knows or reasonably should know that the metadatawas inadvertently sent to the receiving lawyer.

Some lawyers may choose to return a document or deleteelectronically stored information unread, for example, whenthe lawyer learns before receiving it that it was inadvertentlysent. Where a lawyer is not required by applicable law to doso, the decision to voluntarily return such a document or deleteelectronically stored information is a matter of professionaljudgment ordinarily reserved to the lawyer. See Rules 1.2and 1.4.

LAW FIRMS AND ASSOCIATIONS

Rule 5.1. Responsibilities of Partners, Man-agers, and Supervisory Lawyers(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) A partner in a law firm, and a lawyer who

individually or together with other lawyers pos-sesses comparable managerial authority in a lawfirm, shall make reasonable efforts to ensure thatthe firm has in effect measures giving reasonableassurance that all lawyers in the firm conform tothe Rules of Professional Conduct.

(b) A lawyer having direct supervisory authorityover another lawyer shall make reasonable efforts

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to ensure that the other lawyer conforms to theRules of Professional Conduct.

(c) A lawyer shall be responsible for anotherlawyer’s violation of the Rules of ProfessionalConduct if:

(1) The lawyer orders or, with knowledge of thespecific conduct, ratifies the conduct involved; or

(2) The lawyer is a partner or has comparablemanagerial authority in the law firm in which theother lawyer practices, or has direct supervisoryauthority over the other lawyer, and knows of theconduct at a time when its consequences can beavoided or mitigated but fails to take reasonableremedial action.


COMMENTARY: Subsection (a) applies to lawyers whohave managerial authority over the professional work of a firm.See Rule 1.0 (d). This includes members of a partnership,the shareholders in a law firm organized as a professionalcorporation, and members of other associations authorized topractice law; lawyers having comparable managerial authorityin a legal services organization or a law department of anenterprise or government agency; and lawyers who have inter-mediate managerial responsibilities in a firm. Subsection (b)applies to lawyers who have supervisory authority over thework of other lawyers in a firm.

Subsection (a) requires lawyers with managerial authoritywithin a firm to make reasonable efforts to establish internalpolicies and procedures designed to provide reasonableassurance that all lawyers in the firm will conform to the Rulesof Professional Conduct. Such policies and procedures includethose designed to detect and resolve conflicts of interest, iden-tify dates by which actions must be taken in pending matters,account for client funds and property and ensure that inexperi-enced lawyers are properly supervised.

Other measures that may be required to fulfill the responsi-bility prescribed in subsection (a) can depend on the firm’sstructure and the nature of its practice. In a small firm ofexperienced lawyers, informal supervision and periodic reviewof compliance with the required systems ordinarily will suffice.In a large firm, or in practice situations in which difficult ethicalproblems frequently arise, more elaborate measures may benecessary. Some firms, for example, have a procedurewhereby junior lawyers can make confidential referral of ethicalproblems directly to a designated senior partner or specialcommittee. See Rule 5.2. Firms, whether large or small, mayalso rely on continuing legal education in professional ethics.In any event, the ethical atmosphere of a firm can influencethe conduct of all its members and the partners may notassume that all lawyers associated with the firm will inevitablyconform to the Rules.

Subsection (c) expresses a general principle of personalresponsibility for acts of another. See also Rule 8.4 (1).

Subsection (c) (2) defines the duty of a partner or otherlawyer having comparable managerial authority in a law firm,as well as a lawyer who has direct supervisory authority overperformance of specific legal work by another lawyer. Whethera lawyer has supervisory authority in particular circumstancesis a question of fact. Partners and lawyers with comparableauthority have at least indirect responsibility for all work beingdone by the firm, while a partner or manager in charge of aparticular matter ordinarily also has supervisory responsibilityfor the work of other firm lawyers engaged in the matter.


Appropriate remedial action by a partner or managing lawyerwould depend on the immediacy of that lawyer’s involvementand the seriousness of the misconduct. A supervisor isrequired to intervene to prevent avoidable consequences ofmisconduct if the supervisor knows that the misconductoccurred. Thus, if a supervising lawyer knows that a subordi-nate misrepresented a matter to an opposing party in negotia-tion, the supervisor as well as the subordinate has a duty tocorrect the resulting misapprehension.

Professional misconduct by a lawyer under supervisioncould reveal a violation of subsection (b) on the part of thesupervisory lawyer even though it does not entail a violationof subsection (c) because there was no direction, ratificationor knowledge of the violation.

Apart from this Rule and Rule 8.4 (1), a lawyer does nothave disciplinary liability for the conduct of a partner, associateor subordinate. Whether a lawyer may be liable civilly or crimi-nally for another lawyer’s conduct is a question of law beyondthe scope of these Rules.

The duties imposed by this Rule on managing and supervis-ing lawyers do not alter the personal duty of each lawyer ina firm to abide by the Rules of Professional Conduct. SeeRule 5.2 (a).

Rule 5.2. Responsibilities of a SubordinateLawyerA lawyer is bound by the Rules of Professional

Conduct notwithstanding that that lawyer acted atthe direction of another person.


COMMENTARY: Although a lawyer is not relieved ofresponsibility for a violation by the fact that the lawyer actedat the direction of a supervisor, that fact may be relevant indetermining whether a lawyer had the knowledge required torender conduct a violation of the Rules. For example, if asubordinate filed a frivolous pleading at the direction of asupervisor, the subordinate would not be guilty of a profes-sional violation unless the subordinate knew of the document’sfrivolous character.

When lawyers in a supervisor-subordinate relationshipencounter a matter involving professional judgment as to ethi-cal duty, the supervisor may assume responsibility for makingthe judgment. Otherwise a consistent course of action or posi-tion could not be taken. If the question can reasonably beanswered only one way, the duty of both lawyers is clear andthey are equally responsible for fulfilling it. However, if thequestion is reasonably arguable, someone has to decide uponthe course of action. That authority ordinarily reposes in thesupervisor, and a subordinate may be guided accordingly. Forexample, if a question arises whether the interests of twoclients conflict under Rule 1.7, the supervisor’s reasonableresolution of the question should protect the subordinate pro-fessionally if the resolution is subsequently challenged.

Rule 5.3. Responsibilities regarding Non-lawyer Assistance(Amended June 13, 2014, to take effect Jan. 1, 2015.)With respect to a nonlawyer employed or

retained by or associated with a lawyer:(1) A partner, and a lawyer who individually or

together with other lawyers possesses compara-ble managerial authority in a law firm shall makereasonable efforts to ensure that the firm has in

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effect measures giving reasonable assurance thatthe person’s conduct is compatible with the pro-fessional obligations of the lawyer;

(2) A lawyer having direct supervisory authorityover the nonlawyer shall make reasonable effortsto ensure that the person’s conduct is compatiblewith the professional obligations of the lawyer; and

(3) A lawyer shall be responsible for conductof such a person that would be a violation of theRules of Professional Conduct if engaged in by alawyer if:

(A) The lawyer orders or, with the knowledgeof the specific conduct, ratifies the conductinvolved; or

(B) The lawyer is a partner or has comparablemanagerial authority in the law firm in which theperson is employed, or has direct supervisoryauthority over the person, and knows of the con-duct at a time when its consequences can beavoided or mitigated but fails to take reasonableremedial action.


COMMENTARY: Lawyers generally employ assistants intheir practice, including secretaries, investigators, law studentinterns, and paraprofessionals. Such assistants, whetheremployees or independent contractors, act for the lawyer inrendition of the lawyer’s professional services. A lawyer mustgive such assistants appropriate instruction and supervisionconcerning the ethical aspects of their employment, particu-larly regarding the obligation not to disclose information relat-ing to representation of the client, and should be responsiblefor their work product. The measures employed in supervisingnonlawyers should take account of the fact that they do nothave legal training and are not subject to professional dis-cipline.

Subdivision (1) requires lawyers with managerial authoritywithin a law firm to make reasonable efforts to ensure thatthe firm has in effect measures giving reasonable assurancethat nonlawyers in the firm and nonlawyers outside the firmwho work on firm matters act in a way compatible with theprofessional obligations of the lawyer. See Commentary toRule 1.1 and first paragraph of Commentary to Rule 5.1. Subdi-vision (2) applies to lawyers who have supervisory authorityover such nonlawyers within or outside the firm. Subdivision(3) specifies the circumstances in which a lawyer is responsiblefor the conduct of such nonlawyers within or outside the firmthat would be a violation of the Rules of Professional Conductif engaged in by a lawyer.

Nonlawyers Outside the Firm. A lawyer may use nonlaw-yers outside the firm to assist the lawyer in rendering legalservices to the client. Examples include the retention of aninvestigative or paraprofessional service, hiring a documentmanagement company to create and maintain a database forcomplex litigation, sending client documents to a third partyfor printing or scanning, and using an Internet-based serviceto store client information. When using such services outsidethe firm, a lawyer must make reasonable efforts to ensure thatthe services are provided in a manner that is compatible withthe lawyer’s professional obligations. The extent of this obliga-tion will depend upon the circumstances, including the educa-tion, experience and reputation of the nonlawyer; the nature


of the services involved; the terms of any arrangements con-cerning the protection of client information; and the legal andethical environments of the jurisdictions in which the serviceswill be performed, particularly with regard to confidentiality.See also Rules 1.1 (competence), 1.2 (allocation of authority),1.4 (communication with client), 1.6 (confidentiality), 5.4 (a)(professional independence of the lawyer), and 5.5 (a) (unau-thorized practice of law). When retaining or directing a nonlaw-yer outside the firm, a lawyer should communicate directionsappropriate under the circumstances to give reasonable assur-ance that the nonlawyer’s conduct is compatible with the pro-fessional obligations of the lawyer.

Where the client directs the selection of a particular nonlaw-yer service provider outside the firm, the lawyer may needto consult with the client to determine how the outsourcingarrangement should be structured and who will be responsiblefor monitoring the performance of the nonlawyer services.Unless the client expressly agrees that the client will be respon-sible for monitoring the nonlawyer’s services, the lawyer willbe responsible for monitoring the nonlawyer’s services.

Rule 5.4. Professional Independence of aLawyer(a) A lawyer or law firm shall not share legal

fees with a nonlawyer, except that:(1) An agreement by a lawyer with the lawyer’s

firm, partner, or associate may provide for thepayment of money, over a reasonable period oftime after the lawyer’s death, to the lawyer’s estateor to one or more specified persons;

(2) A lawyer who purchases the practice of adeceased, disabled or disappeared lawyer may,pursuant to the provisions of Rule 1.17, pay tothe estate or other representative of that lawyerthe agreed upon purchase price; and

(3) A lawyer or law firm may include nonlawyeremployees in a compensation or retirement plan,even though the plan is based in whole or in parton a profit-sharing arrangement.

(b) A lawyer shall not form a partnership with anonlawyer if any of the activities of the partnershipconsist of the practice of law.

(c) A lawyer shall not permit a person who rec-ommends, employs, or pays the lawyer to renderlegal services for another to direct or regulate thelawyer’s professional judgment in rendering suchlegal services.

(d) A lawyer shall not practice with or in theform of a professional corporation or associationauthorized to practice law for a profit, if:

(1) A nonlawyer owns any interest therein,except that a fiduciary representative of the estateof a lawyer may hold the stock or interest of thelawyer for a reasonable time during adminis-tration;

(2) A nonlawyer is a corporate director or officerthereof or occupies the position of similar respon-sibility in any form of association other than acorporation; or

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(3) A nonlawyer has the right to direct or controlthe professional judgment of a lawyer.


COMMENTARY: The provisions of this Rule express tradi-tional limitations on sharing fees. These limitations are to pro-tect the lawyer’s professional independence of judgment.Where someone other than the client pays the lawyer’s feeor salary, or recommends employment of the lawyer, thatarrangement does not modify the lawyer’s obligation to theclient. As stated in subsection (c), such arrangements shouldnot interfere with the lawyer’s professional judgment.

This Rule also expresses traditional limitations on permit-ting a third party to direct or regulate the lawyer’s professionaljudgment in rendering legal services to another. See also Rule1.8 (f) (lawyer may accept compensation from a third party aslong as there is no interference with the lawyer’s independentprofessional judgment and the client gives informed consent).

Rule 5.5. Unauthorized Practice of Law(a) A lawyer shall not practice law in a jurisdic-

tion in violation of the regulation of the legal pro-fession in that jurisdiction, or assist another indoing so. The practice of law in this jurisdiction isdefined in Practice Book Section 2-44A. Conductdescribed in subsections (c) and (d) in anotherjurisdiction shall not be deemed the unauthorizedpractice of law for purposes of this subsection (a).

(b) A lawyer who is not admitted to practice inthis jurisdiction, shall not:

(1) except as authorized by law, establish anoffice or other systematic and continuous pres-ence in this jurisdiction for the practice of law; or

(2) hold out to the public or otherwise representthat the lawyer is admitted to practice law inthis jurisdiction.

(c) A lawyer admitted in another United Statesjurisdiction which accords similar privileges toConnecticut lawyers in its jurisdiction, and pro-vided that the lawyer is not disbarred or sus-pended from practice in any jurisdiction, mayprovide legal services on a temporary basis in thisjurisdiction, that:

(1) are undertaken in association with a lawyerwho is admitted to practice in this jurisdiction andwho actively participates in the matter;

(2) are in or reasonably related to a pending orpotential proceeding before a tribunal in this oranother jurisdiction, if the lawyer, or a person thelawyer is assisting, is authorized by law or orderto appear in such proceeding or reasonablyexpects to be so authorized;

(3) are in or reasonably related to a pending orpotential mediation or other alternative disputeresolution proceeding in this or another jurisdic-tion, with respect to a matter that is substantiallyrelated to, or arises in, a jurisdiction in which thelawyer is admitted to practice and are not services


for which the forum requires pro hac vice admis-sion; or

(4) are not within subdivisions (c) (2) or (c) (3)and arise out of or are substantially related to thelegal services provided to an existing client ofthe lawyer’s practice in a jurisdiction in which thelawyer is admitted to practice.

(d) A lawyer admitted to practice in anotherjurisdiction, and not disbarred or suspended frompractice in any jurisdiction, may provide legal ser-vices in this jurisdiction that:

(1) the lawyer is authorized to provide pursuantto Practice Book Section 2-15A and the lawyer isan authorized house counsel as provided in thatsection; or

(2) the lawyer is authorized by federal or otherlaw or rule to provide in this jurisdiction.

(e) A lawyer not admitted to practice in thisjurisdiction and authorized by the provisions ofthis Rule to engage in providing legal services ona temporary basis in this jurisdiction is therebysubject to the disciplinary rules of this jurisdictionwith respect to the activities in this jurisdiction.

(f) A lawyer desirous of obtaining the privilegesset forth in subsections (c) (3) or (4): (1) shallnotify the statewide bar counsel as to each sepa-rate matter prior to any such representation inConnecticut, (2) shall notify the statewide barcounsel upon termination of each such represen-tation in Connecticut, and (3) shall pay such feesas may be prescribed by the Judicial Branch.

(P.B. 1978-1997, Rule 5.5.) (Amended June 28, 1999, totake effect Jan. 1, 2000; amended June 24, 2002, to takeeffect Jan. 1, 2003; amended June 29, 2007, to take effectJan. 1, 2008; amended June 30, 2008, to take effect Jan. 1,2009; amended June 15, 2012, to take effect Jan. 1, 2013;amended June 13, 2014, to take effect Jan. 1, 2015.)

COMMENTARY: A lawyer may practice law only in a juris-diction in which the lawyer is authorized to practice. A lawyermay be admitted to practice law in a jurisdiction on a regularbasis or may be authorized by court rule or order or by lawto practice for a limited purpose or on a restricted basis. Sub-section (a) applies to unauthorized practice of law by a lawyer,whether through the lawyer’s direct action or by the lawyer’sassisting another person. For example, a lawyer may not assista person in practicing law in violation of the rules governingprofessional conduct in that person’s jurisdiction.

A lawyer may provide professional advice and instructionto nonlawyers whose employment requires knowledge of thelaw; for example, claims adjusters, employees of financialor commercial institutions, social workers, accountants andpersons employed in government agencies. Lawyers also mayassist independent nonlawyers, such as paraprofessionals,who are authorized by the law of a jurisdiction to provideparticular law-related services. In addition, a lawyer may coun-sel nonlawyers who wish to proceed as self-representedparties.

Other than as authorized by law or this Rule, a lawyer whois not admitted to practice generally in this jurisdiction violatessubsection (b) (1) if the lawyer establishes an office or othersystematic and continuous presence in this jurisdiction for the

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practice of law. Presence may be systematic and continuouseven if the lawyer is not physically present here. Such a lawyermust not hold out to the public or otherwise represent that thelawyer is admitted to practice law in this jurisdiction. See alsoRules 7.1 (a) and 7.5 (b). A lawyer not admitted to practicein this jurisdiction who engages in repeated and frequent activi-ties of a similar nature in this jurisdiction such as the prepara-tion and/or recording of legal documents (loans andmortgages) involving residents or property in this state maybe considered to have a systematic and continuous presencein this jurisdiction that would not be authorized by this Ruleand could, thereby, be considered to constitute unauthorizedpractice of law.

There are occasions in which a lawyer admitted to practicein another United States jurisdiction, and not disbarred orsuspended from practice in any jurisdiction, may provide legalservices on a temporary basis in this jurisdiction under circum-stances that do not create an unreasonable risk to the interestsof their clients, the public or the courts. Subsection (c) identifiesfour such circumstances. The fact that conduct is not so identi-fied does not imply that the conduct is or is not authorized.With the exception of subdivisions (d) (1) and (d) (2), this Ruledoes not authorize a lawyer to establish an office or othersystematic and continuous presence in this jurisdiction withoutbeing admitted to practice generally here. There is no singletest to determine whether a lawyer’s services are provided ona ‘‘temporary basis’’ in this jurisdiction and may, therefore, bepermissible under subsection (c). Services may be ‘‘tempo-rary’’ even though the lawyer provides services in this jurisdic-tion for an extended period of time, as when the lawyer isrepresenting a client in a single lengthy negotiation or litigation.

Subsection (c) applies to lawyers who are admitted to prac-tice law in any United States jurisdiction, which includes theDistrict of Columbia and any state, territory or commonwealthof the United States. The word ‘‘admitted’’ in subsection (c)contemplates that the lawyer is authorized to practice in thejurisdiction in which the lawyer is admitted and excludes alawyer who, while technically admitted, is not authorized topractice, because, for example, the lawyer is in an inactivestatus.

Subdivision (c) (1) recognizes that the interests of clientsand the public are protected if a lawyer admitted only in anotherjurisdiction associates with a lawyer licensed to practice inthis jurisdiction. For this subdivision to apply, however, thelawyer admitted to practice in this jurisdiction must activelyparticipate in and share responsibility for the representationof the client.

Lawyers not admitted to practice generally in a jurisdictionmay be authorized by law or order of a tribunal or an adminis-trative agency to appear before the tribunal or agency. Thisauthority may be granted pursuant to formal rules governingadmission pro hac vice or pursuant to informal practice of thetribunal or agency. Under subdivision (c) (2), a lawyer doesnot violate this Rule when the lawyer appears before a tribunalor agency pursuant to such authority. To the extent that acourt rule or other law of this jurisdiction requires a lawyerwho is not admitted to practice in this jurisdiction to obtainadmission pro hac vice before appearing before a tribunal oradministrative agency, this Rule requires the lawyer to obtainthat authority.

Subdivision (c) (2) also provides that a lawyer renderingservices in this jurisdiction on a temporary basis does notviolate this Rule when the lawyer engages in conduct in antici-pation of a proceeding or hearing in a jurisdiction in which thelawyer is authorized to practice law or in which the lawyerreasonably expects to be admitted pro hac vice. Examples ofsuch conduct include meetings with the client, interviews of


potential witnesses, and the review of documents. Similarly,a lawyer admitted only in another jurisdiction may engagein conduct temporarily in this jurisdiction in connection withpending litigation in another jurisdiction in which the lawyer isor reasonably expects to be authorized to appear, includingtaking depositions in this jurisdiction.

When a lawyer has been or reasonably expects to be admit-ted to appear before a court or administrative agency, subdivi-sion (c) (2) also permits conduct by lawyers who are associatedwith that lawyer in the matter, but who do not expect to appearbefore the court or administrative agency. For example, subor-dinate lawyers may conduct research, review documents, andattend meetings with witnesses in support of the lawyerresponsible for the litigation.

Subdivision (c) (3) permits a lawyer admitted to practicelaw in another jurisdiction to perform services on a temporarybasis in this jurisdiction if those services are in or reasonablyrelated to a pending or potential mediation or other alternativedispute resolution proceeding in this or another jurisdiction, ifthe services are with respect to a matter that is substantiallyrelated to, or arises out of, a jurisdiction in which the lawyeris admitted to practice. The lawyer, however, must obtainadmission pro hac vice in the case of a court-annexed arbitra-tion or mediation or otherwise if court rules or law so require.

Subdivision (c) (4) permits a lawyer admitted in anotherjurisdiction to provide certain legal services on a temporarybasis in this jurisdiction if they arise out of or are substantiallyrelated to the lawyer’s practice in a jurisdiction in which thelawyer is admitted but are not within subdivisions (c) (2) or(c) (3). These services include both legal services and servicesthat nonlawyers may perform but that are considered the prac-tice of law when performed by lawyers.

Subdivision (c) (3) requires that the services be with respectto a matter that is substantially related to, or arises out of, ajurisdiction in which the lawyer is admitted. A variety of factorsmay evidence such a relationship. However, the matter,although involving other jurisdictions, must have a significantconnection with the jurisdiction in which the lawyer is admittedto practice. A significant aspect of the lawyer’s work might beconducted in that jurisdiction or a significant aspect of thematter may involve the law of that jurisdiction. The necessaryrelationship might arise when the client’s activities and theresulting legal issues involve multiple jurisdictions. Subdivision(c) (4) requires that the services provided in this jurisdictionin which the lawyer is not admitted to practice be for (1) anexisting client, i.e., one with whom the lawyer has a previousrelationship and not arising solely out of a Connecticut basedmatter and (2) arise out of or be substantially related to thelegal services provided to that client in a jurisdiction in whichthe lawyer is admitted to practice. Without both, the lawyer isprohibited from practicing law in the jurisdiction in which thelawyer is not admitted to practice.

Subdivision (d) (2) recognizes that a lawyer may providelegal services in a jurisdiction in which the lawyer is notlicensed when authorized to do so by federal or other law,which includes statute, court rule, executive regulation or judi-cial precedent.

A lawyer who practices law in this jurisdiction pursuant tosubsections (c) or (d) or otherwise is subject to the disciplinaryauthority of this jurisdiction. See Rule 8.5 (a).

In some circumstances, a lawyer who practices law in thisjurisdiction pursuant to subsections (c) or (d) may have toinform the client that the lawyer is not licensed to practice lawin this jurisdiction.

Subsections (c) and (d) do not authorize communicationsadvertising legal services in this jurisdiction by lawyers whoare admitted to practice in other jurisdictions. Whether and

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how lawyers may communicate the availability of their servicesin this jurisdiction is governed by Rules 7.1 to 7.5.

Rule 5.6. Restrictions on Right to PracticeA lawyer shall not participate in offering or

making:(1) A partnership, shareholders, operating,

employment, or other similar type of agreementthat restricts the right of a lawyer to practice aftertermination of the relationship, except anagreement concerning benefits upon retirement;or

(2) An agreement in which a restriction on thelawyer’s right to practice is part of the settlementof a client controversy.


COMMENTARY: An agreement restricting the right of law-yers to practice after leaving a firm not only limits their profes-sional autonomy but also limits the freedom of clients to choosea lawyer. Subdivision (1) prohibits such agreements exceptfor restrictions incident to provisions concerning retirementbenefits for service with the firm.

Subdivision (2) prohibits a lawyer from agreeing not to rep-resent other persons in connection with settling a claim onbehalf of a client.

This Rule does not apply to prohibit restrictions that maybe included in the terms of the sale of a law practice pursuantto Rule 1.17.

PUBLIC SERVICE

Rule 6.1. Pro Bono Publico ServiceA lawyer should render public interest legal ser-

vice. A lawyer may discharge this responsibilityby providing professional services at no fee or areduced fee to persons of limited means or topublic service or charitable groups or organiza-tions, by service in activities for improving the law,the legal system or the legal profession, and byfinancial support for organizations that providelegal services to persons of limited means.

(P.B. 1978-1997, Rule 6.1.)COMMENTARY: The ABA House of Delegates has formally

acknowledged ‘‘the basic responsibility of each lawyerengaged in the practice of law to provide public interest legalservices’’ without fee, or at a substantially reduced fee in oneor more of the following areas: poverty law, civil rights law,public rights law, charitable organization representation andthe administration of justice. This Rule expresses that policybut is not intended to be enforced through disciplinary process.

The rights and responsibilities of individuals and organiza-tions in the United States are increasingly defined in legalterms. As a consequence, legal assistance in coping with theweb of statutes, rules and regulations is imperative for personsof modest and limited means, as well as for the relatively well-to-do.

The basic responsibility for providing legal services for thoseunable to pay ultimately rests upon the individual lawyer, andpersonal involvement in the problems of the disadvantagedcan be one of the most rewarding experiences in the life of alawyer. Every lawyer, regardless of professional prominenceor professional workload, should find time to participate in


or otherwise support the provision of legal services to thedisadvantaged. The provision of free legal services to thoseunable to pay reasonable fees continues to be an obligationof each lawyer as well as the profession generally, but theefforts of individual lawyers are often not enough to meet theneed. Thus, it has been necessary for the profession andgovernment to institute additional programs to provide legalservices. Accordingly, legal aid offices, lawyer referral servicesand other related programs have been developed, and otherswill be developed by the profession and government. Everylawyer should support all proper efforts to meet this need forlegal services. Law firms should act reasonably to enable andencourage all lawyers in the firm to provide the pro bono legalservices recommended by this Rule.

Rule 6.2. Accepting AppointmentsA lawyer shall not seek to avoid appointment

by a tribunal to represent a person except for goodcause, such as:

(1) Representing the client is likely to result inviolation of the Rules of Professional Conduct orother law;

(2) Representing the client is likely to result in anunreasonable financial burden on the lawyer; or

(3) The client or the cause is so repugnant tothe lawyer as to be likely to impair the client-lawyerrelationship or the lawyer’s ability to representthe client.

(P.B. 1978-1997, Rule 6.2.)COMMENTARY: A lawyer ordinarily is not obliged to accept

a client whose character or cause the lawyer regards as repug-nant. The lawyer’s freedom to select clients is, however, quali-fied. All lawyers have a responsibility to assist in providing probono publico service. See Rule 6.1. An individual lawyer fulfillsthis responsibility by accepting a fair share of unpopular mat-ters or indigent or unpopular clients. A lawyer may also besubject to appointment by a court to serve unpopular clientsor persons unable to afford legal services.

Appointed Counsel. For good cause a lawyer may seekto decline an appointment to represent a person who cannotafford to retain counsel or whose cause is unpopular. Goodcause exists if the lawyer could not handle the matter compe-tently, see Rule 1.1, or if undertaking the representation wouldresult in an improper conflict of interest, for example, whenthe client or the cause is so repugnant to the lawyer as to belikely to impair the client-lawyer relationship or the lawyer’sability to represent the client. A lawyer may also seek to declinean appointment if acceptance would be unreasonably burden-some, for example, when it would impose a financial sacrificeso great as to be unjust.

An appointed lawyer has the same obligations to the clientas retained counsel, including the obligations of loyalty andconfidentiality, and is subject to the same limitations on theclient-lawyer relationship, such as the obligation to refrain fromassisting the client in violation of the Rules.

Rule 6.3. Membership in Legal ServicesOrganizationA lawyer may serve as a director, officer or

member of a legal services organization, apartfrom the law firm in which the lawyer practices,notwithstanding that the organization serves per-sons having interests adverse to a client of the

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lawyer. The lawyer shall not knowingly participatein a decision or action of the organization:

(1) If participating in the decision or action wouldbe incompatible with the lawyer’s obligations to aclient under Rule 1.7; or

(2) Where the decision or action could have amaterial adverse effect on the representation ofa client of the organization whose interests areadverse to a client of the lawyer.

(P.B. 1978-1997, Rule 6.3.)COMMENTARY: Lawyers should be encouraged to support

and participate in legal services organizations. A lawyer whois an officer or a member of such an organization does notthereby have a client-lawyer relationship with persons servedby the organization. However, there is potential conflictbetween the interests of such persons and the interests of thelawyer’s clients. If the possibility of such conflict disqualifieda lawyer from serving on the board of a legal services organiza-tion, the profession’s involvement in such organizations wouldbe severely curtailed.

It may be necessary in appropriate cases to reassure aclient of the organization that the representation will not beaffected by conflicting loyalties of a member of the board.Established, written policies in this respect can enhance thecredibility of such assurances.

Rule 6.4. Law Reform Activities AffectingClient InterestsA lawyer may serve as a director, officer or

member of an organization involved in reform ofthe law or its administration notwithstanding thatthe reform may affect the interests of a client ofthe lawyer. When the lawyer knows that the inter-ests of a client may be materially benefitted by adecision in which the lawyer participates, the law-yer shall disclose that fact but need not identifythe client.

(P.B. 1978-1997, Rule 6.4.)COMMENTARY: Lawyers involved in organizations seek-

ing law reform generally do not have a client-lawyer relation-ship with the organization. Otherwise, it might follow that alawyer could not be involved in a bar association law reformprogram that might indirectly affect a client. See also Rule 1.2(b). For example, a lawyer specializing in antitrust litigationmight be regarded as disqualified from participating in draftingrevisions of rules governing that subject. In determining thenature and scope of participation in such activities, a lawyershould be mindful of obligations to clients under other Rules,particularly Rule 1.7. A lawyer is professionally obligated toprotect the integrity of the program by making an appropriatedisclosure within the organization when the lawyer knows aprivate client might be materially benefitted.

Rule 6.5. Nonprofit and Court-Annexed Lim-ited Legal Services Programs(a) A lawyer who, under the auspices of a pro-

gram sponsored by a nonprofit organization orcourt, provides short-term limited legal servicesto a client without expectation by either the lawyeror the client that the lawyer will provide continuingrepresentation in the matter:


(1) is subject to Rules 1.7 and 1.9 (a) only ifthe lawyer knows that the representation of theclient involves a conflict of interest; and

(2) is subject to Rule 1.10 only if the lawyerknows that another lawyer associated with thelawyer in a law firm is disqualified by Rule 1.7 or1.9 (a) with respect to the matter.

(b) A lawyer who provides short-term limitedlegal services pursuant to this Rule must securethe client’s informed consent to the limited scopeof the representation. See Rule 1.2 (c). If a short-term limited representation would not be reason-able under the circumstances, the lawyer mayoffer advice to the client but must also advise theclient of the need for further assistance of counsel.Except as provided in this Rule, the Rules of Pro-fessional Conduct, including Rules 1.6 and 1.9(c), are applicable to the limited representation.

(c) Except as provided in subsection (a) (2),Rule 1.10 is inapplicable to a representation gov-erned by this Rule.

(Adopted June 26, 2006, to take effect Jan. 1, 2007.)COMMENTARY: Legal services organizations, courts and

various nonprofit organizations have established programsthrough which lawyers provide short-term limited legal ser-vices—such as advice or the completion of legal forms—thatwill assist persons to address their legal problems withoutfurther representation by a lawyer. In these programs, suchas legal advice hotlines, advice only clinics or self-representedparty counseling programs, a client-lawyer relationship isestablished, but there is no expectation that the lawyer’srepresentation of the client will continue beyond the limitedconsultation. Such programs are normally operated under cir-cumstances in which it is not feasible for a lawyer to systemati-cally screen for conflicts of interest as is generally requiredbefore undertaking a representation. See, e.g., Rules 1.7,1.9 and 1.10.

Because a lawyer who is representing a client in the circum-stances addressed by this Rule ordinarily is not able to checksystematically for conflicts of interest, subsection (a) requirescompliance with Rules 1.7 or 1.9 (a) only if the lawyer knowsthat the representation presents a conflict of interest for thelawyer, and with Rule 1.10 only if the lawyer knows that anotherlawyer in the lawyer’s firm is disqualified by Rules 1.7 or 1.9(a) in the matter.

Because the limited nature of the services significantlyreduces the risk of conflicts of interest with other matters beinghandled by the lawyer’s firm, subsection (b) provides that Rule1.10 is inapplicable to a representation governed by this Ruleexcept as provided by subsection (a) (2). Subsection (a) (2)requires the participating lawyer to comply with Rule 1.10 whenthe lawyer knows that the lawyer’s firm is disqualified by Rules1.7 or 1.9 (a). By virtue of subsection (b), however, a lawyer’sparticipation in a short-term limited legal services program willnot preclude the lawyer’s firm from undertaking or continuingthe representation of a client with interests adverse to a clientbeing represented under the program’s auspices. Nor will thepersonal disqualification of a lawyer participating in the pro-gram be imputed to other lawyers participating in the program.

If, after commencing a short-term limited representation inaccordance with this Rule, a lawyer undertakes to representthe client in the matter on an ongoing basis, Rules 1.7, 1.9(a) and 1.10 become applicable.

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INFORMATION ABOUT LEGAL SERVICES

Rule 7.1. Communications concerning aLawyer’s ServicesA lawyer shall not make a false or misleading

communication about the lawyer or the lawyer’sservices. A communication is false or misleadingif it contains a material misrepresentation of factor law, or omits a fact necessary to make thestatement considered as a whole not materiallymisleading.


COMMENTARY: This Rule governs all communicationsabout a lawyer’s services, including advertising permitted byRule 7.2. Whatever means are used to make known a lawyer’sservices, statements about them must be truthful. Statements,even if literally true, that are misleading are also prohibitedby this Rule. A truthful statement is misleading if it omits a factnecessary to make the lawyer’s communication considered asa whole not materially misleading. A truthful statement is alsomisleading if there is a substantial likelihood that it will leada reasonable person to formulate a specific conclusion aboutthe lawyer or the lawyer’s services for which there is no reason-able factual foundation.

An advertisement that truthfully reports a lawyer’s achieve-ments on behalf of clients or former clients may be misleadingif presented so as to lead a reasonable person to form anunjustified expectation that the same results could be obtainedfor other clients in similar matters without reference to thespecific factual and legal circumstances of each client’s case.Similarly, an unsubstantiated comparison of the lawyer’s ser-vices or fees with the services or fees of other lawyers maybe misleading if presented with such specificity as would leada reasonable person to conclude that the comparison can besubstantiated. The inclusion of an appropriate disclaimer orqualifying language may preclude a finding that a statementis likely to create unjustified expectations or otherwise misleadthe public.

See also Rule 8.4 (5) for the prohibition against stating orimplying an ability to influence improperly a governmentagency or official or to achieve results by means that violatethe Rules of Professional Conduct or other law.

Rule 7.2. Advertising(a) Subject to the requirements set forth in

Rules 7.1 and 7.3, a lawyer may advertise ser-vices through written, recorded or electronic com-munication, including public media.

(b) (1) A copy or recording of an advertisementor communication shall be kept for three yearsafter its last dissemination along with a recordof when and where it was used. An electronicadvertisement or communication shall be copiedonce every three months on a compact disc orsimilar technology and kept for three years afterits last dissemination.

(2) A lawyer shall comply with the mandatoryfiling requirement of Practice Book Section 2-28A.

(c) A lawyer shall not give anything of value toa person for recommending the lawyer’s services,except that a lawyer may:


(1) pay the reasonable cost of advertisementsor communications permitted by this Rule;

(2) pay the usual charges of a not-for-profit orqualified lawyer referral service. A qualified lawyerreferral service is a lawyer referral service thathas been approved by an appropriate regula-tory authority;

(3) pay for a law practice in accordance withRule 1.17.

(d) Any advertisement or communication madepursuant to this Rule shall include the name of atleast one lawyer admitted in Connecticut respon-sible for its content. In the case of television adver-tisements, the name, address and telephonenumber of the lawyer admitted in Connecticutshall be displayed in bold print for fifteen secondsor the duration of the commercial, whichever isless, and shall be prominent enough to bereadable.

(e) Advertisements on the electronic mediasuch as television and radio may contain the samefactual information and illustrations as permittedin advertisements in the print media.

(f) Every advertisement and written communi-cation that contains information about the lawyer’sfee, including those indicating that the chargingof a fee is contingent on outcome, or that no feewill be charged in the absence of a recovery, orthat the fee will be a percentage of the recovery,shall disclose whether and to what extent the cli-ent will be responsible for any court costs andexpenses of litigation. The disclosure concerningcourt costs and expenses of litigation shall be inthe same print size and type as the informationregarding the lawyer’s fee and, if broadcast, shallappear for the same duration as the informationregarding the lawyer’s fee. If the informationregarding the fee is spoken, the disclosure con-cerning court costs and expenses of litigation shallalso be spoken.

(g) A lawyer who advertises a specific fee orrange of fees for a particular service shall honorthe advertised fee or range of fees for at leastninety days unless the advertisement specifies ashorter period; provided that, for advertisementsin the yellow pages of telephone directories orother media not published more frequently thanannually, the advertised fee or range of fees shallbe honored for no less than one year followingpublication.

(h) No lawyers shall directly or indirectly pay allor part of the cost of an advertisement by a lawyernot in the same firm unless the advertisementdiscloses the name and address of the nonadver-tising lawyer, and whether the advertising lawyermay refer any case received through the adver-tisement to the nonadvertising lawyer.

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(i) The following information in advertisementsand written communications shall be presumednot to violate the provisions of Rule 7.1:

(1) Subject to the requirements of Rule 7.3, thename of the lawyer or law firm, a listing of lawyersassociated with the firm, office addresses andtelephone numbers, office and telephone servicehours, fax numbers, website and e-mailaddresses and domain names, and a designationsuch as ‘‘attorney’’ or ‘‘law firm.’’

(2) Date of admission to the Connecticut barand any other bars and a listing of federal courtsand jurisdictions where the lawyer is licensed topractice.

(3) Technical and professional licenses grantedby the state or other recognized licensingauthorities.

(4) Foreign language ability.(5) Fields of law in which the lawyer practices

or is designated, subject to the requirements ofRule 7.4, or is certified pursuant to Rule 7.4A.

(6) Prepaid or group legal service plans in whichthe lawyer participates.

(7) Acceptance of credit cards.(8) Fee for initial consultation and fee schedule.(9) A listing of the name and geographic location

of a lawyer or law firm as a sponsor of a publicservice announcement or charitable, civic or com-munity program or event.

(10) Nothing in this Rule prohibits a lawyer orlaw firm from permitting the inclusion in the lawdirectories intended primarily for the use of thelegal profession of such information as has tradi-tionally been included in these publications.

(j) Notwithstanding the provisions of subsection(d), a lawyer and service may participate in aninternet based client to lawyer matching service,provided the service otherwise complies with theRules of Professional Conduct. If the service pro-vides an exclusive referral to a lawyer or law firmfor a particular practice area in a particular geo-graphical region, then the service must complywith subsection (d).


COMMENTARY: To assist the public in learning about andobtaining legal services, lawyers should be allowed to makeknown their services not only through reputation but alsothrough organized information campaigns in the form of adver-tising. Advertising involves an active quest for clients, contraryto the tradition that a lawyer should not seek clientele. How-ever, the public’s need to know about legal services can befulfilled in part through advertising. This need is particularlyacute in the case of persons of moderate means who havenot made extensive use of legal services. The interest inexpanding public information about legal services ought to


prevail over considerations of tradition. Nevertheless, advertis-ing by lawyers entails the risk of practices that are misleadingor overreaching.

This Rule permits public dissemination of information con-cerning a lawyer’s name or firm name, address, e-mailaddress, website, and telephone number; the kinds of servicesthe lawyer will undertake; the basis on which the lawyer’sfees are determined, including prices for specific services andpayment and credit arrangements; whether and to what extentthe client will be responsible for any court costs and expensesof litigation; lawyer’s foreign language ability; names of refer-ences and, with their consent, names of clients regularly repre-sented; and other information that might invite the attentionof those seeking legal assistance.

Questions of effectiveness and taste in advertising are mat-ters of speculation and subjective judgment. Some jurisdic-tions have had extensive prohibitions against televisionadvertising and other forms of advertising, against advertisinggoing beyond specified facts about a lawyer, or against ‘‘undig-nified’’ advertising. Television, the Internet, and other formsof electronic communication are now among the most powerfulmedia for getting information to the public, particularly personsof low and moderate income; prohibiting television, Internet,and other forms of electronic advertising, therefore, wouldimpede the flow of information about legal services to manysectors of the public. Limiting the information that may beadvertised has a similar effect and assumes that the bar canaccurately forecast the kind of information that the public wouldregard as relevant.

Neither this Rule nor Rule 7.3 prohibits communicationsauthorized by law, such as notice to members of a class inclass action litigation.

Record of Advertising. Subsection (b) requires that arecord of the content and use of advertising be kept in orderto facilitate enforcement of this Rule. It does not require thatadvertising be subject to review prior to dissemination. Sucha requirement would be burdensome and expensive relativeto its possible benefits, and may be of doubtful constitutionality.

Paying Others to Recommend a Lawyer. Except as per-mitted under subsection (c) (1) through (c) (3), lawyers arenot permitted to pay others for recommending the lawyer’sservices or for channeling professional work in a manner thatviolates Rule 7.3. A communication contains a recommenda-tion if it endorses or vouches for a lawyer’s credentials, abili-ties, competence, character, or other professional qualities.Subsection (c) (1), however, allows a lawyer to pay for advertis-ing and communications permitted by this Rule, including thecosts of print directory listings, on-line directory listings, news-paper advertisements, television and radio airtime, domainname registrations, sponsorship fees, advertisements,Internet-based advertisements, and group advertising. A law-yer may compensate employees, agents and vendors who areengaged to provide marketing or client development services,such as publicists, public relations personnel, business devel-opment staff and website designers. See also Rule 5.3 (dutiesof lawyers and law firms with respect to the conduct of nonlaw-yers); Rule 8.4 (a) (duty to avoid violating the Rules throughthe acts of another).

A lawyer may pay the usual charges of a legal service planor a not-for-profit or qualified lawyer referral service. A legalservice plan is a prepaid or group legal service plan or a similardelivery system that assists people who seek to secure legalrepresentation. A lawyer referral service, on the other hand,is any organization that holds itself out to the public as a lawyerreferral service. Such referral services are understood by thepublic to be consumer oriented organizations that provide unbi-ased referrals to lawyers with appropriate experience in the

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subject matter of the representation and afford other clientprotections, such as complaint procedures or malpracticeinsurance requirements. Consequently, this Rule only permitsa lawyer to pay the usual charges of a not-for-profit or qualifiedlawyer referral service. A qualified lawyer referral service isone that is approved by an appropriate regulatory authorityas affording adequate protections for the public. See, e.g.,the American Bar Association’s Model Supreme Court RulesGoverning Lawyer Referral Services and Model Lawyer Refer-ral and Information Service Quality Assurance Act (requiringthat organizations that are identified as lawyer referral ser-vices: [i] permit the participation of all lawyers who are licensedand eligible to practice in the jurisdiction and who meet reason-able objective eligibility requirements as may be establishedby the referral service for the protection of the public; [ii] requireeach participating lawyer to carry reasonably adequate mal-practice insurance; [iii] act reasonably to assess client satisfac-tion and address client complaints; and [iv] do not makereferrals to lawyers who own, operate or are employed by thereferral service).

A lawyer who accepts assignments or referrals from a legalservice plan or referrals from a lawyer referral service mustact reasonably to assure that the activities of the plan or serviceare compatible with the lawyer’s professional obligations. SeeRule 5.3. Legal service plans and lawyer referral services maycommunicate with the public, but such communication mustbe in conformity with these Rules. Thus, advertising must notbe false or misleading, as would be the case if the communica-tions of a group advertising program or a group legal servicesplan would mislead the public to think that it was a lawyerreferral service sponsored by a state agency or bar associa-tion. Nor could the lawyer allow in person, telephonic, or real-time contacts that would violate Rule 7.3.

Rule 7.3. Solicitation of Clients(Amended June 13, 2014, to take effect Jan. 1, 2015.)(a) A lawyer shall not initiate personal, live tele-

phone, or real-time electronic contact, includingtelemarketing contact, for the purpose of obtainingprofessional employment, except in the follow-ing circumstances:

(1) If the target of the solicitation is a closefriend, relative, former client or one whom thelawyer reasonably believes to be a client;

(2) Under the auspices of a public or charitablelegal services organization;

(3) Under the auspices of a bona fide political,social, civic, fraternal, employee or trade organi-zation whose purposes include but are not limitedto providing or recommending legal services, ifthe legal services are related to the principal pur-poses of the organization;

(4) If the target of the solicitation is a businessorganization, a not-for-profit organization or gov-ernmental body and the lawyer seeks to provideservices related to the organization.

(b) A lawyer shall not contact or send a writtenor electronic communication to any person for thepurpose of obtaining professional employment if:

(1) The lawyer knows or reasonably shouldknow that the physical, emotional or mental stateof the person makes it unlikely that the person


would exercise reasonable judgment in employinga lawyer;

(2) It has been made known to the lawyer thatthe person does not want to receive such commu-nications from the lawyer;

(3) The communication involves coercion,duress, fraud, overreaching, harassment, intimi-dation or undue influence;

(4) The written communication concerns a spe-cific matter and the lawyer knows or reasonablyshould know that the person to whom the commu-nication is directed is represented by a lawyer inthe matter; or

(5) The written or electronic communicationconcerns an action for personal injury or wrongfuldeath or otherwise relates to an accident or disas-ter involving the person to whom the communica-tion is addressed or a relative of that person,unless the accident or disaster occurred morethan forty days prior to the mailing of the communi-cation.

(c) Every written communication, as well as anycommunication by audio or video recording, orother electronic means, used by a lawyer for thepurpose of obtaining professional employmentfrom anyone known to be in need of legal servicesin a particular matter, must be clearly and promi-nently labeled ‘‘Advertising Material’’ in red ink onthe first page of any written communication andthe lower left corner of the outside envelope orcontainer, if any, and at the beginning and endingof any communication by audio or video recordingor other electronic means. If the written communi-cation is in the form of a self-mailing brochure orpamphlet, the label ‘‘Advertising Material’’ in redink shall appear on the address panel of the bro-chure or pamphlet. Brochures solicited by clientsor any other person need not contain such mark.No reference shall be made in the communicationto the communication having any kind of approvalfrom the Connecticut bar. Such written communi-cations shall be sent only by regular United Statesmail, not by registered mail or other forms ofrestricted delivery.

(d) The first sentence of any written communi-cation concerning a specific matter shall be: ‘‘Ifyou have already retained a lawyer for this matter,please disregard this letter.’’

(e) A written communication seeking employ-ment in a specific matter shall not reveal on theenvelope, or on the outside of a self-mailing bro-chure or pamphlet, the nature of the legal matter.

(f) If a contract for representation is mailed withthe communication, the top of each page of thecontract shall be marked ‘‘Sample’’ in bold lettersin red ink in a type size one size larger than thelargest type used in the contract and the words

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‘‘Do Not Sign’’ in bold letters shall appear on theclient signature line.

(g) Written communications shall be on letter-sized paper rather than legal-sized paper andshall not be made to resemble legal pleadings orother legal documents. This provision does notpreclude the mailing of brochures and pamphlets.

(h) If a lawyer other than the lawyer whosename or signature appears on the communicationwill actually handle the case or matter, or if thecase or matter will be referred to another lawyeror law firm, any written communication concerninga specific matter shall include a statement soadvising the target of the solicitation.

(i) Notwithstanding the prohibitions in subsec-tion (a), a lawyer may participate with a prepaidor group legal service plan operated by an organi-zation not owned or directed by the lawyer whichuses in-person or telephone contact to solicitmemberships or subscriptions for the plan frompersons who are not known to need legal servicesin a particular matter covered by the plan.


COMMENTARY: A solicitation is a targeted communicationinitiated by the lawyer that is directed to a specific person andthat offers to provide, or can reasonably be understood asoffering to provide, legal services. In contrast, a lawyer’s com-munication typically does not constitute a solicitation if it isdirected to the general public, such as through a billboard,an Internet banner advertisement, a website or a televisioncommercial, or if it is in response to a request for informationor is automatically generated in response to Internet searches.

Unrestricted solicitation involves definite social harms.Among these are harassment, overreaching, provocation ofnuisance litigation and schemes for systematic fabrication ofclaims, all of which were experienced prior to adoption ofrestrictions on solicitation. Measures reasonably designed tosuppress these harms are constitutionally legitimate. At thesame time, measures going beyond realization of such objec-tives would appear to be invalid under relevant decisions ofthe United States Supreme Court.

The potential for abuse inherent in direct in-person, livetelephone or real-time electronic solicitation justifies their pro-hibition, particularly since lawyers have alternative means ofconveying necessary information to those who may be in needof legal services. In particular, communications can be mailedor transmitted by e-mail or other electronic means that donot involve real-time contact and do not violate other lawsgoverning solicitations. These forms of communications andsolicitations make it possible for the public to be informedabout the need for legal services, and about the qualificationsof available lawyers and law firms, without subjecting the publicto direct in-person, telephone or real-time electronic persua-sion that may overwhelm a person’s judgment.

The use of general advertising and written, recorded andelectronic communications to transmit information from lawyerto the public, rather than direct in-person, live telephone, orreal-time electronic contact, will help to ensure that the infor-mation flows cleanly as well as freely. The contents of adver-tisements and communications permitted under Rule 7.2 canbe permanently recorded so that they cannot be disputed and


may be shared with others who know the lawyer. This potentialfor informal review is itself likely to help guard against state-ments and claims that might constitute false and misleadingcommunications, in violation of Rule 7.1. The contents of directin-person, live telephone, or real-time electronic contact canbe disputed and are not subject to a third-party scrutiny. Con-sequently, they are much more likely to approach (and occa-sionally cross) the dividing line between accuraterepresentations and those that are false and misleading.

There is far less likelihood that a lawyer would engage inabusive practices against a former client, or a person withwhom the lawyer has a close personal or family relationship, orin situations in which the lawyer is motivated by considerationsother than the lawyer’s pecuniary gain. Nor is there a seriouspotential for abuse when the person contacted is a lawyer.Consequently, the general prohibition in Rule 7.3 (a) and therequirements of Rule 7.3 (c) are not applicable in those situa-tions. Also, nothing in this Commentary is intended to prohibita lawyer from participating in constitutionally protected activi-ties of public or charitable legal service organizations or bonafide political, social, civic, fraternal, employee or trade organi-zations whose purposes include providing or recommendinglegal services to their members or beneficiaries.

In determining whether a contact is permissible under Rule7.3 (b), it is relevant to consider the time and circumstancesunder which the contact is initiated. For example, a personundergoing active medical treatment for traumatic injury isunlikely to be in an emotional state in which reasonable judg-ment about employing a lawyer can be exercised. Moreover,if after sending a letter or other communication to a memberof the public as permitted by Rule 7.2 the lawyer receives noresponse, any further effort to communicate with the personmay violate the provisions of Rule 7.3 (b).

The requirement in Rule 7.3 (c) that certain communicationsbe marked ‘‘Advertising Material’’ does not apply to communi-cations sent in response to requests of potential clients ortheir spokespersons or sponsors. General announcements bylawyers, including changes in personnel or office location, donot constitute communications soliciting professional employ-ment from any person known to be in need of legal serviceswithin the meaning of this Rule.

This Rule is not intended to prohibit a lawyer from contactingrepresentatives of organizations or groups that may be inter-ested in establishing a group or prepaid legal plan for theirmembers, insureds, beneficiaries or other third parties for thepurpose of informing such entities of the availability of anddetails concerning the plan or arrangement which the lawyeror lawyer’s firm is willing to offer. This form of communicationis not directed to people who are seeking legal services forthemselves. Rather, it is usually addressed to an individualacting in a fiduciary capacity seeking a supplier of legal ser-vices for others who may, if they choose, become prospectiveclients of the lawyer. Under these circumstances, the activitywhich the lawyer undertakes in communicating with such rep-resentatives and the type of information transmitted to theindividual are functionally similar to and serve the same pur-pose as advertising permitted under Rule 7.2. Subsection (i)of this Rule would permit an attorney to participate with anorganization which uses personal contact to solicit membersfor its group or prepaid legal service plan, provided that thepersonal contact is not undertaken by any lawyer who wouldbe a provider of legal services through the plan.

Subsection (i) of this Rule permits a lawyer to participatewith an organization that uses personal contact to solicit mem-bers for its group or prepaid legal service plan, provided thatthe personal contact is not undertaken by any lawyer whowould be a provider of legal services through the plan. The

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organization must not be owned by or directed (whether asmanager or otherwise) by any lawyer or law firm that partici-pates in the plan. For example, subsection (i) would not permita lawyer to create an organization controlled directly or indi-rectly by the lawyer and use the organization for the in-personor telephone solicitation of legal employment of the lawyerthrough memberships in the plan or otherwise. The communi-cation permitted by these organizations also must not bedirected to a person known to need legal services in a particularmatter, but is to be designed to inform potential plan membersgenerally of another means of affordable legal services. Law-yers who participate in a legal service plan must reasonablyensure that the plan sponsors are in compliance with Rules7.1, 7.2 and 7.3 (b). See Rule 8.4 (a).

Rule 7.4. Communication of Fields ofPractice(a) A lawyer may communicate the fact that the

lawyer does or does not practice in particular fieldsof law.

(b) A lawyer admitted to engage in patent prac-tice before the United States Patent and Trade-mark Office may use the designation ‘‘PatentAttorney’’ or a substantially similar designation.

(c) A lawyer engaged in admiralty practice mayuse the designation ‘‘Admiralty,’’ ‘‘Proctor in Admi-ralty’’ or a substantially similar designation.

(d) A lawyer shall not state or imply that thelawyer is a specialist in a particular field of lawexcept as provided herein and in Rule 7.4A.


COMMENTARY: This Rule permits a lawyer to indicatefields of practice in communications about the lawyer’s ser-vices. If a lawyer practices only in certain fields, or will notaccept matters except in such fields, the lawyer is permittedso to indicate. A lawyer may indicate that the lawyer ‘‘concen-trates in,’’ ‘‘focuses on,’’ or that the practice is ‘‘limited to’’particular fields of practice as long as the statements are notfalse or misleading in violation of Rule 7.1. However, the lawyermay not use the terms ‘‘specialist,’’ ‘‘certified,’’ ‘‘board-certi-fied,’’ ‘‘expert’’ or any similar variation, unless the lawyer hasbeen certified in accordance with Rule 7.4A.

Recognition of specialization in patent matters is a matterof long-established policy of the Patent and Trademark Office.Designation of admiralty practice has a long historical traditionassociated with maritime commerce and the federal courts.

Rule 7.4A. Certification as Specialist(a) Except as provided in Rule 7.4, a lawyer

shall not state or imply that he or she is a specialistin a field of law unless the lawyer is currentlycertified as a specialist in that field of law by aboard or other entity which is approved by theRules Committee of the superior court of thisstate. Among the criteria to be considered by theRules Committee in determining upon applicationwhether to approve a board or entity as an agencywhich may certify lawyers practicing in this stateas being specialists, shall be the requirement thatthe board or entity certify specialists on the basisof published standards and procedures which (1)

RULES OF PROFESSIONAL CONDUCT Rule 7.4A

do not discriminate against any lawyer properlyqualified for such certification, (2) provide a rea-sonable basis for the representation that lawyersso certified possess special competence, and (3)require redetermination of the special qualifica-tions of certified specialists after a period of notmore than five years.

(b) Upon certifying a lawyer practicing in thisstate as being a specialist, the board or entitythat certified the lawyer shall notify the statewidegrievance committee of the name and juris num-ber of the lawyer, the specialty field in which thelawyer was certified, the date of such certificationand the date such certification expires.

(c) A lawyer shall not state that he or she is acertified specialist if the lawyer’s certification hasterminated, or if the statement is otherwise con-trary to the terms of such certification.

(d) Certification as a specialist may not be attrib-uted to a law firm.

(e) Lawyers may be certified as specialists inthe following fields of law:

(1) Administrative law: The practice of law deal-ing with states, their political subdivisions,regional and metropolitan authorities and otherpublic entities including, but not limited to, theirrights and duties, financing, public housing andurban development, the rights of public employ-ees, election law, school law, sovereign immunity,and constitutional law; practice before federal andstate courts and governmental agencies.

(2) Admiralty: The practice of law dealing withall matters arising under the Carriage of Goodsby Sea Act (COGSA), Harter Act, Jones Act, andfederal and state maritime law including, but notlimited to, the carriage of goods, collision andother maritime torts, general average, salvage,limitation of liability, ship financing, ship subsidies,the rights of injured sailors and longshoremen;practice before federal and state courts and gov-ernmental agencies (including the Federal Mari-time Commission).

(3) Antitrust: The practice of law dealing withall matters arising under the Sherman Act, ClaytonAct, Federal Trade Commission Act, Hart-Scott-Rodino Antitrust Improvements Act and state anti-trust statutes including, but not limited to,restraints of trade, unfair competition, monopoli-zation, price discrimination, restrictive practices;practice before federal and state courts and gov-ernmental agencies.

(4) Appellate practice: The practice of law deal-ing with all procedural and substantive aspects ofcivil and criminal matters before federal and stateappeals courts including, but not limited to, argu-ments and the submission of briefs.

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(5) Business Bankruptcy: The practice of lawdealing with all aspects of the United States Bank-ruptcy Code when the debtor was engaged inbusiness before the institution of a Chapter 7, 9,or 11 proceeding. This includes, but is not limitedto, business liquidations, business reorganiza-tions, and related adversary and contested pro-ceedings.

(6) Child Welfare Law: The practice of law rep-resenting children, parents or the government inall child protection proceedings including emer-gency, temporary custody, adjudication, disposi-tion, foster care, permanency planning,termination, guardianship, and adoption. ChildWelfare Law does not include representation inprivate child custody and adoption disputes wherethe state is not a party.

(7) Consumer Bankruptcy: The practice of lawdealing with all aspects of the United States Bank-ruptcy Code when the debtor was not engagedin business before the institution of a Chapter 7,12, or 13 proceeding. This includes, but is notlimited to, liquidations, wage earner plans, familyfarmers and related adversary and contested pro-ceedings.

(8) Civil rights and discrimination: The practiceof law dealing with all matters arising under federaland state law relating to proper treatment in theareas of, among others, public accommodations,voting, employment, housing, administration ofwelfare and social security benefits; practicebefore federal and state courts and governmen-tal agencies.

(9) Civil trial practice: The practice of law deal-ing with representation of parties before federalor state courts in all noncriminal matters.

(10) Commercial transactions: The practice oflaw dealing with all aspects of commercial paper,contracts, sales and financing, including, but notlimited to, secured transactions.

(11) Consumer claims and protection: The prac-tice of law dealing with all aspects of consumertransactions including, but not limited to, salespractices, credit transactions, secured transac-tions and warranties; all matters arising under theEqual Credit Opportunity Act, the Fair CreditReporting Act, the Magnuson-Moss Act, the Truthin Lending Act, state statutes such as the ‘‘LittleFTC’’ acts, and other analogous federal andstate statutes.

(12) Corporate and business organizations:The practice of law dealing with all aspects of theformation, operation and dissolution of corpora-tions, partnerships (general and limited), agencyand other forms of business organizations.

(13) Corporate finance and securities: Thepractice of law dealing with all matters arising

RULES OF PROFESSIONAL CONDUCTRule 7.4A

under the Securities Act of 1933, SecuritiesExchange Act of 1934, Investment Advisors Act(or the Federal Securities Code, if adopted) andother federal and state securities statutes; financ-ing corporate activities; mergers and acquisitions;practice before the Securities and ExchangeCommission and state securities commissions.

(14) Criminal: The practice of law dealing withthe prosecution or representation of personsaccused of crimes at all stages of criminal pro-ceedings in federal or state courts including, butnot limited to, the protection of the accused’s con-stitutional rights.

(15) Elder law: The practice of law involving thecounseling and representation of older personsand their representatives relative to the legalaspects of health and long term care planningand financing; public benefits; alternative livingarrangements and attendant residents’ rightsunder state and federal law; special needs coun-seling; surrogate decision making; decision mak-ing capacity; conservatorships; conservation,disposition, and administration of the estates ofolder persons and the implementation of deci-sions of older persons and their representativesrelative to the foregoing with due considerationto the applicable tax consequences of an action,involving, when appropriate, consultation and col-laboration with professionals in related disci-plines. Lawyers certified in elder law must becapable of recognizing issues that arise duringcounseling and representation of older persons ortheir representatives with respect to the following:Abuse, neglect or exploitation of older persons;estate, trust, and tax planning; other probate mat-ters. Elder law specialists must be capable of rec-ognizing the professional conduct and ethicalissues that arise during representation.

(16) Environmental: The practice of law dealingwith all aspects of the regulation of environmentalquality by both federal and state governments;control of air pollution, water pollution, noise pollu-tion, toxic substances, pesticides, and civilianuses of nuclear energy; solid waste/resourcerecovery; all matters arising under the NationalEnvironmental Policy Act, Clean Air Act, FederalWater Pollution Control Act, Noise Control Act,Solid Waste Disposal Act, Toxic Substance Con-trol Act and other federal and state environmentalstatutes; practice before federal and state courtsand governmental agencies.

(17) Estate planning and probate: The practiceof law dealing with all aspects of the analysis andplanning for the conservation and disposition ofestates, giving due consideration to the applicabletax consequences, both federal and state; the

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preparation of legal instruments in order to effec-tuate estate plans; administering estates, includ-ing tax related matters, both federal and state.

(18) Family and matrimonial: The practice oflaw dealing with all aspects of antenuptial anddomestic relationships, separation and divorce,alimony and child support, distribution of assets,child custody matters and adoption, giving dueconsideration to the tax consequences, and courtproceedings relating thereto.

(19) Government contracts and claims: Thepractice of law dealing with all aspects of thenegotiation and administration of contracts withfederal and state governmental agencies.

(20) Immigration and naturalization: The prac-tice of law dealing with obtaining and retainingpermission to enter and remain in the UnitedStates including, but not limited to, such mattersas visas, change of status, deportation and natu-ralization; representation of aliens before courtsand governmental agencies; protection of aliens’constitutional rights.

(21) International: The practice of law dealingwith all aspects of the relations among states,international business transactions, internationaltaxation, customs and trade law and foreign andcomparative law.

(22) Labor: The practice of law dealing withall aspects of employment relations (public andprivate) including, but not limited to, unfair laborpractices, collective bargaining, contract adminis-tration, the rights of individual employees andunion members, employment discrimination; allmatters arising under the National Labor Rela-tions Act (Wagner Act), Labor Management Rela-tions Act (Taft-Hartley Act), Labor ManagementReporting and Disclosure Act (Landrum-GriffinAct), Fair Labor Standards Act, Title VII of TheCivil Rights Act of 1964, Occupational Safety andHealth Act (OSHA), Employee Retirement IncomeSecurity Act (ERISA), other federal statutes andanalogous state statutes; practice before theNational Labor Relations Board, analogous stateboards, federal and state courts, and arbitrators.

(23) Military: The practice of law dealing withthe presentation of parties before courts-martialand other military tribunals in disputes arisingunder the uniform code of military justice; the rep-resentation of veterans and their dependents inseeking government benefits due to them onaccount of military service; handling civil law prob-lems of the military.

(24) Natural Resources: The practice of lawdealing with all aspects of the regulation of naturalresources such as coal, oil, gas, minerals, waterand public lands; the rights and responsibilities

RULES OF PROFESSIONAL CONDUCT Rule 7.4C

relating to the ownership and exploitation of suchnatural resources.

(25) Patent, trademark and copyright: The prac-tice of law dealing with all aspects of the registra-tion, protection and licensing of patents,trademarks or copyrights; practice before federaland state courts in actions for infringement andother actions; the prosecution of applicationsbefore the United States Patent and TrademarkOffice; counseling with regard to the law of unfaircompetition as it relates to patents, trademarksand copyrights.

(26) (A) Residential Real Estate: The practiceof law dealing with all aspects of real propertytransactions involving single one-to-four familyresidential dwellings when the client uses suchdwelling or expresses in writing the intent to usesuch dwelling as the client’s primary or other resi-dence including, but not limited to, real estateconveyances, title searches and property trans-fers, leases, condominiums, cooperatives, andother common interest communities, planned unitdevelopments, mortgages, condemnation andeminent domain, zoning and land use planning,property taxes, and determination of propertyrights.

(B) Commercial Real Estate: The practice oflaw dealing with all aspects of real property trans-actions except for residential real estate asdefined in subparagraph (A) of this subdivision,including, but not limited to, real estate convey-ances, title searches and property transfers,leases, condominiums, cooperatives and othercommon interest communities, planned unitdevelopments, mortgages, condemnation andeminent domain, zoning and land use planning,property taxes, real estate development andfinancing (with due consideration to tax and secu-rities consequences) and determination of prop-erty rights.

(27) Taxation: The practice of law dealing withall matters arising under the Internal RevenueCode, Employee Retirement Income Security Act(ERISA), state and local tax laws and foreign taxlaws, including counseling with respect thereto;practice before federal and state courts and gov-ernmental agencies.

(28) Workers’ Compensation: The practice oflaw dealing with the representation of partiesbefore federal and state agencies, boards andcourts in actions to determine eligibility for work-ers’ compensation, and disability.

(P.B. 1978-1997, Rule 7.4A.) (Amended June 20, 2005, totake effect Jan. 1, 2006; amended June 29, 2007, to takeeffect Jan. 1, 2008; amended June 30, 2008, to take effect,Jan. 1, 2009; amended June 13, 2014, to take effect Jan.1, 2015.)

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Rule 7.4B. Legal Specialization ScreeningCommittee(a) The chief justice, upon recommendation of

the Rules Committee of the superior court, shallappoint a committee of five members of the barof this state which shall be known as the ‘‘LegalSpecialization Screening Committee.’’ The RulesCommittee of the superior court shall designateone appointee as chair of the Legal SpecializationScreening Committee and another as vice chairto act in the absence or disability of the chair.

(b) When the committee is first selected, twoof its members shall be appointed for a term ofone year, two members for a term of two years,and one member for a term of three years, andthereafter all regular terms shall be three years.Terms shall commence on July 1. In the eventthat a vacancy arises in this position before theend of a term, the Chief Justice, upon recommen-dation of the Rules Committee of the superiorcourt, shall appoint a member of the bar of thisstate to fill the vacancy for the balance of the term.The Legal Specialization Screening Committeeshall act only with a concurrence of a majority of itsmembers, provided, however, that three membersshall constitute a quorum.

(c) The Legal Specialization Screening Com-mittee shall have the power and duty to:

(1) Receive applications from boards or otherentities for authority to certify lawyers practicingin this state as being specialists in a certain areaor areas of law.

(2) Investigate each applicant to determinewhether it meets the criteria set forth in Rule7.4A (a).

(3) Submit to the Rules Committee of the supe-rior court a written recommendation, with reasonstherefor, for approval or disapproval of each appli-cation, or for the termination of any prior approvalgranted by the Rules Committee.

(4) Adopt regulations and develop forms neces-sary to carry out its duties under this section. Theregulations and forms shall not become effectiveuntil first approved by the Rules Committee of thesuperior court.

(5) Consult with such persons deemed by thecommittee to be knowledgeable in the fields oflaw to assist it in carrying out its duties.

(P.B. 1978-1997, Rule 7.4B.)

Rule 7.4C. Application by Board or Entity toCertify Lawyers as SpecialistsAny board or entity seeking the approval of the

Rules Committee of the superior court for author-ity to certify lawyers practicing in this state asbeing specialists in a certain field or fields of lawas set forth in Rule 7.4A (e), shall file an original

RULES OF PROFESSIONAL CONDUCTRule 7.4C

and six copies of its application with the LegalSpecialization Screening Committee pursuant toRule 7.4B on form JD-ES-63. The applicationmaterials shall be filed in a format prescribed bythe Legal Specialization Screening Committee,which may require them to be filed electronically.


Rule 7.5. Firm Names and Letterheads(a) A lawyer shall not use a firm name, letter-

head or other professional designation that vio-lates Rule 7.1. A trade name may be used by alawyer in private practice if it does not imply aconnection with a government agency or with apublic or charitable legal services organizationand is not otherwise in violation of Rule 7.1.

(b) A law firm with offices in more than onejurisdiction may use the same name in each juris-diction, but identification of the lawyers in an officeof the firm shall indicate the jurisdictional limita-tions on those not licensed to practice in the juris-diction where the office is located.

(c) The name of a lawyer holding a public officeshall not be used in the name of a law firm, or incommunications on its behalf, during any substan-tial period in which the lawyer is not actively andregularly practicing with the firm.

(d) Lawyers may state or imply that they prac-tice in a partnership or other organization onlywhen that is the fact.

(P.B. 1978-1997, Rule 7.5.)COMMENTARY: A firm may be designated by the names

of all or some of its members, by the names of deceasedmembers where there has been a continuing succession inthe firm’s identity or by a trade name such as the ‘‘ABC LegalClinic.’’ Although the United States Supreme Court has heldthat legislation may prohibit the use of trade names in profes-sional practice, use of such names in law practice is acceptableso long as it is not misleading. If a private firm uses a tradename that includes a geographical name such as ‘‘SpringfieldLegal Clinic,’’ an express disclaimer that it is a public legalaid agency may be required to avoid a misleading implication.It may be observed that any firm name including the name ofa deceased partner is, strictly speaking, a trade name. Theuse of such names to designate law firms has proven a usefulmeans of identification. However, it is misleading to use thename of a lawyer not associated with the firm or a predecessorof the firm.

With regard to subsection (d), lawyers sharing office facili-ties, but who are not in fact partners, may not denominatethemselves as, for example, ‘‘Smith and Jones,’’ for that titlesuggests partnership in the practice of law.

MAINTAINING THE INTEGRITY OFTHE PROFESSION

Rule 8.1. Bar Admission and DisciplinaryMattersAn applicant for admission to the bar, or a law-

yer in connection with a bar admission application

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or in connection with a disciplinary matter, shallnot:

(1) Knowingly make a false statement of mate-rial fact; or

(2) Fail to disclose a fact necessary to correcta misapprehension known by the person to havearisen in the matter, or knowingly fail to respondto a lawful demand for information from an admis-sions or disciplinary authority, except that this ruledoes not require disclosure of information other-wise protected by Rule 1.6.

(P.B. 1978-1997, Rule 8.1.)COMMENTARY: The duty imposed by this Rule extends

to persons seeking admission to the bar as well as to lawyers.Hence, if a person makes a material false statement in connec-tion with an application for admission, it may be the basis forsubsequent disciplinary action if the person is admitted, andin any event may be relevant in a subsequent admission appli-cation. The duty imposed by this Rule applies to a lawyer’sown admission or discipline as well as that of others. Thus, itis a separate professional offense for a lawyer to knowinglymake a misrepresentation or omission in connection with adisciplinary investigation of the lawyer’s own conduct. Subdivi-sion (2) of this Rule also requires correction of any prior mis-statement in the matter that the applicant or lawyer may havemade and affirmative clarification of any misunderstanding onthe part of the admissions or disciplinary authority of whichthe person involved becomes aware.

This Rule is subject to the provisions of the fifth amendmentto the United States Constitution and corresponding provisionsof state constitutions. A person relying on such a provision inresponse to a question, however, should do so openly andnot use the right of nondisclosure as a justification for failureto comply with this Rule.

A lawyer representing an applicant for admission to thebar, or representing a lawyer who is the subject of a disciplinaryinquiry or proceeding, is governed by the rules applicable tothe client-lawyer relationship, including Rule 1.6 and, in somecases, Rule 3.3.

Rule 8.2. Judicial and Legal Officials(a) A lawyer shall not make a statement that

the lawyer knows to be false or with reckless disre-gard as to its truth or falsity concerning the qualifi-cations or integrity of a judge, adjudicatory officeror public legal officer, or of a candidate for electionor appointment to judicial or legal office.

(b) A lawyer who is a candidate for judicial officeshall comply with the applicable provisions of theCode of Judicial Conduct.

(P.B. 1978-1997, Rule 8.2.)COMMENTARY: Assessments by lawyers are relied on in

evaluating the professional or personal fitness of personsbeing considered for election or appointment to judicial officeand to public legal offices, such as attorney general, prosecut-ing attorney and public defender. Expressing honest and can-did opinions on such matters contributes to improving theadministration of justice. Conversely, false statements by alawyer can unfairly undermine public confidence in the admin-istration of justice.

When a lawyer seeks judicial office, the lawyer should bebound by applicable limitations on political activity.


To maintain the fair and independent administration of jus-tice, lawyers are encouraged to continue traditional efforts todefend judges and courts unjustly criticized.

Rule 8.3. Reporting Professional Mis-conduct(a) A lawyer who knows that another lawyer has

committed a violation of the Rules of ProfessionalConduct that raises a substantial question as tothat lawyer’s honesty, trustworthiness or fitnessas a lawyer in other respects, shall inform theappropriate professional authority. A lawyer maynot condition settlement of a civil dispute involvingallegations of improprieties on the part of a lawyeron an agreement that the subject misconduct notbe reported to the appropriate disciplinaryauthority.

(b) A lawyer who knows that a judge has com-mitted a violation of applicable rules of judicialconduct that raises a substantial question as tothe judge’s fitness for office shall inform the appro-priate authority.

(c) This Rule does not require disclosure ofinformation otherwise protected by Rule 1.6 orGeneral Statutes § 51-81d (f) or obtained whileserving as a member of a bar association ethicscommittee or the Judicial Branch Committee onJudicial Ethics.

(P.B. 1978-1997, Rule 8.3.) (Amended June 26, 2006, totake effect Jan. 1, 2007; amended June 30, 2008, to takeeffect Aug. 1, 2008.)

COMMENTARY: Self-regulation of the legal professionrequires that members of the profession initiate a disciplinaryinvestigation when they know of a violation of the Rules ofProfessional Conduct. Lawyers have a similar obligation withrespect to judicial misconduct. An apparently isolated violationmay indicate a pattern of misconduct that only a disciplinaryinvestigation can uncover. Reporting a violation is especiallyimportant where the victim is unlikely to discover the offense.

A report about misconduct is not required where it wouldinvolve violation of Rule 1.6. However, a lawyer should encour-age a client to consent to disclosure where prosecution wouldnot substantially prejudice the client’s interests.

If a lawyer were obliged to report every violation of theRules, the failure to report any violation would itself be aprofessional offense. Such a requirement existed in manyjurisdictions but proved to be unenforceable. This Rule limitsthe reporting obligation to those offenses that a self-regulatingprofession must vigorously endeavor to prevent. A measureof judgment is, therefore, required in complying with the provi-sions of this Rule. The term ‘‘substantial’’ refers to the seri-ousness of the possible offense and not the quantum ofevidence of which the lawyer is aware. A report should bemade to the bar disciplinary agency unless some other agency,such as a peer review agency, is more appropriate in thecircumstances. Similar considerations apply to the reportingof judicial misconduct.

The duty to report professional misconduct does not applyto a lawyer retained to represent a lawyer whose professionalconduct is in question. Such a situation is governed by theRules applicable to the client-lawyer relationship.

Information about a lawyer’s or judge’s misconduct or fit-ness may be received by a lawyer in the course of that lawyer’s

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participation in an approved lawyers or judges assistance pro-gram. In that circumstance, providing for an exception to thereporting requirements of subsections (a) and (b) of this Ruleencourages lawyers and judges to seek treatment throughsuch a program. Conversely, without such an exception, law-yers and judges may hesitate to seek assistance from theseprograms, which may then result in additional harm to theirprofessional careers and additional injury to the welfare ofclients and the public.

Rule 8.4. MisconductIt is professional misconduct for a lawyer to:(1) Violate or attempt to violate the Rules of

Professional Conduct, knowingly assist or induceanother to do so, or do so through the acts ofanother;

(2) Commit a criminal act that reflects adverselyon the lawyer’s honesty, trustworthiness or fitnessas a lawyer in other respects;

(3) Engage in conduct involving dishonesty,fraud, deceit or misrepresentation;

(4) Engage in conduct that is prejudicial to theadministration of justice;

(5) State or imply an ability to influence improp-erly a government agency or official or to achieveresults by means that violate the Rules of Profes-sional Conduct or other law; or

(6) Knowingly assist a judge or judicial officerin conduct that is a violation of applicable rulesof judicial conduct or other law.


COMMENTARY: Lawyers are subject to discipline whenthey violate or attempt to violate the Rules of ProfessionalConduct, knowingly assist or induce another to do so or doso through the acts of another, as when they request or instructan agent to do so on the lawyer’s behalf. Subdivision (1),however, does not prohibit a lawyer from advising a clientconcerning action the client is legally entitled to take.

Many kinds of illegal conduct reflect adversely on fitnessto practice law, such as offenses involving fraud and theoffense of wilful failure to file an income tax return. However,some kinds of offenses carry no such implication. Traditionally,the distinction was drawn in terms of offenses involving ‘‘moralturpitude.’’ That concept can be construed to include offensesconcerning some matters of personal morality, such as adul-tery and comparable offenses, which have no specific connec-tion to fitness for the practice of law. Although a lawyer ispersonally answerable to the entire criminal law, a lawyershould be professionally answerable only for offenses thatindicate lack of those characteristics relevant to law practice.Offenses involving violence, dishonesty, breach of trust, orserious interference with the administration of justice are inthat category. A pattern of repeated offenses, even ones ofminor significance when considered separately, can indicateindifference to legal obligation. Counseling or assisting a clientwith regard to conduct expressly permitted under Connecticutlaw is not conduct that reflects adversely on a lawyer’s fitnessnotwithstanding any conflict with federal or other law. Nothingin this commentary shall be construed to provide a defenseto a presentment filed pursuant to Practice Book Section 2-41.

A lawyer who, in the course of representing a client, know-ingly manifests by words or conduct, bias or prejudice based


upon race, sex, religion, national origin, disability, age, sexualorientation or socioeconomic status, violates subdivision (4)when such actions are prejudicial to the administration of jus-tice. Legitimate advocacy respecting the foregoing factorsdoes not violate subdivision (4).

A lawyer may refuse to comply with an obligation imposedby law upon a good faith belief that no valid obligation exists.The provisions of Rule 1.2 (d) concerning a good faith chal-lenge to the validity, scope, meaning or application of the lawapply to challenges of legal regulation of the practice of law.

Lawyers holding public office assume legal responsibilitiesgoing beyond those of other citizens. A lawyer’s abuse ofpublic office can suggest an inability to fulfill the professionalrole of a lawyer. The same is true of abuse of positions ofprivate trust, such as trustee, executor, administrator, guard-ian, agent and officer, director or manager of a corporation orother organization.

Rule 8.5. Disciplinary Authority; Choice ofLaw(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) Disciplinary Authority. A lawyer admitted to

practice in this jurisdiction is subject to the disci-plinary authority of this jurisdiction, regardless ofwhere the lawyer’s conduct occurs. A lawyer notadmitted in this jurisdiction is also subject to thedisciplinary authority of this jurisdiction if the law-yer provides or offers to provide any legal servicesin this jurisdiction. A lawyer may be subject to thedisciplinary authority of both this jurisdiction andanother jurisdiction for the same conduct.

(b) Choice of Law. In any exercise of the disci-plinary authority of this jurisdiction, the rules ofprofessional conduct to be applied shall be asfollows:

(1) For conduct in connection with a matterpending before a tribunal, the rules of the jurisdic-tion in which the tribunal sits, unless the rules ofthe tribunal provide otherwise; and

(2) For any other conduct, the rules of the juris-diction in which the lawyer’s conduct occurred, or,if the predominant effect of the conduct is in adifferent jurisdiction, the rules of that jurisdictionshall be applied to the conduct. A lawyer shall notbe subject to discipline if the lawyer’s conductconforms to the rules of a jurisdiction in whichthe lawyer reasonably believes the predominanteffect of the lawyer’s conduct will occur.


COMMENTARY: Disciplinary Authority. It is longstandinglaw that the conduct of a lawyer admitted to practice in thisjurisdiction is subject to the disciplinary authority of this jurisdic-tion. Extension of the disciplinary authority of this jurisdictionto other lawyers who provide or offer to provide legal servicesin this jurisdiction is for the protection of the citizens of thisjurisdiction. Reciprocal enforcement of a jurisdiction’s disciplin-ary findings and sanctions will further advance the purposesof this Rule. See Rules 6 and 22, ABA Model Rules for LawyerDisciplinary Enforcement. A lawyer who is admitted pursuant

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to Practice Book Sections 2-16 or 2-17 et seq. is subject tothe disciplinary authority of this jurisdiction under Rule 8.5 (a)and appoints an official to be designated by this court to receiveservice of process in this jurisdiction. The fact that the lawyeris subject to the disciplinary authority of this jurisdiction maybe a factor in determining whether personal jurisdiction maybe asserted over the lawyer for civil matters.

Choice of Law. A lawyer may be potentially subject tomore than one set of rules of professional conduct whichimpose different obligations. The lawyer may be licensed topractice in more than one jurisdiction with differing rules, ormay be admitted to practice before a particular court with rulesthat differ from those of the jurisdiction or jurisdictions in whichthe lawyer is licensed to practice. Additionally, the lawyer’sconduct may involve significant contacts with more thanone jurisdiction.

Subsection (b) seeks to resolve such potential conflicts. Itspremise is that minimizing conflicts between rules, as well asuncertainty about which rules are applicable, is in the bestinterest of both clients and the profession (as well as the bodieshaving authority to regulate the profession). Accordingly, ittakes the approach of (i) providing that any particular conductof a lawyer shall be subject to only one set of rules of profes-sional conduct, and (ii) making the determination of which setof rules applies to particular conduct as straightforward aspossible, consistent with recognition of appropriate regulatoryinterests of relevant jurisdictions.

Subsection (b) (1) provides that, as to a lawyer’s conductrelating to a proceeding pending before a tribunal, the lawyershall be subject only to the rules of the jurisdiction in whichthe tribunal sits unless the rules of the tribunal, including itschoice of law rule, provide otherwise. As to all other conduct,including conduct in anticipation of a proceeding not yet pend-ing before a tribunal, subsection (b) (2) provides that a lawyershall be subject to the rules of the jurisdiction in which thelawyer’s conduct occurred, or, if the predominant effect of theconduct is in another jurisdiction, the rules of that jurisdictionshall be applied to the conduct. So long as the lawyer’s conductconforms to the rules of a jurisdiction in which the lawyerreasonably believes the predominant effect will occur, the law-yer shall not be subject to discipline under this Rule.

When a lawyer’s conduct involves significant contacts withmore than one jurisdiction, it may not be clear whether thepredominant effect of the lawyer’s conduct will occur in ajurisdiction other than the one in which the conduct occurred.So long as the lawyer’s conduct conforms to the rules of ajurisdiction in which the lawyer reasonably believes the pre-dominant effect will occur, the lawyer shall not be subject todiscipline under this Rule. With respect to conflicts of interest,in determining a lawyer’s reasonable belief under subsection(b) (2), a written agreement between the lawyer and clientthat reasonably specifies a particular jurisdiction as within thescope of that paragraph may be considered if the agreementwas obtained with the client’s informed consent confirmed inthe agreement.

If two admitting jurisdictions were to proceed against alawyer for the same conduct, they should, applying this Rule,identify the same governing ethics rules. They should take allappropriate steps to see that they do apply the same rule tothe same conduct, and in all events should avoid proceedingagainst a lawyer on the basis of two inconsistent rules.

The choice of law provision applies to lawyers engaged intransnational practice, unless international law, treaties orother agreements between competent regulatory authoritiesin the affected jurisdictions provide otherwise.



Preamble

Scope

Terminology

Application

Canons

Rules

Comments

For the Code of Judicial Conduct as it read priorto 2011, see editions of the Practice Book priorto the 2011 edition.

AMENDMENT NOTE: This is a major rewrite of the Codeof Judicial Conduct, adopted by the judges of the superiorcourt on June 21, 2010, the judges of the appellate court onJuly 15, 2010, and the justices of the supreme court on July1, 2010, to take effect January 1, 2011. It is based on theModel Code adopted by the ABA in 2007. Our prior Code,which was adopted with an effective date of October 1, 1974,was based on the Model Code adopted by the ABA in 1972.In the early 1990s, the ABA adopted a revised Model Code;however, the major changes in the Model Code were notadopted by the judges of Connecticut.

PREAMBLE

(1) An independent, fair and impartial judiciaryis indispensable to our system of justice. TheUnited States legal system is based on the princi-ple that an independent, impartial, and competentjudiciary, composed of men and women of integ-rity, will interpret and apply the law that governsour society. Thus, the judiciary plays a central rolein preserving the principles of justice and the ruleof law. Inherent in all the Rules contained in thisCode are the precepts that judges, individuallyand collectively, must respect and honor the judi-cial office as a public trust and strive to maintainand enhance confidence in the legal system.

(2) Judges should maintain the dignity of judicialoffice at all times and avoid both impropriety andthe appearance of impropriety in their professionaland personal lives. They should aspire at all timesto conduct that ensures the greatest possible pub-lic confidence in their independence, impartiality,integrity, and competence.

(3) The Code of Judicial Conduct establishesstandards for the ethical conduct of judges in mat-ters affecting the performance of their judicialduties and the fair and efficient operation of thecourts or other tribunals on which they serve.Although it is not intended as an exhaustive guidefor the conduct of judges, who must be guided in

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their professional and personal lives by generalethical standards as well as by the law, whichincludes this Code, it is intended to assist judgesin maintaining the highest standards of profes-sional and personal conduct, as it affects theirjudicial work.

SCOPE

(1) The Code of Judicial Conduct consists offour Canons, numbered Rules1 under eachCanon, and Comments that generally follow andexplain each Rule. Scope and Terminology sec-tions provide additional guidance in interpretingand applying the Code. An Application sectionestablishes when the various Rules apply to ajudge.

(2) The Canons state overarching principles ofjudicial ethics that all judges must observe.Although a judge may be disciplined hereunderonly for violating a Rule, the Canons provideimportant guidance in interpreting the Rules.Where a Rule contains a permissive term, suchas ‘‘may’’ or ‘‘should,’’ the conduct beingaddressed is committed to the sound personaland professional discretion of the judge in ques-tion, and no disciplinary action shall be taken foraction or inaction within the bounds of such dis-cretion.

(3) The Comments that accompany the Rulesserve two functions. First, they provide guidanceregarding the purpose, meaning, and properapplication of the Rules. They contain explanatorymaterial and, in some instances, provide exam-ples of permitted or prohibited conduct. Com-ments neither add to nor subtract from the bindingobligations set forth in the Rules. Therefore, whena Comment contains the term ‘‘must,’’ it does notmean that the Comment itself is binding orenforceable; it signifies that the Rule in question,

1 References herein to numbered Rules are to the Rules ofthis Code, unless stated otherwise.


properly understood, is obligatory as to the con-duct at issue.

(4) Second, the Comments identify aspirationalgoals for judges. To implement fully the principlesof this Code as articulated in the Canons, judgesshould strive to exceed the standards of conductestablished by the Rules, holding themselves tothe highest ethical standards and seeking toachieve those aspirational goals, thereby enhanc-ing the dignity of the judicial office.

(5) The Rules of the Code of Judicial Conductare rules of reason that should be applied consis-tently with constitutional requirements, statutes,other court rules, and decisional law, and with dueregard for all relevant circumstances. The Rulesshould not be interpreted in such a way as toimpinge on the essential independence of judgesin making judicial decisions.

(6) Although these Rules are binding andenforceable, it is not contemplated that everytransgression will necessarily result in the imposi-tion of discipline. Whether discipline should beimposed should be determined through a reason-able and reasoned application of the Rules andshould depend on factors such as the seriousnessof the transgression, the facts and circumstancesthat existed at the time of the transgression, theextent of any pattern of improper activity, whetherthere have been previous violations, and the effectof the improper activity on the judicial system orother persons.

(7) The Code is not designed or intended asa basis for civil or criminal liability. Neither is itintended to be the basis for litigants to seek collat-eral remedies against each other or to obtain tacti-cal advantages in proceedings before a court.

TERMINOLOGY

As used in this Code, the following definitionsshall apply:

‘‘Appropriate authority’’ means the authorityhaving responsibility for taking corrective actionin connection with the conduct or violation to bereported under Rules 2.14 and 2.15.

‘‘Confidential’’ means information that is notavailable to the public. Confidential informationmay include, but is not limited to, information thatis sealed by statute, rule or court order or lodgedwith the court or communicated in camera. SeeRule 3.5.

‘‘Contribution’’ means both financial and in-kindcontributions, such as goods, professional or vol-unteer services, advertising, and other types ofassistance, which, if obtained by the recipientotherwise, would require a financial expenditure.See Rules 2.11, 3.7, and 4.1.

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‘‘De minimis,’’ in the context of interests per-taining to disqualification of a judge, means aninsignificant interest that could not raise a reason-able question regarding the judge’s impartiality.See Rule 2.11.

‘‘Domestic partner’’ means a person with whomanother person maintains a household and anintimate relationship, other than a spouse. SeeRules 2.11, 2.13, 3.13, and 3.14.

‘‘Economic interest’’ means ownership of morethan a de minimis legal or equitable interest.Except for situations in which the judge partici-pates in the management of such a legal or equita-ble interest, or the interest could be substantiallyaffected by the outcome of a proceeding beforea judge, it does not include:

(1) an interest in the individual holdings withina mutual or common investment fund;

(2) an interest in securities held by an educa-tional, religious, charitable, fraternal, or civic orga-nization in which the judge or the judge’s spouse,domestic partner, parent, or child serves as adirector, an officer, an advisor, or other participant;

(3) a deposit in a financial institution or depositsor proprietary interests the judge may maintain asa member of a mutual savings association orcredit union, or similar proprietary interests; or

(4) an interest in the issuer of government secu-rities held by the judge. See Rules 1.3, 2.11,and 3.2.

‘‘Fiduciary’’ includes relationships such asexecutor, administrator, trustee, or guardian. SeeRules 2.11, 3.2, and 3.8.

‘‘Impartial,’’ ‘‘impartiality,’’ and ‘‘impartially’’mean absence of bias or prejudice in favor of, oragainst, particular parties or classes of parties, aswell as maintenance of an open mind in consider-ing issues that may come before a judge. SeeCanons 1, 2, and 4, and Rules 1.2, 2.2, 2.10,2.11, 2.13, 3.1, 3.12, 3.13, 4.1, and 4.2.

‘‘Impending matter’’ is any matter a judge knowsis imminent or reasonably expects to be com-menced in the near future. See Rules 2.9, 2.10,3.13, and 4.1.

‘‘Impropriety’’ includes conduct that violates thelaw or provisions of this Code and conduct thatundermines a judge’s independence, integrity, orimpartiality. See Canon 1 and Rule 1.2.

‘‘Independence’’ means a judge’s freedom frominfluence or controls other than those establishedby law. See Canons 1 and 4, and Rules 1.2, 3.1,3.12, 3.13, and 4.2.

‘‘Integrity’’ means probity, fairness, honesty,uprightness, and soundness of character. SeeCanons 1 and 4 and Rules 1.2, 3.1, 3.12, 3.13,and 4.2.


‘‘Knowingly,’’ ‘‘knowledge,’’ ‘‘known,’’ and‘‘knows’’ mean actual knowledge of the fact inquestion. A person’s knowledge may be inferredfrom circumstances. See Rules 2.11, 2.15, 2.16,3.2, 3.6, and 4.1.

‘‘Law’’ encompasses court rules as well as stat-utes, constitutional provisions, decisional law, andthis Code. See Rules 1.1, 2.1, 2.2, 2.6, 2.7, 2.9,3.1, 3.2, 3.4, 3.7, 3.9, 3.12, 3.13, 3.14, 3.15, 4.1,and 4.3.

‘‘Member of the judge’s family’’ means any rela-tive of a judge related by consanguinity within thethird degree as determined by the common law,a spouse or domestic partner or an individualrelated to a spouse or domestic partner withinthe third degree as so determined, including anindividual in an adoptive relationship within thethird degree. See Rules 3.5, 3.7, 3.8, 3.10, and3.11.

‘‘Member of a judge’s family residing in thejudge’s household’’ means any member of thejudge’s family or other person treated by a judgeas a member of the judge’s family, who resides inthe judge’s household. See Rules 2.11 and 3.13.

‘‘Pending matter’’ is a matter that has com-menced. A matter continues to be pendingthrough any appellate process until final disposi-tion. See Rules 2.9, 2.10, 3.13, and 4.1.

‘‘Personally solicit’’ means a direct requestmade by a judge for financial support or in-kindservices, whether made by letter, telephone, orany other means of communication. See Rule 4.1.

‘‘Political organization’’ means a political partyor other group sponsored by or affiliated with apolitical party or candidate, the principal purposeof which is to further the election or appointmentof candidates for political office. See Rules 4.1and 4.2.

‘‘Public election’’ includes primary and generalelections, partisan elections and nonpartisanelections. See Rule 4.3.

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‘‘Spouse’’ means a person to whom one islegally married or joined in a civil union. See Rules2.11, 3.13, and 3.14.

‘‘Third degree of relationship’’ includes the fol-lowing persons: great-grandparent, grandparent,parent, uncle, aunt, brother, sister, child, grand-child, great-grandchild, nephew, and niece. SeeRule 2.11.

APPLICATIONThe Application section establishes when and

to whom the various Rules apply.

I. APPLICABILITY OF THIS CODE(a) Except as provided in subsection (b), the

provisions of the Code apply to all judges of thesuperior court, senior judges, judge trial referees,state referees, family support magistratesappointed pursuant to General Statutes § 46b-231 (f), and family support magistrate referees.

(b) State referees and family support magistratereferees are not required to comply with Rules3.4 and 3.8.

II. TIME FOR COMPLIANCEA person to whom this Code becomes applica-

ble shall comply immediately with its provisions,except that those judges to whom Rules 3.8(Appointments to Fiduciary Positions) and 3.11(Financial, Business, or Remunerative Activities)apply shall comply with those Rules as soon asreasonably possible, but in no event later thanone year after the Code becomes applicable tothe judge.

COMMENT: If serving as a fiduciary when selected asjudge, a new judge may, notwithstanding the prohibitions inRule 3.8, continue to serve as fiduciary, but only for that periodof time necessary to avoid serious adverse consequences tothe beneficiaries of the fiduciary relationship and in no eventlonger than one year. Similarly, if engaged at the time ofjudicial selection in a business activity, a new judge may,notwithstanding the prohibitions in Rule 3.11, continue in thatactivity for a reasonable period but in no event longer thanone year.

CODE OF JUDICIAL CONDUCTRule 1.1

CODE OF JUDICIAL CONDUCTCanon Canon1. A judge shall uphold and promote the independence,

integrity, and impartiality of the judiciary, and shallavoid impropriety and the appearance of impropriety.

Rule1.1. Compliance with the Law1.2. Promoting Confidence in the Judiciary1.3. Avoiding Abuse of the Prestige of Judicial Office

Canon2. A judge shall perform the duties of judicial office impar-

tially, competently, and diligently.

Rule2.1. Giving Precedence to the Duties of Judicial Office2.2. Impartiality and Fairness2.3. Bias, Prejudice, and Harassment2.4. External Influences on Judicial Conduct or Judgment2.5. Competence, Diligence, and Cooperation2.6. Ensuring the Right to Be Heard2.7. Responsibility to Decide2.8. Decorum, Demeanor, and Communication with Jurors2.9. Ex Parte Communications2.10. Judicial Statements on Pending and Impending Cases2.11. Disqualification2.12. Supervisory Duties2.13. Administrative Appointments2.14. Disability and Impairment2.15. Responding to Judicial and Lawyer Misconduct2.16. Cooperation with Disciplinary Authorities

Canon 1. A Judge Shall Uphold and Pro-mote the Independence, Integrity, andImpartiality of the Judiciary, and Shall AvoidImpropriety and the Appearance of Impro-priety.

Rule 1.1. Compliance with the LawA judge shall comply with the law.(Effective Jan. 1, 2011.)COMMENT: This rule deals with the judge’s personal con-

duct. A judge’s professional conduct in enforcing the law iscovered by Rule 2.2. When applying and interpreting the law,a judge sometimes may make good faith errors of fact or law.Errors of this kind do not violate this Rule.

Rule 1.2. Promoting Confidence in theJudiciaryA judge shall act at all times in a manner that

promotes public confidence in the independence,integrity, and impartiality of the judiciary and shall

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3. A judge shall conduct the judge’s personal and extrajudi-cial activities to minimize the risk of conflict with theobligations of judicial office.

Rule3.1. Extrajudicial Activities in General3.2. Appearances before Governmental Bodies and Consul-

tation with Government Officials3.3. Testifying as a Character Witness3.4. Appointments to Governmental Positions3.5. Use of Confidential Information3.6. Affiliation with Discriminatory Organizations3.7. Participation in Educational, Religious, Charitable, Fra-

ternal, or Civic Organizations and Activities3.8. Appointments to Fiduciary Positions3.9. Service as Arbitrator or Mediator3.10. Practice of Law3.11. Financial, Business, or Remunerative Activities3.12. Compensation for Extrajudicial Activities3.13. Acceptance and Reporting of Gifts, Loans, Bequests,

Benefits, or Other Things of Value3.14. Reimbursement of Expenses and Waivers of Fees or

Charges3.15. Reporting Requirements

Canon4. A judge shall not engage in political or campaign activity

that is inconsistent with the independence, integrity,or impartiality of the judiciary.

Rule4.1. Political Activities of Judges in General4.2. Activities of Judges as Candidates for Reappointment or

Elevation to Higher Judicial Office4.3. Activities of Judges Who Become Candidates for Pub-

lic Office

avoid impropriety and the appearance of impropri-ety. The test for appearance of impropriety iswhether the conduct would create in reasonableminds a perception that the judge violated thisCode or engaged in other conduct that reflectsadversely on the judge’s honesty, impartiality,temperament, or fitness to serve as a judge.

(Effective Jan. 1, 2011.)COMMENT: (1) Public confidence in the judiciary is eroded

by improper conduct and conduct that creates the appearanceof impropriety as defined in this Rule. This principle appliesto both the professional and personal conduct of a judge.

(2) A judge should expect to be the subject of public scrutinythat might be viewed as burdensome if applied to other citizensand must accept the restrictions imposed by the Code.

(3) Conduct that compromises the independence, integrity,and impartiality of a judge undermines public confidence inthe judiciary. Because it is not practicable to list all such con-duct, the Rule is necessarily cast in general terms.

(4) Judges may initiate or participate in activities that pro-mote ethical conduct among judges and lawyers, support pro-fessionalism within the judiciary and the legal profession, andpromote access to justice for all.

CODE OF JUDICIAL CONDUCT Rule 2.3

(5) A judge may initiate or participate in community activitiesfor the purpose of promoting public understanding of and confi-dence in the administration of justice. In conducting such activi-ties, the judge must act in a manner consistent with this Code.

Rule 1.3. Avoiding Abuse of the Prestige ofJudicial OfficeA judge shall not use or attempt to use the

prestige of judicial office to advance the personalor economic interests of the judge or others orallow others to do so.

(Effective Jan. 1, 2011.)COMMENT: (1) It is improper for a judge to use or attempt

to use his or her position to gain personal advantage or defer-ential treatment of any kind. For example, it would be improperfor a judge to allude to his or her judicial status to gain favorabletreatment in encounters with traffic officials. Similarly, a judgemust not use judicial letterhead to gain an advantage in con-ducting his or her personal business.

(2) A judge may provide a reference or recommendationfor an individual based on the judge’s personal knowledge.The judge may use official letterhead if the judge indicatesthat the reference is personal and if the use of the letterheadwould not reasonably be perceived as an attempt to exertpressure by reason of the judicial office.

(3) Judges may participate in the process of judicial selec-tion by cooperating with appointing authorities and screeningcommittees and by responding to inquiries from such entitiesconcerning the professional qualifications of a person beingconsidered for judicial office.

(4) Special considerations arise when judges write or con-tribute to publications of for-profit entities, whether relatedor unrelated to the law. A judge should not permit anyoneassociated with the publication of such materials to exploit thejudge’s office in a manner that violates this Code or otherapplicable law. In contracts for publication of a judge’s writing,the judge should retain sufficient control over the advertisingto avoid such exploitation.

Canon 2. A Judge Shall Perform the Dutiesof Judicial Office Impartially, Competently,and Diligently.

Rule 2.1. Giving Precedence to the Duties ofJudicial OfficeThe duties of judicial office, as prescribed by

law, shall take precedence over all of a judge’spersonal and extrajudicial activities.

(Effective Jan. 1, 2011.)COMMENT: (1) To ensure that judges are available to fulfill

their judicial duties, judges must conduct their personal andextrajudicial activities in such a way as to minimize the risk ofconflicts that would result in disqualification. A judge’s personalextrajudicial activities shall not be conducted in such a wayas to interfere unduly with the duties of judicial office. SeeCanon 3.

(2) Although it is not a duty of judicial office, judges areencouraged to initiate or participate in activities that promotepublic understanding of and confidence in the justice system.

Rule 2.2. Impartiality and FairnessA judge shall uphold and apply the law and shall

perform all duties of judicial office fairly and impar-tially.

(Effective Jan. 1, 2011.)

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COMMENT: (1) To ensure impartiality and fairness to allparties, a judge must be objective and open-minded.

(2) Although each judge comes to the bench with a uniquebackground and personal philosophy, a judge must interpretand apply the law without regard to whether the judge approvesor disapproves of the law in question.

(3) When applying and interpreting the law, a judge some-times may make good faith errors of fact or law. Errors of thiskind do not violate this Rule.

(4) It is not a violation of this Rule for a judge to makereasonable accommodations to ensure self-represented liti-gants the opportunity to have their matters fairly heard.

Rule 2.3. Bias, Prejudice, and Harassment(a) A judge shall perform the duties of judicial

office, including administrative duties, without biasor prejudice.

(b) A judge shall not, in the performance ofjudicial duties, by words or conduct, manifest biasor prejudice or engage in harassment including,but not limited to, bias, prejudice, or harassmentbased on race, sex, gender, religion, national ori-gin, ethnicity, disability, age, sexual orientation,marital status, socioeconomic status, or politicalaffiliation and shall not condone such conduct bycourt staff, court officials, or others subject to thejudge’s direction and control.

(c) A judge shall require lawyers in proceedingsbefore the court to refrain from manifesting biasor prejudice or engaging in harassment, basedon attributes including, but not limited to, race,sex, gender, religion, national origin, ethnicity, dis-ability, age, sexual orientation, marital status,socioeconomic status, or political affiliationagainst parties, witnesses, lawyers, or others.

(d) The restrictions of subsections (b) and (c)do not preclude judges or lawyers from makinglegitimate reference to the listed factors or similarfactors when they are relevant to an issue in a pro-ceeding.

(Effective Jan. 1, 2011.)COMMENT: (1) A judge who manifests bias or prejudice

in a proceeding impairs the fairness of the proceeding andbrings the judiciary into disrepute.

(2) Examples of manifestations of bias or prejudice include,but are not limited to, epithets; slurs; demeaning nicknames;negative stereotyping; attempted humor based on stereo-types; threatening, intimidating, or hostile acts; suggestionsof connections between race, ethnicity, or nationality and crimi-nality; and irrelevant references to personal characteristics.Even facial expressions and body language can convey toparties and lawyers in the proceeding, jurors, the media, andothers an appearance of bias or prejudice. A judge must avoidconduct that may reasonably be perceived as prejudiced orbiased.

(3) Harassment, as referred to in subsections (b) and (c),is verbal or physical conduct that denigrates or shows hostilityor aversion toward a person on bases such as race, sex,gender, religion, national origin, ethnicity, disability, age, sex-ual orientation, marital status, socioeconomic status, or politi-cal affiliation.


(4) Sexual harassment includes, but is not limited to, sexualadvances, requests for sexual favors, and other verbal orphysical conduct of a sexual nature that is unwelcome.

Rule 2.4. External Influences on JudicialConduct or Judgment(a) A judge shall not be swayed in the perfor-

mance of the judge’s judicial duties by publicclamor or fear of criticism.

(b) A judge shall not permit family, social, politi-cal, financial, or other interests or relationships toinfluence the judge’s judicial conduct or judgment.

(c) A judge shall not convey or permit others toconvey the impression that any person or organi-zation is in a position to influence the judge’s judi-cial conduct or judgment.

(Effective Jan. 1, 2011.)COMMENT: An independent judiciary requires that judges

decide cases according to the law and facts, without regardto whether particular laws or litigants are popular or unpopularwith the public, the media, government officials, or the judge’sfriends or family. The integrity of judicial decision making isundermined if it is based in whole or in part on inappropriateoutside influences.

Rule 2.5. Competence, Diligence, and Coop-eration(a) A judge shall perform judicial and adminis-

trative duties competently and diligently.(b) A judge shall cooperate with other judges

and court officials in the administration of courtbusiness.

(Effective Jan. 1, 2011.)COMMENT: (1) Competence in the performance of judicial

duties requires the legal knowledge, skill, thoroughness, andpreparation reasonably necessary to perform a judge’sresponsibilities of judicial office.

(2) A judge should seek the necessary docket time, courtstaff, expertise, and resources to discharge all adjudicativeand administrative responsibilities.

(3) Prompt disposition of the court’s business requires ajudge to devote adequate time to judicial duties, to be punctualin attending court and expeditious in determining mattersunder submission, and to take reasonable measures to ensurethat court officials, litigants, and their lawyers cooperate withthe judge to that end.

(4) In disposing of matters promptly and efficiently, a judgemust demonstrate due regard for the rights of parties to beheard and to have issues resolved without unnecessary costor delay. A judge should monitor and supervise cases in waysthat reduce or eliminate dilatory practices, avoidable delays,and unnecessary costs.

Rule 2.6. Ensuring the Right to Be Heard(a) A judge shall accord to every person who

has a legal interest in a proceeding, or that per-son’s lawyer, the right to be heard according tolaw.

(b) A judge may encourage parties to a pro-ceeding and their lawyers to settle matters in dis-pute but shall not act in a manner that coercesany party into settlement.


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COMMENT: (1) The right to be heard is an essential compo-nent of a fair and impartial system of justice. Substantive rightsof litigants can be protected only if procedures protecting theright to be heard are observed.

(2) The judge plays an important role in overseeing thesettlement of disputes but should be careful that efforts tofurther settlements do not undermine any party’s right to beheard according to law. The judge should keep in mind theeffect that the judge’s participation in settlement discussionsmay have, not only on the judge’s own views of the case, butalso on the perceptions of the lawyers and the parties if thecase remains with the judge after settlement efforts are unsuc-cessful. Among the factors that a judge should consider whendeciding on appropriate settlement practices for a case are: (a)whether the parties have requested or voluntarily consentedto a certain level of participation by the judge in settlementdiscussions, (b) whether the parties and their counsel arerelatively sophisticated in legal matters, (c) whether the casewill be tried by the judge or a jury, (d) whether the partiesparticipate with their counsel in settlement discussions, (e)whether any parties are unrepresented by counsel, and (f)whether the matter is civil or criminal.

(3) Judges must be mindful of the effect settlement discus-sions can have, not only on their objectivity and impartiality,but also on the appearance of their objectivity and impartiality.Despite a judge’s best efforts, there may be instances wheninformation obtained during settlement discussions could influ-ence a judge’s decision making during trial, and, in suchinstances, the judge should consider whether disqualificationmay be appropriate. See Rule 2.11 (a) (1).

Rule 2.7. Responsibility to DecideA judge shall hear and decide matters assigned

to the judge, except when disqualification isrequired by Rule 2.11 or other law.

(Effective Jan. 1, 2011.)COMMENT: Judges must be available to decide the matters

that come before the court. Although there are times whendisqualification is necessary to protect the rights of litigantsand preserve public confidence in the independence, integrity,and impartiality of the judiciary, judges must be available todecide matters that come before the courts. Unwarranted dis-qualification may bring public disfavor to the court and to thejudge personally. The dignity of the court, the judge’s respectfor fulfillment of judicial duties and a proper concern for theburdens that may be imposed on the judge’s colleaguesrequire that a judge not use disqualification to avoid casesthat present difficult, controversial, or unpopular issues.

Rule 2.8. Decorum, Demeanor, and Commu-nication with Jurors(a) A judge shall require order and decorum in

proceedings before the court.(b) A judge shall be patient, dignified, and cour-

teous to litigants, jurors, witnesses, lawyers, courtstaff, court officials, and others with whom thejudge deals in an official capacity and shall requiresimilar conduct of lawyers, court staff, court offi-cials, and others subject to the judge’s directionand control.

(c) Although a judge may thank jurors for theirwillingness to serve, a judge shall not commendor criticize jurors with respect to their verdict in a


case other than in an instruction, order or opinionin a proceeding, if appropriate.

(Effective Jan. 1, 2011.)COMMENT: (1) The duty to hear all proceedings with

patience and courtesy is not inconsistent with the duty imposedin Rule 2.5 to dispose promptly of the business of the court.Judges can be efficient and businesslike while being patientand deliberate.

(2) Commending or criticizing jurors for their verdict mayimply a judicial expectation in future cases and may impair ajuror’s ability to be fair and impartial in a subsequent case.

(3) A judge who is not otherwise prohibited by law fromdoing so may meet with jurors who choose to remain aftertrial but shall be careful to avoid discussion of the merits ofthe case.

(4) This rule does not purport to prevent a judge fromreturning a jury for further deliberations if its verdict is insuffi-cient in amount, inaccurate, inconsistent with the court’sinstructions or otherwise improper in form or substance.

Rule 2.9. Ex Parte Communications(a) A judge shall not initiate, permit, or consider

ex parte communications or consider other com-munications made to the judge outside the pres-ence of the parties or their lawyers, concerning apending or impending matter, except as follows:

(1) When circumstances require it, ex partecommunication for scheduling, administrative, oremergency purposes, which does not addresssubstantive matters, is permitted, provided:

(A) the judge reasonably believes that no partywill gain a procedural, substantive, or tacticaladvantage as a result of the ex parte communica-tion; and

(B) the judge makes provision promptly to notifyall other parties of the substance of the ex partecommunication and gives the parties an opportu-nity to respond.

(2) A judge may obtain the written advice of adisinterested expert on the law applicable to aproceeding before the judge, if the judge givesadvance notice to the parties of the person to beconsulted and the subject matter of the advice tobe solicited, and affords the parties a reasonableopportunity to object and to respond to the noticeand to the written advice received.

(3) A judge may consult with court staff andcourt officials whose functions are to aid the judgein carrying out the judge’s adjudicative responsi-bilities, or with other judges, provided the judgemakes reasonable efforts to avoid receiving fac-tual information that is not part of the record anddoes not abrogate the responsibility personally todecide the matter.

(4) A judge may, with the consent of the parties,confer separately with the parties and their law-yers in an effort to settle matters pending beforethe judge.

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(5) A judge may initiate, permit, or consider anyex parte communication when expressly author-ized by law to do so.

(b) If a judge inadvertently receives an unautho-rized ex parte communication bearing on the sub-stance of a matter, the judge shall make provisionpromptly to notify the parties of the substance ofthe communication and provide the parties withan opportunity to respond.

(c) A judge serving as a fact finder shall notinvestigate facts in a matter independently andshall consider only the evidence presented andany facts that may properly be judicially noticed.

(d) A judge shall make reasonable efforts,including providing appropriate supervision, toensure that this Rule is not violated by court staff,court officials, and others subject to the judge’sdirection and control.

(Effective Jan. 1, 2011.)COMMENT: (1) To the extent reasonably possible, all par-

ties or their lawyers shall be included in communications witha judge.

(2) Whenever the presence of a party or notice to a partyis required by this Rule, it is the party’s lawyer, or if the partyis unrepresented, the party, who is to be present or to whomnotice is to be given.

(3) The proscription against communications concerning aproceeding includes communications with lawyers, law teach-ers, and other persons who are not participants in the proceed-ing, except to the limited extent permitted by this Rule.

(4) A judge may initiate, permit, or consider ex parte commu-nications expressly authorized by law.

(5) A judge may consult with other judges on pending mat-ters but must avoid ex parte discussions of a case with judgeswho are disqualified from hearing the matter and with judgeswho have appellate jurisdiction over the matter.

(6) The prohibition against a judge investigating the factsin a matter extends to information available in all mediums,including electronic. Nothing in this Rule is intended to relievea judge of the independent duty to investigate allegations ofjuror misconduct. See State v. Santiago, 245 Conn. 301, 715A.2d 1 (1998).

(7) A judge may consult ethics advisory committees, outsidecounsel, or legal experts concerning the judge’s compliancewith this Code. Such consultations are not subject to therestrictions of subsection (a) (2).

Rule 2.10. Judicial Statements on Pendingand Impending Cases(a) A judge shall not make any public statement

that might reasonably be expected to affect theoutcome or to impair the fairness of a matter pend-ing or impending in any court or make any non-public statement that might substantially interferewith a fair trial or hearing.

(b) A judge shall not, in connection with cases,controversies, or issues that are likely to comebefore the court, make pledges, promises, or com-mitments that are inconsistent with the impartialperformance of the adjudicative duties of judi-cial office.


(c) A judge may consult with other judges orcourt staff, court officials, and others subject tothe judge’s direction and control whose functionis to aid the judge in carrying out the judge’s adju-dicative responsibilities. However, a judge shallrequire court staff, court officials, and others sub-ject to the judge’s direction and control to refrainfrom making statements that the judge would beprohibited from making by subsections (a) and (b).

(d) Notwithstanding the restrictions in subsec-tion (a), a judge may make public statements inthe course of official duties, may explain courtprocedures, and may comment on any proceed-ing in which the judge is a litigant in a personalcapacity.

(Effective Jan. 1, 2011.)COMMENT: (1) This Rule’s restrictions on judicial speech

are essential to the maintenance of the independence, integ-rity, and impartiality of the judiciary.

(2) This Rule does not prohibit a judge from commentingon proceedings in which the judge is a litigant in a personalcapacity. In cases in which the judge is a litigant in an officialcapacity, such as a writ of mandamus, the judge must notcomment publicly.

Rule 2.11. Disqualification(a) A judge shall disqualify himself or herself in

any proceeding in which the judge’s impartialitymight reasonably be questioned including, but notlimited to, the following circumstances:

(1) The judge has a personal bias or prejudiceconcerning a party or a party’s lawyer, or personalknowledge of facts that are in dispute in the pro-ceeding.

(2) The judge knows that the judge, the judge’sspouse or domestic partner, or a person withinthe third degree of relationship to either of them,or the spouse or domestic partner of such a per-son is:

(A) a party to the proceeding, or an officer, direc-tor, general partner, managing member, or trusteeof a party;

(B) acting as a lawyer in the proceeding;(C) a person who has more than a de minimis

interest that could be substantially affected by theproceeding; or

(D) likely to be a material witness in the pro-ceeding.

(3) The judge knows that he or she, individuallyor as a fiduciary, or the judge’s spouse, domesticpartner, parent, or child, or any other member ofthe judge’s family residing in the judge’s house-hold, has an economic interest in the subject mat-ter in controversy or in a party to the proceeding.

(4) The judge has made a public statement,other than in a court proceeding, judicial decision,or opinion that commits or appears to commit the

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judge to reach a particular result or rule in a partic-ular way in the proceeding or controversy.

(5) The judge:(A) served as a lawyer in the matter in contro-

versy or was associated with a lawyer who partici-pated substantially as a lawyer in the matterduring such association;

(B) served in governmental employment and insuch capacity participated personally and sub-stantially as a lawyer or public official concerningthe proceeding or has publicly expressed in suchcapacity an opinion concerning the merits of theparticular matter in controversy; or

(C) was a material witness concerning thematter.

(b) A judge shall keep informed about thejudge’s personal and fiduciary economic interestsand make a reasonable effort to keep informedabout the personal economic interests of thejudge’s spouse or domestic partner and minorchildren residing in the judge’s household.

(c) A judge subject to disqualification under thisRule, other than for bias or prejudice under sub-section (a) (1), may ask the parties and their law-yers to consider, outside the presence of the judgeand court personnel, whether to waive disqualifi-cation, provided that the judge shall disclose onthe record the basis of such disqualification. If,following the disclosure, the parties and lawyersagree, either in writing or on the record beforeanother judge, that the judge should not be dis-qualified, the judge may participate in the pro-ceeding.

(d) Notwithstanding the foregoing, a judge maycontribute to a client security fund maintainedunder the auspices of the court, and such contri-bution will not require that the judge disqualifyhimself or herself from service on such a clientsecurity fund committee or from participation in alawyer disciplinary proceeding or in any matterconcerning restitution or subrogation relating tosuch a client security fund.

(e) A judge is not automatically disqualified fromsitting on a proceeding merely because a lawyeror party to the proceeding has filed a lawsuitagainst the judge or filed a complaint against thejudge with the judicial review council. When thejudge becomes aware that such a lawsuit or com-plaint has been filed against him or her, the judgeshall, on the record, disclose that fact to the law-yers and parties to the proceeding before suchjudge and shall thereafter proceed in accordancewith Practice Book Section 1-22 (b).

(f) The fact that the judge was represented ordefended by the attorney general in a lawsuit thatarises out of the judge’s judicial duties shall not be


the sole basis for recusal by the judge in lawsuitswhere the attorney general appears.

(Effective Jan. 1, 2011.)COMMENT: (1) Under this Rule, a judge is disqualified

whenever the judge’s impartiality might reasonably be ques-tioned, regardless of whether any of the specific provisions ofsubsections (a) (1) through (5) apply. In many jurisdictions,the term ‘‘recusal’’ is used interchangeably with the term ‘‘dis-qualification.’’

(2) A judge’s obligation not to hear or decide matters inwhich disqualification is required applies regardless of whethera motion to disqualify is filed.

(3) The rule of necessity may override the rule of disqualifi-cation. For example, a judge might be required to participatein judicial review of a judicial salary statute. In matters thatrequire immediate action, the judge must disclose on therecord the basis for possible disqualification and make reason-able efforts to transfer the matter to another judge as soonas practicable.

(4) The fact that a lawyer in a proceeding is affiliated witha law firm with which a relative of the judge is affiliated does notitself disqualify the judge. If, however, the judge’s impartialitymight reasonably be questioned under subsection (a) or therelative is known by the judge to have an interest in the lawfirm that could be substantially affected by the proceedingunder subsection (a) (2) (C), the judge’s disqualification isrequired.

(5) The Rule does not prevent a judge from relying onpersonal knowledge of historical or procedural facts acquiredas a result of presiding over the proceeding itself.

(6) Subsection (d) is intended to make clear that the restric-tions imposed by Dacey v. Connecticut Bar Assn., 184 Conn.21, 441 A.2d 49 (1981), or any implications therefrom shouldnot be considered to apply to judges contributing to a clientsecurity fund under the auspices of the court.

AMENDMENT NOTE: Comment (7) to Rule 2.11 wasadopted by the judges of the appellate court on July 15, 2010,and the justices of the supreme court on July 1, 2010. It wasnot, however, adopted by the judges of the superior court.

(7) A justice of the supreme court or a judge of the appellatecourt is not disqualified from sitting on a proceeding merelybecause he or she previously practiced law with the law firmor attorney who filed an amicus brief in the matter, or thejustice’s or judge’s spouse, domestic partner, parent, or child,or any other member of the justice’s or judge’s family residingin his or her household is practicing or has practiced law withsuch law firm or attorney.

Rule 2.12. Supervisory Duties(a) A judge shall take reasonable measures to

ensure that court staff, court officials, and otherssubject to the judge’s direction and control act ina manner consistent with the judge’s obligationsunder this Code.

(b) A judge with supervisory authority for theperformance of other judges shall take reasonablemeasures to ensure that those judges properlydischarge their judicial responsibilities, includingthe prompt disposition of matters before them.

(Effective Jan. 1, 2011.)COMMENT: (1) A judge is responsible for his or her own

conduct and for the conduct of others, such as staff, whenthose persons are acting at the judge’s direction or control. Ajudge may not direct court personnel to engage in conduct on

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the judge’s behalf or as the judge’s representative when suchconduct would violate the Code if undertaken by the judge.

(2) Public confidence in the judicial system depends ontimely justice. To promote the efficient administration of justice,a judge with supervisory authority must take the steps neededto ensure that judges under his or her supervision administertheir workloads promptly.

Rule 2.13. Administrative Appointments(a) In making or facilitating administrative

appointments, a judge:(1) shall act impartially and on the basis of

merit; and(2) shall avoid nepotism, favoritism, and unnec-

essary appointments.(b) A judge shall not approve compensation of

appointees beyond the fair value of servicesrendered.

(Effective Jan. 1, 2011.)COMMENT: (1) Appointees of a judge include, but are

not limited to, assigned counsel, officials such as referees,commissioners, special masters, receivers, and guardians,and personnel such as clerks, secretaries, and judicial mar-shals. Consent by the parties to an appointment or an awardof compensation does not relieve the judge of the obligationprescribed by subsection (a).

(2) Unless otherwise defined by law, nepotism is theappointment or hiring of any relative within the third degreeof relationship of either the judge or the judge’s spouse ordomestic partner, or the spouse or domestic partner ofsuch relative.

Rule 2.14. Disability and ImpairmentA judge having a reasonable belief that the per-

formance of a lawyer or another judge is impairedby drugs or alcohol or by a mental, emotional, orphysical condition, shall take appropriate action,which may include notifying appropriate judicialauthorities or a confidential referral to a lawyer orjudicial assistance program.

(Effective Jan. 1, 2011.)COMMENT: (1) ‘‘Appropriate action’’ means action

intended and reasonably likely to help the judge or lawyer inquestion address the problem. Depending on the circum-stances, appropriate action may include, but is not limited to,speaking directly to the impaired person, notifying an individualwith supervisory responsibility over the impaired person, ormaking a referral to an assistance program.

(2) Taking or initiating corrective action by way of notifyingjudicial administrators or referral to an assistance programmay satisfy a judge’s responsibility under this Rule. Assistanceprograms have many approaches for offering help to impairedjudges and lawyers, such as intervention, counseling, or refer-ral to appropriate health care professionals. Depending on thegravity of the conduct that has come to the judge’s attention,however, the judge may be required to take other action, suchas reporting the impaired judge or lawyer to the appropriateauthority, agency, or body. See Rule 2.15.

(3) A client security fund has been established to promotepublic confidence in the judicial system and the integrity of thelegal profession by, among other things, a lawyers assistanceprogram providing crisis intervention and referral assistanceto attorneys admitted to the practice of law in this state whosuffer from alcohol or other substance abuse problems or


gambling problems or who have behavioral health problems.See Practice Book Section 2-68.

Rule 2.15. Responding to Judicial and Law-yer Misconduct(a) A judge having knowledge that another

judge has committed a violation of this Code thatraises a substantial question regarding the judge’shonesty, trustworthiness, or fitness as a judge inother respects shall take appropriate actionincluding informing the appropriate authority.

(b) A judge having knowledge that a lawyer hascommitted a violation of the Rules of ProfessionalConduct that raises a substantial question regard-ing the lawyer’s honesty, trustworthiness, or fit-ness as a lawyer in other respects shall takeappropriate action including informing the appro-priate authority.

(c) A judge who receives information indicatinga substantial likelihood that another judge hascommitted a violation of this Code shall takeappropriate action.

(d) A judge who receives information indicatinga substantial likelihood that a lawyer has commit-ted a violation of the Rules of Professional Con-duct shall take appropriate action.

(e) A judge is not required to disclose informa-tion gained by the judge while serving as a mem-ber of a committee that renders assistance to illor impaired judges or lawyers or while serving asa member of a bar association professional ethicscommittee or the Judicial Branch Committee onJudicial Ethics.

(Effective Jan. 1, 2011.)COMMENT: (1) Taking appropriate action under the cir-

cumstances to address known misconduct is a judge’s obliga-tion. Except as otherwise provided in subsection (e),subsections (a) and (b) impose an obligation on the judgeto report to the appropriate disciplinary authority the knownmisconduct of another judge or a lawyer that raises a substan-tial question regarding the honesty, trustworthiness, or fitnessof that judge or lawyer. Ignoring or denying known misconductamong one’s judicial colleagues or members of the legal pro-fession undermines a judge’s responsibility to participate inefforts to ensure public respect for the justice system. ThisRule limits the reporting obligation to those offenses that anindependent judiciary must vigorously endeavor to prevent.

(2) A judge who does not have actual knowledge thatanother judge or a lawyer may have committed misconduct,but receives information indicating a substantial likelihood ofsuch misconduct, is required to take appropriate action undersubsections (c) and (d), except as otherwise provided in sub-section (e). Appropriate action may include, but is not limitedto, communicating directly with the judge who may have vio-lated this Code, communicating with a supervising judge, orreporting the suspected violation to the appropriate authorityor other agency or body.

(3) Similarly, actions to be taken in response to informationindicating that a lawyer has committed a violation of the Rulesof Professional Conduct may include, but are not limited to,

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communicating directly with the lawyer who may have commit-ted the violation or reporting the suspected violation to theappropriate authority or other agency or body.

Rule 2.16. Cooperation with DisciplinaryAuthorities(a) A judge shall cooperate and be candid and

honest with judicial and lawyer disciplinaryagencies.

(b) A judge shall not retaliate, directly or indi-rectly, against a person known or suspected tohave assisted or cooperated with an investigationof a judge or a lawyer.

(Effective Jan. 1, 2011.)COMMENT: Cooperation with investigations and proceed-

ings of judicial and lawyer discipline agencies, as required insubsection (a), instills confidence in judges’ commitment to theintegrity of the judicial system and the protection of the public.

Canon 3. A Judge Shall Conduct theJudge’s Personal and Extrajudicial Activi-ties to Minimize the Risk of Conflict with theObligations of Judicial Office.

Rule 3.1. Extrajudicial Activities in GeneralA judge may engage in extrajudicial activities,

except as prohibited by law. However, whenengaging in extrajudicial activities, a judge shallnot:

(1) participate in activities that will interfere withthe proper performance of the judge’s judicialduties;

(2) participate in activities that will lead to fre-quent disqualification of the judge;

(3) participate in activities that would appear toa reasonable person to undermine the judge’sindependence, integrity, or impartiality;

(4) engage in conduct that would appear to areasonable person to be coercive; or

(5) make use of court premises, staff, statio-nery, equipment, or other resources, except forincidental use or for activities that concern thelaw, the legal system, or the administration of jus-tice, or unless such additional use is permittedby law.

(Effective Jan. 1, 2011.)COMMENT: (1) To the extent that time permits, and judicial

independence and impartiality are not compromised, judgesare encouraged to engage in appropriate extrajudicial activi-ties. Judges are uniquely qualified to engage in extrajudicialactivities that concern the law, the legal system, and the admin-istration of justice, such as by speaking, writing, teaching, orparticipating in scholarly research projects. In addition, judgesare permitted and encouraged to engage in educational, reli-gious, charitable, fraternal or civic extrajudicial activities notconducted for profit, even when the activities do not involvethe law. See Rule 3.7.

(2) Participation in both law related and other extrajudicialactivities helps integrate judges into their communities andfurthers public understanding of and respect for courts andthe judicial system.


(3) Discriminatory actions and expressions of bias or preju-dice by a judge, even outside the judge’s official or judicialactions, are likely to appear to a reasonable person to callinto question the judge’s integrity and impartiality. Examplesinclude jokes or other remarks that demean individuals basedon their race, sex, gender, religion, national origin, ethnicity,disability, age, sexual orientation, or socioeconomic status.For the same reason, a judge’s extrajudicial activities mustnot be conducted in connection or affiliation with an organiza-tion that practices unlawful discrimination. See Rule 3.6.

(4) While engaged in permitted extrajudicial activities,judges must not coerce others or take action that would rea-sonably be perceived as coercive. For example, dependingon the circumstances, a judge’s solicitation of contributions ormemberships for an organization, even as permitted by Rule3.7 (a), might create the risk that the person solicited wouldfeel obligated to respond favorably or would do so to curryfavor with the judge.

Rule 3.2. Appearances before Governmen-tal Bodies and Consultation with Govern-ment OfficialsA judge shall not appear voluntarily at a public

hearing before, or otherwise consult with, an exec-utive or a legislative body or official, except:

(1) in connection with matters concerning thelaw, the legal system, or the administration ofjustice;

(2) in connection with matters about which thejudge acquired knowledge or expertise in thecourse of the judge’s judicial duties; or

(3) when the judge is acting in a matter involvingthe judge’s legal or economic interests or whenthe judge is acting in a fiduciary capacity.

(Effective Jan. 1, 2011.)COMMENT: (1) Judges possess special expertise in mat-

ters of law, the legal system, and the administration of justiceand may properly share that expertise with governmental bod-ies and executive or legislative branch officials.

(2) In appearing before governmental bodies or consultingwith government officials, judges must be mindful that theyremain subject to other provisions of this Code, such as Rule1.3, prohibiting judges from using the prestige of office toadvance their own or others’ interests; Rule 2.10, governingpublic comment on pending and impending matters; and Rule3.1 (3), prohibiting judges from engaging in extrajudicial activi-ties that would appear to a reasonable person to underminethe judge’s independence, integrity, or impartiality.

(3) In general, it would be an unnecessary and unfair burdento prohibit judges from appearing before governmental bodiesor consulting with government officials on matters that arelikely to affect them as private citizens, such as zoning propos-als affecting their real property. In engaging in such activities,however, a judge should state affirmatively that the judge isnot acting in his or her official capacity and must otherwiseexercise caution to avoid using the prestige of judicial office.

Rule 3.3. Testifying as a Character WitnessA judge shall not testify as a character witness

in a judicial, administrative, or other adjudicatoryproceeding or otherwise vouch for the character

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of a person in a legal proceeding, except whenduly summoned.

(Effective Jan. 1, 2011.)COMMENT: A judge who, without being duly summoned,

testifies as a character witness abuses the prestige of judicialoffice to advance the interests of another. See Rule 1.3. Exceptin unusual circumstances where the demands of justicerequire, a judge should discourage a party from requiring thejudge to testify as a character witness.

Rule 3.4. Appointments to GovernmentalPositionsA judge shall not accept appointment to a gov-

ernmental committee, board, commission, orother governmental position, unless it is one thatconcerns the law, the legal system, or the adminis-tration of justice.

(Effective Jan. 1, 2011.)COMMENT: (1) Rule 3.4 implicitly acknowledges the value

of judges accepting appointments to entities that concern thelaw, the legal system, or the administration of justice. Evenin such instances, however, a judge should assess the appro-priateness of accepting an appointment, paying particularattention to the subject matter of the appointment and theavailability and allocation of judicial resources, including thejudge’s time commitments, and giving due regard to therequirements of the independence and impartiality of thejudiciary.

(2) A judge may represent his or her country, state, orlocality on ceremonial occasions or in connection with histori-cal, educational, or cultural activities. Such representationdoes not constitute acceptance of a government position.

(3) This rule is intended to prohibit a judge from participationin governmental committees, boards, commissions or othergovernmental positions that make or implement public policyunless they concern the law, the legal system or the adminis-tration of justice.

Rule 3.5. Use of Confidential InformationA judge shall not intentionally disclose or use

confidential information acquired in a judicialcapacity for any purpose unrelated to the judge’sjudicial duties unless the judge is acting on infor-mation necessary to protect the health or safetyof the judge, a member of the judge’s family, courtpersonnel, a judicial officer or any other person ifconsistent with other provisions of this Code.

(Effective Jan. 1, 2011.)COMMENT: In the course of performing judicial duties, a

judge may acquire information of commercial or other valuethat is unavailable to the public. The judge must not reveal oruse such information for personal gain or for any purposeunrelated to his or her judicial duties.

Rule 3.6. Affiliation with DiscriminatoryOrganizations(a) A judge shall not hold membership in any

organization that practices unlawful discriminationon the basis of race, sex, gender, religion, nationalorigin, ethnicity, physical or mental disability, orsexual orientation. When a judge learns that anorganization to which the judge belongs engages


in unlawful discrimination, the judge must resignimmediately from the organization.

(b) A judge shall not use the benefits or facilitiesof an organization if the judge knows or shouldknow that the organization practices unlawful dis-crimination on one or more of the bases identifiedin subsection (a). A judge’s attendance at an eventin a facility of an organization that the judge is notpermitted to join is not a violation of this Rulewhen the judge’s attendance is an isolated eventthat could not reasonably be perceived as anendorsement of the organization’s practices.


Rule 3.7. Participation in Educational, Reli-gious, Charitable, Fraternal, or Civic Organi-zations and Activities(a) Subject to the requirements of Rule 3.1, a

judge may participate in activities sponsored byorganizations or governmental entities concernedwith the law, the legal system, or the administra-tion of justice, and those sponsored by or onbehalf of educational, religious, charitable, frater-nal, or civic organizations not conducted for profitincluding, but not limited to, the following activities:

(1) assisting such an organization or entity inplanning related to fund-raising and participatingin the management and investment of the organi-zation’s or entity’s funds;

(2) soliciting contributions for such an organiza-tion or entity, but only from members of the judge’sfamily, or from judges over whom the judge doesnot exercise supervisory or appellate authority;

(3) soliciting membership for such an organiza-tion or entity, even though the membership duesor fees generated may be used to support theobjectives of the organization or entity but only ifthe organization or entity is concerned with thelaw, the legal system, or the administration ofjustice;

(4) appearing or speaking at, receiving anaward or other recognition at, being featured onthe program of, and permitting his or her title tobe used in connection with an event of such anorganization or entity, but if the event serves afund-raising purpose, the judge may participateonly if the event concerns the law, the legal sys-tem, or the administration of justice;

(5) making recommendations to such a publicor private fund-granting organization or entity inconnection with its programs and activities butonly if the organization or entity is concerned withthe law, the legal system, or the administration ofjustice; and

(6) serving as an officer, director, trustee, ornonlegal advisor of such an organization or entity,unless it is likely that the organization or entity:

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(A) will be engaged in proceedings that wouldordinarily come before the judge; or

(B) will frequently be engaged in adversary pro-ceedings in the court of which the judge is a mem-ber or in any court subject to the appellatejurisdiction of the court of which the judge is amember.

(b) A judge may encourage lawyers to providepro bono publico legal services.

(Effective Jan. 1, 2011.)COMMENT: (1) The activities permitted by subsection (a)

generally include those sponsored by or undertaken on behalfof public or private not-for-profit educational institutions andother not-for-profit organizations, including law related, chari-table, and other organizations.

(2) Even for law related organizations, a judge should con-sider whether the membership and purposes of the organiza-tion, or the nature of the judge’s participation in or associationwith the organization, would conflict with the judge’s obligationto refrain from activities that reflect adversely on a judge’sindependence, integrity, and impartiality.

(3) Mere attendance at an event, whether or not the eventserves a fund-raising purpose, does not constitute a violationof subsection (a) (4). It is also generally permissible for a judgeto serve as an usher or a food server or preparer, or to performsimilar functions, at fund-raising events sponsored by educa-tional, religious, charitable, fraternal, or civic organizations.Such activities are not solicitation and do not present an ele-ment of coercion or abuse the prestige of judicial office.

(4) Identification of a judge’s position in educational, reli-gious, charitable, fraternal, or civic organizations on letterheadused for fund-raising or membership solicitation does not vio-late this Rule. The letterhead may list the judge’s title or judicialoffice if comparable designations are used for other persons.

(5) In addition to appointing lawyers to serve as counselfor indigent parties in individual cases, a judge may promotebroader access to justice by encouraging lawyers to participatein pro bono publico legal services if, in doing so, the judgedoes not employ coercion or abuse the prestige of judicialoffice. Such encouragement may take many forms, includingproviding lists of available programs, training lawyers to dopro bono publico legal work, and participating in events recog-nizing lawyers who have done pro bono publico work.

Rule 3.8. Appointments to Fiduciary Posi-tions(a) A judge shall not accept appointment to

serve in a fiduciary position, such as executor,administrator, trustee, guardian, attorney in fact,or other personal representative, except for theestate, trust, or person of a member of the judge’sfamily, and then only if such service will not inter-fere with the proper performance of judicial duties.

(b) A judge shall not serve in a fiduciary positionif the judge as fiduciary will likely be engaged inproceedings that would ordinarily come before thejudge or if the estate, trust, or ward becomesinvolved in adversary proceedings in the court onwhich the judge serves or one under its appel-late jurisdiction.


(c) A judge acting in a fiduciary capacity shallbe subject to the same restrictions on engaging infinancial activities that apply to a judge personally.

(d) If a person who is serving in a fiduciaryposition becomes a judge, he or she must complywith this Rule as soon as reasonably practicablebut in no event later than one year after becominga judge.

(Effective Jan. 1, 2011.)COMMENT: A judge should recognize that other restric-

tions imposed by this Code may conflict with a judge’s obliga-tions as a fiduciary; in such circumstances, a judge shouldresign as fiduciary. For example, serving as a fiduciary mightrequire frequent disqualification of a judge under Rule 2.11because a judge is deemed to have an economic interest inshares of stock held by a trust if the amount of stock held ismore than de minimis.

Rule 3.9. Service as Arbitrator or MediatorA judge shall not act as an arbitrator or a media-

tor or perform other judicial functions apart fromthe judge’s official duties unless expressly author-ized by law.

(Effective Jan. 1, 2011.)COMMENT: This Rule does not prohibit a judge from partici-

pating in arbitration, mediation, or settlement conferences per-formed as part of official judicial duties. Rendering disputeresolution services apart from those duties, whether or not foreconomic gain, is prohibited unless it is expressly authorizedby law.

Rule 3.10. Practice of LawExcept as provided herein, a judge shall not

practice law. A judge may act as a self-repre-sented party and may, without compensation, givelegal advice to and draft or review documents fora member of the judge’s family but is prohibitedfrom serving as the family member’s lawyer inany forum.

(Effective Jan. 1, 2011.)COMMENT: A judge may act as a self-represented party

in all legal matters, including matters involving litigation andmatters involving appearances before or other dealings withgovernmental bodies. A judge must not use the prestige ofoffice to advance the judge’s personal or family interests. SeeRule 1.3.

Rule 3.11. Financial, Business, or Remuner-ative Activities(a) A judge may hold and manage investments

of the judge and members of the judge’s family.(b) A judge shall not serve as an officer, director,

manager, general partner or advisor of any busi-ness entity except for:

(1) a business closely held by the judge or mem-bers of the judge’s family; or

(2) a business entity primarily engaged ininvestment of the financial resources of the judgeor members of the judge’s family.

(c) A judge shall not engage in financial activi-ties permitted under subsections (a) and (b) ifthey will:

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(1) interfere with the proper performance of judi-cial duties;

(2) lead to frequent disqualification of the judge;(3) involve the judge in frequent transactions or

continuing business relationships with lawyers orother persons likely to come before the court onwhich the judge serves; or

(4) result in violation of other provisions ofthis Code.

(Effective Jan. 1, 2011.)COMMENT: (1) Judges are generally permitted to engage

in financial activities, including managing real estate and otherinvestments for themselves or for members of their families.Participation in these activities, like participation in other extra-judicial activities, is subject to the requirements of this Code.For example, it would be improper for a judge to spend somuch time on business activities that it interferes with theperformance of judicial duties. See Rule 2.1. Similarly, it wouldbe improper for a judge to use his or her official title or toappear in judicial robes in business advertising, or to conducthis or her business or financial affairs in such a way thatdisqualification is frequently required. See Rules 1.3 and 2.11.

(2) As soon as practicable without serious financial detri-ment, the judge must divest himself or herself of investmentsand other financial interests that might require frequent dis-qualification or otherwise violate this Rule.

Rule 3.12. Compensation for ExtrajudicialActivitiesA judge may accept reasonable compensation

for extrajudicial activities permitted by law unlesssuch acceptance would appear to a reasonableperson to undermine the judge’s independence,integrity, or impartiality.

(Effective Jan. 1, 2011.)COMMENT: (1) A judge is permitted to accept honoraria,

stipends, fees, wages, salaries, royalties, or other compensa-tion for speaking, teaching, writing, and other extrajudicialactivities, provided the compensation is reasonable and com-mensurate with the task performed. The judge should be mind-ful, however, that judicial duties must take precedence overother activities. See Rule 2.1.

(2) Compensation derived from extrajudicial activities maybe subject to public reporting. See Rule 3.15.

Rule 3.13. Acceptance and Reporting ofGifts, Loans, Bequests, Benefits, or OtherThings of Value(a) A judge shall not accept any gifts, loans,

bequests, benefits, or other things of value, ifacceptance is prohibited by law or would appearto a reasonable person to undermine the judge’sindependence, integrity, or impartiality.

(b) Unless otherwise prohibited by law, or bysubsection (a), a judge may accept the followingwithout publicly reporting such acceptance:

(1) items with little intrinsic value, such asplaques, certificates, trophies, and greeting cards;

(2) gifts, loans, bequests, benefits, or otherthings of value from friends, relatives, or otherpersons, including lawyers, whose appearance or


interest in a proceeding pending or impendingbefore the judge would in any event require dis-qualification of the judge under Rule 2.11;

(3) ordinary social hospitality;(4) commercial or financial opportunities and

benefits, including special pricing and discounts,and loans from lending institutions in their regularcourse of business, if the same opportunities andbenefits or loans are made available on the sameterms to similarly situated persons who are notjudges;

(5) rewards and prizes given to competitors orparticipants in random drawings, contests, orother events that are open to persons who arenot judges;

(6) scholarships, fellowships, and similar bene-fits or awards, if they are available to similarlysituated persons who are not judges, based onthe same terms and criteria;

(7) books, magazines, journals, audiovisualmaterials, and other resource materials suppliedby publishers on a complimentary basis for officialuse; or

(8) gifts, awards, or benefits associated with thebusiness, profession, or other separate activityof a spouse, a domestic partner, or other familymember of a judge residing in the judge’s house-hold but that incidentally benefit the judge.

(c) Unless otherwise prohibited by law or bysubsection (a), a judge may accept the followingitems and must report such acceptance to theextent required by Rule 3.15:

(1) gifts incident to a public testimonial;(2) invitations to the judge and the judge’s

spouse, domestic partner, or guest to attend with-out charge:

(A) an event associated with a bar related func-tion or other activity relating to the law, the legalsystem, or the administration of justice; or

(B) an event associated with any of the judge’seducational, religious, charitable, fraternal or civicactivities permitted by this Code, if the same invi-tation is offered to nonjudges who are engagedin similar ways in the activity as is the judge.

(Effective Jan. 1, 2011.)COMMENT: (1) Whenever a judge accepts a gift or other

thing of value without paying fair market value, there is a riskthat the benefit might be viewed as intended to influence thejudge’s decision in a case. Rule 3.13 imposes restrictions onthe acceptance of such benefits, according to the magnitudeof the risk. Subsection (b) identifies circumstances in whichthe risk that the acceptance would appear to undermine thejudge’s independence, integrity, or impartiality is low andexplicitly provides that such items need not be publiclyreported. As the value of the benefit or the likelihood that thesource of the benefit will appear before the judge increases,the judge is either prohibited under subsection (a) fromaccepting the gift, or required under subsection (c) to publiclyreport it.

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(2) Gift giving between friends and relatives is a commonoccurrence and ordinarily does not create an appearance ofimpropriety or cause reasonable persons to believe that thejudge’s independence, integrity, or impartiality has been com-promised. In addition, when the appearance of friends or rela-tives in a case would require the judge’s disqualification underRule 2.11, there would be no opportunity for a gift to influencethe judge’s decision making. Subsection (b) (2) places norestrictions on the ability of a judge to accept gifts or otherthings of value from friends or relatives under these circum-stances and does not require public reporting.

(3) Businesses and financial institutions frequently makeavailable special pricing, discounts, and other benefits, eitherin connection with a temporary promotion or for preferredcustomers, based on longevity of the relationship, volume ofbusiness transacted, and other factors. A judge may freelyaccept such benefits if they are available to the general publicor if the judge qualifies for the special price or discountaccording to the same criteria as are applied to persons whoare not judges. As an example, loans provided at generallyprevailing interest rates are not gifts, but a judge could notaccept a loan from a financial institution at below-market inter-est rates unless the same rate was being made available tothe general public for a certain period of time or only to borrow-ers with specified qualifications that the judge also possesses.

(4) Rule 3.13 applies only to acceptance of gifts or otherthings of value by a judge. Nonetheless, if a gift or other benefitis given to the judge’s spouse, domestic partner, or memberof the judge’s family residing in the judge’s household, it maybe viewed as an attempt to evade Rule 3.13 and influencethe judge indirectly. Where the gift or benefit is being madeprimarily to such other persons, and the judge is merely anincidental beneficiary, this concern is reduced. A judge should,however, remind family and household members of the restric-tions imposed on judges and urge them to take these restric-tions into account when making decisions about acceptingsuch gifts or benefits.

Rule 3.14. Reimbursement of Expenses andWaivers of Fees or Charges(a) Unless otherwise prohibited by Rules 3.1

and 3.13 (a) or other law, a judge may acceptreimbursement of necessary and reasonableexpenses for travel, food, lodging, or other inci-dental expenses, or a waiver or partial waiver offees or charges for registration, tuition, and similaritems, from sources other than the judge’semploying entity, if the expenses or charges areassociated with the judge’s participation in extra-judicial activities permitted by this Code.

(b) Reimbursement of expenses for necessarytravel, food, lodging, or other incidental expensesshall be limited to the actual costs reasonablyincurred by the judge or a reasonable allowancetherefor and, when appropriate to the occasion,by the judge’s spouse, domestic partner, or guest.

(c) A judge who accepts reimbursement ofexpenses or waivers or partial waivers of feesor charges on behalf of the judge or the judge’sspouse, domestic partner, or guest shall publiclyreport such acceptance as required by Rule 3.15.



COMMENT: (1) Educational, civic, religious, fraternal, andcharitable organizations often sponsor meetings, seminars,symposia, dinners, awards ceremonies, and similar events.Judges are encouraged to attend educational programs, asboth teachers and participants, in law related and academicdisciplines, in furtherance of their duty to remain competentin the law. Participation in a variety of other extrajudicial activityis also permitted and encouraged by this Code.

(2) Not infrequently, sponsoring organizations invite certainjudges to attend seminars or other events on a fee-waived orpartial-fee-waived basis and sometimes include reimburse-ment for necessary travel, food, lodging, or other incidentalexpenses. A judge’s decision whether to accept reimburse-ment of expenses or a waiver or partial waiver of fees orcharges in connection with these or other extrajudicial activitiesmust be based on an assessment of all the circumstances.Per diem allowances shall be reasonably related to the actualcosts incurred. The judge must undertake a reasonable inquiryto obtain the information necessary to make an informed judg-ment about whether acceptance would be consistent with therequirements of this Code.

(3) A judge must assure himself or herself that acceptanceof reimbursement or fee waivers would not appear to a reason-able person to undermine the judge’s independence, integrity,or impartiality. The factors that a judge should consider whendeciding whether to accept reimbursement or a fee waiver forattendance at a particular activity include:

(a) whether the sponsor is an accredited educational institu-tion or bar association rather than a trade association or afor-profit entity;

(b) whether the funding comes largely from numerous con-tributors rather than from a single entity and is earmarked forprograms with specific content;

(c) whether the content is related or unrelated to the subjectmatter of litigation pending or impending before the judge orto matters that are likely to come before the judge;

(d) whether the activity is primarily educational rather thanrecreational and whether the costs of the event are reasonableand comparable to those associated with similar events spon-sored by the judiciary, bar associations, or similar groups;

(e) whether information concerning the activity and its fund-ing sources is available upon inquiry;

(f) whether the sponsor or source of funding is generallyassociated with particular parties or interests currentlyappearing or likely to appear in the judge’s court, thus possiblyrequiring disqualification of the judge under Rule 2.11;

(g) whether differing viewpoints are presented; and(h) whether a broad range of judicial and nonjudicial partici-

pants are invited, whether a large number of participants areinvited, and whether the program is designed specifically forjudges.

Rule 3.15. Reporting Requirements(a) A judge shall publicly report the amount or

value of:(1) compensation received for extrajudicial

activities as permitted by Rule 3.12;(2) gifts and other things of value as permitted

by Rule 3.13 (c), unless the value of such items,alone or in the aggregate with other items receivedfrom the same source in the same calendar year,does not exceed $250; and

(3) reimbursement of expenses and waiver offees or charges permitted by Rule 3.14 (a), unless

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the amount of reimbursement or waiver, alone orin the aggregate with other reimbursements orwaivers received from the same source in thesame calendar year, does not exceed $250.

(b) When public reporting is required by subsec-tion (a), a judge shall report the date, place, andnature of the activity for which the judge receivedany compensation; the description of any gift,loan, bequest, benefit, or other thing of valueaccepted; and the source of reimbursement ofexpenses or waiver or partial waiver of fees orcharges.

(c) The public report required by subsection (a)shall be made at least annually, except that forreimbursement of expenses and waiver or partialwaiver of fees or charges, the report shall be madewithin thirty days following the conclusion of theevent or program.

(d) Reports made in compliance with this Ruleshall be filed as public documents in the office ofthe chief court administrator or other office desig-nated by law.


Canon 4. A Judge Shall Not Engage in Politi-cal or Campaign Activity that is Inconsistentwith the Independence, Integrity, or Impar-tiality of the Judiciary.

Rule 4.1. Political Activities of Judges inGeneral(a) Except as permitted by law, or by Rules 4.2

and 4.3, a judge shall not:(1) act as a leader in, or hold an office in, a

political organization;(2) make speeches on behalf of a political orga-

nization;(3) publicly endorse or oppose a candidate for

any public office;(4) solicit funds for, pay an assessment to, or

make a contribution to a political organization ora candidate for public office;

(5) attend or purchase tickets for dinners orother events sponsored by a political organizationor a candidate for public office;

(6) seek, accept, or use endorsements from apolitical organization;

(7) knowingly, or with reckless disregard for thetruth, make any false or misleading statement inconnection with the appointment or reap-pointment process;

(8) make any statement that would reasonablybe expected to affect the outcome or impair thefairness of a matter pending or impending in anycourt; or

(9) in connection with cases, controversies, orissues that are likely to come before the court,make pledges, promises, or commitments that are


inconsistent with the impartial performance of theadjudicative duties of judicial office.

(b) A judge shall take reasonable measures toensure that other persons do not undertake, onbehalf of the judge, any activities prohibited undersubsection (a).

(c) A judge should not engage in any otherpolitical activity except on behalf of measures toimprove the law, the legal system, or the adminis-tration of justice.

(Effective Jan. 1, 2011.)COMMENT:

General Considerations

(1) Even when subject to reappointment or when seekingelevation to a higher office, a judge plays a role different fromthat of a legislator or executive branch official. Rather thanmaking decisions based on the expressed views or prefer-ences of the public, a judge makes decisions based on thelaw and the facts of every case. Therefore, in furtherance ofthis interest, judges must, to the greatest extent possible, befree and appear to be free from political influence and politicalpressure. This Canon imposes narrowly tailored restrictionson the political activities of all judges and sitting judges seekingreappointment or appointment to a higher judicial office.

Participation in Political Activities

(2) Public confidence in the independence and impartialityof the judiciary is eroded if judges are perceived to be subjectto political influence. Although judges may register to vote asmembers of a political party, they are prohibited by subsection(a) (1) from assuming leadership roles in political organi-zations.

(3) Subsections (a) (2) and (a) (3) prohibit judges frommaking speeches on behalf of political organizations or publiclyendorsing or opposing candidates for public office, respec-tively, to prevent them from abusing the prestige of judicialoffice to advance the interests of others. See Rule 1.3.

(4) Although members of the families of judges are free toengage in their own political activity, including running forpublic office, there is no ‘‘family exception’’ to the prohibitionin subsection (a) (3) against a judge publicly endorsing candi-dates for public office. A judge must not become involved in,or publicly associated with, a family member’s political activityor campaign for public office. To avoid public misunder-standing, judges should take, and should urge members oftheir families to take, reasonable steps to avoid any implicationthat they endorse any family member’s candidacy or otherpolitical activity.

(5) Judges retain the right to participate in the political pro-cess as voters in both primary and general elections.

Statements and Comments Made By a Sitting JudgeWhen Seeking Reappointment forJudicial Office or Elevation to a

Higher Judicial Office

(6) Judges must be scrupulously fair and accurate in allstatements made by them. Subsection (a) (7) obligates judgesto refrain from making statements that are false or misleadingor that omit facts necessary to make the communication con-sidered as a whole not materially misleading.

(7) Judges are sometimes the subject of false, misleading,or unfair allegations made by third parties or the media. Forexample, false or misleading statements might be made

80


regarding the identity, present position, experience, qualifica-tions, or judicial rulings of a judge. In other situations, falseor misleading allegations may be made that bear on a judge’sintegrity or fitness for judicial office. As long as the judge doesnot violate subsections (a) (7), (a) (8), or (a) (9), the judgemay make a factually accurate public response. See Rule 2.10.

(8) Subject to subsection (a) (8), a judge is permitted torespond directly to false, misleading, or unfair allegationsmade against him or her, although it is preferable for someoneelse to respond if the allegations relate to a pending case.

(9) Subsection (a) (8) prohibits judges from making com-ments that might impair the fairness of pending or impendingjudicial proceedings. This provision does not restrict rulings,statements, or instructions by a judge that may appropriatelyaffect the outcome of a matter.

Pledges, Promises, or Commitments Inconsistent withImpartial Performance of the Adjudicative

Duties of Judicial Office

(10) The role of a judge is different from that of a legislatoror executive branch official. Sitting judges seeking reap-pointment or elevation must conduct themselves differentlyfrom persons seeking other offices. Narrowly drafted restric-tions on the activities of judges provided in Canon 4 allowjudges to provide the appointing authority with sufficient infor-mation to permit it to make an informed decision.

(11) Subsection (a) (9) makes applicable to judges theprohibition that applies to judges in Rule 2.10 (b), relating topledges, promises, or commitments that are inconsistent withthe impartial performance of the adjudicative duties of judi-cial office.

(12) The making of a pledge, promise, or commitment isnot dependent on, or limited to, the use of any specific wordsor phrases; instead, the totality of the statement must be exam-ined to determine if a reasonable person would believe thatthe judge has specifically undertaken to reach a particularresult. Pledges, promises, or commitments must be contrastedwith statements or announcements of personal views on legal,political, or other issues, which are not prohibited. When mak-ing such statements, a judge should acknowledge the over-arching judicial obligation to apply and uphold the law, withoutregard to his or her personal views.

(13) A judge may make promises related to judicial organi-zation, administration, and court management, such as apromise to dispose of a backlog of cases, start court sessionson time, or avoid favoritism in appointments and hiring. A judgemay also pledge to take action outside the courtroom, suchas working toward an improved jury selection system or advo-cating for more funds to improve the physical plant and ameni-ties of the courthouse.

(14) Judges may receive questionnaires or requests forinterviews from the media and from issue advocacy or othercommunity organizations that seek to learn their views ondisputed or controversial legal or political issues. Subsection(a) (13) does not specifically address judicial responses tosuch inquiries. Depending on the wording and format of suchquestionnaires, judges’ responses might be viewed aspledges, promises, or commitments to perform the adjudica-tive duties of office other than in an impartial way. To avoidviolating subsection (a) (13), therefore, judges who respondto media and other inquiries should also give assurances thatthey will keep an open mind and will carry out their adjudicativeduties faithfully and impartially. Judges who do not respondmay state their reasons for not responding, such as the dangerthat answering might be perceived by a reasonable person


as undermining a judge’s independence or impartiality or thatit might lead to frequent disqualification. See Rule 2.11.

Rule 4.2. Activities of Judges as Candidatesfor Reappointment or Elevation to HigherJudicial OfficeA judge who is a candidate for reappointment

or elevation to higher judicial office may:(a) communicate with the appointing or confirm-

ing authority, including any selection, screening,or nominating commission or similar agency; and

(b) seek endorsements for the appointmentfrom any person or organization other than a parti-san political organization, provided that suchendorsement or the request therefor would notappear to a reasonable person to undermine thejudge’s independence, integrity or impartiality.

(Effective Jan. 1, 2011.)COMMENT: (1) When seeking support or when communi-

cating directly with an appointing or confirming authority, ajudge must not make any pledges, promises, or commitmentsthat are inconsistent with the impartial performance of theadjudicative duties of the office. See Rule 4.1 (a) (9).

(2) It is never acceptable to seek an endorsement of anadvocacy group or a group whose interests have or are likelyto come before the judge.

Rule 4.3. Activities of Judges Who BecomeCandidates for Public Office(a) Upon becoming a candidate for an elective

public office either in a party primary or a general

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election, a judge shall resign from judicial office,unless permitted by law to continue to hold judicialoffice. A judge may continue to hold judicial officewhile being a candidate for election to or servingas a delegate in a state constitutional convention.

(b) Upon becoming a candidate for an appoint-ive public office, a judge is not required to resignfrom judicial office, provided that the judge com-plies with the other provisions of this Code.

(Effective Jan. 1, 2011.)COMMENT: (1) In campaigns for elective public office, can-

didates may make pledges, promises, or commitments relatedto positions they would take and ways they would act if electedto office. Although appropriate in public campaigns, this man-ner of campaigning is inconsistent with the role of a judge,who must remain fair and impartial to all who come beforehim or her. The potential for misuse of the judicial office andthe political promises that the judge would be compelled tomake in the course of campaigning for elective public officetogether dictate that a judge who wishes to run for such anoffice must resign upon becoming a candidate.

(2) The ‘‘resign to run’’ rule set forth in subsection (a)ensures that a judge cannot use the judicial office to promotehis or her candidacy and prevents postcampaign retaliationfrom the judge in the event the judge is defeated in the election.When a judge is seeking appointive public office, however,the dangers are not sufficient to warrant imposing the ‘‘resignto run’’ rule. However, the judge should be careful to avoidpresiding over matters affecting the entity to which the judgeis seeking public office.

CHAPTER AND SECTION HEADINGS OF THE RULES


SUPERIOR COURT—GENERAL PROVISIONS

CHAPTER 1SCOPE OF RULES

Sec.1-1. Scope of Rules; Definitions1-2. Assignments to Take Precedence1-3. Divisions of Superior Court1-4. Family Division1-5. Civil Division1-6. Criminal Division1-7. Housing Division (Only in Judicial Districts Speci-

fied by Statute)1-8. Rules to Be Liberally Interpreted1-9. Publication of Rules; Effective Date1-9A. —Judiciary Committee; Placement of Rules Infor-

mation on Judicial Branch Website1-9B. —Emergency Powers of Rules Committee1-10. Possession of Electronic Devices in Court

Facilities1-10A. Definition of ‘‘Media’’1-10B. Media Coverage of Court Proceedings; In General1-11. Media Coverage of Criminal Proceedings

[Repealed]1-11A. Media Coverage of Arraignments1-11B. Media Coverage of Civil Proceedings1-11C. Media Coverage of Criminal Proceedings1-11D. Pilot Program to Increase Public Access to Child

Protection Proceedings [Repealed]1-12. Court Opening1-13. Recess and Adjournment1-13A. Contempt1-14. —Criminal Contempt1-15. —Who May Be Punished [Repealed]1-16. —Summary Criminal Contempt1-17. —Deferral of Proceedings1-18. —Nonsummary Contempt Proceedings1-19. —Judicial Authority Disqualification in Nonsum-

mary Contempt Proceedings1-20. —Where No Right to Jury Trial in Nonsummary

Proceeding1-21. —Nonsummary Judgment1-21A. —Civil Contempt1-22. Disqualification of Judicial Authority1-23. Motion for Disqualification of Judicial Authority1-24. Record of Off-Site Judicial Proceedings1-25. Actions Subject to Sanctions

CHAPTER 2

ATTORNEYS

Sec.2-1. County Court Designations concerning Bar

Admission Process2-2. Admission2-3. Examining Committee2-4. —Regulations by Examining Committee

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2-4A. —Records of Examining Committee2-5. —Examination of Candidates for Admission2-5A. —Good Moral Character and Fitness to Practice

Law2-6. —Personnel of Examining Committee2-7. Number of Times an Applicant May Sit for the

Examination2-8. Qualifications for Admission2-9. Certification of Applicants Recommended for

Admission; Conditions of Admission2-10. Admission by Superior Court2-11. Monitoring Compliance with Conditions of Admis-

sion; Removal or Modification of Conditions2-11A. Appeal from Decision of Bar Examining Commit-

tee concerning Conditions of Admission2-12. County Committees on Recommendations for

Admission2-13. Attorneys of Other Jurisdictions; Qualifications

and Requirements for Admission2-14. —Action by Bar; Temporary License [Repealed]2-15. —Permanent License [Repealed]2-15A. —Authorized House Counsel2-16. —Attorney Appearing Pro Hac Vice2-17. Foreign Legal Consultants; Licensing Require-

ments2-18. —Filings to Become Foreign Legal Consultant2-19. —Scope of Practice of Foreign Legal Consultants2-20. —Disciplinary Provisions regarding Foreign

Legal Consultants2-21. —Affiliation of Foreign Legal Consultant with the

Bar of the State of Connecticut2-22. Disposition of Fees for Admission to the Bar2-23. Roll of Attorneys2-24. Notice by Attorney of Admission in Other Juris-

dictions2-25. Notice by Attorney of Disciplinary Action in

Other Jurisdictions2-26. Notice by Attorney of Change in Address2-27. Clients’ Funds; Lawyer Registration2-27A. Minimum Continuing Legal Education2-28. Overdraft Notification2-28A. Attorney Advertising; Mandatory Filing2-28B. —Advisory Opinions2-29. Grievance Panels2-30. Grievance Counsel for Panels and Investigators2-31. Powers and Duties of Grievance Counsel2-32. Filing Complaints against Attorneys; Action;

Time Limitation2-33. Statewide Grievance Committee2-34. Statewide Bar Counsel2-34A. Disciplinary Counsel2-35. Action by Statewide Grievance Committee or

Reviewing Committee2-36. Action by Statewide Grievance Committee on

Request for Review


2-37. Sanctions and Conditions Which May Be Imposedby Committees

2-38. Appeal from Decision of Statewide GrievanceCommittee or Reviewing Committee ImposingSanctions or Conditions

2-39. Reciprocal Discipline2-40. Discipline of Attorneys Found Guilty of Serious

Crimes in Connecticut2-41. Discipline of Attorneys Found Guilty of Serious

Crimes in Another Jurisdiction2-42. Conduct Constituting Threat of Harm to Clients2-43. Notice by Attorney of Alleged Misuse of Clients’

Funds and Garnishments of Lawyers’ TrustAccounts

2-44. Power of Superior Court to Discipline Attorneysand to Restrain Unauthorized Practice

2-44A. Definition of the Practice of Law2-45. —Cause Occurring in Presence of Court2-46. Suspension of Attorneys Who Violate Support

Orders2-47. Presentments and Unauthorized Practice of

Law Petitions2-47A. Disbarment of Attorney for Misappropriation of

Funds2-47B. Restrictions on the Activities of Deactivated

Attorneys2-48. Designee to Prosecute Presentments2-49. Restitution2-50. Records of Statewide Grievance Committee,

Reviewing Committee and Grievance Panel2-51. Costs and Expenses2-52. Resignation and Waiver of Attorney Facing Disci-

plinary Investigation2-53. Reinstatement after Suspension, Disbarment or

Resignation2-54. Publication of Notice of Reprimand, Suspension,

Disbarment, Resignation, Placement on Inac-tive Status or Reinstatement

2-55. Retirement of Attorney—Right of Revocation2-55A. Retirement of Attorney—Permanent2-56. Inactive Status of Attorney2-57. —Prior Judicial Determination of Incompetency or

Involuntary Commitment2-58. —No Prior Determination of Incompetency or

Involuntary Commitment2-59. —Disability Claimed during Course of Disciplin-

ary Proceeding2-60. —Reinstatement upon Termination of Disability2-61. —Burden of Proof in Inactive Status Proceedings2-62. —Waiver of Doctor-Patient Privilege upon Appli-

cation for Reinstatement2-63. Definition of Respondent2-64. Appointment of Attorney to Protect Clients’ and

Attorney’s Interests2-65. Good Standing of Attorney2-66. Practice by Court Officials2-67. Payment of Attorneys by Bank and Trust Com-

panies2-68. Client Security Fund Established2-68A. —Crisis Intervention and Referral Assistance2-69. —Definition of Dishonest Conduct2-70. —Client Security Fund Fee2-71. —Eligible Claims2-72. —Client Security Fund Committee2-73. —Powers and Duties of Client Security Fund Com-

mittee2-74. —Regulations of Client Security Fund Committee

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2-75. —Processing Claims2-76. —Confidentiality2-77. —Review of Status of Fund2-78. —Attorney’s Fee for Prosecuting Claim2-79. —Enforcement of Payment of Fee2-80. —Restitution by Attorney2-81. —Restitution and Subrogation2-82. Admission of Misconduct; Discipline by Consent2-83. Effective Dates

CHAPTER 3

APPEARANCESSec.3-1. Appearance for Plaintiff on Writ or Complaint in

Civil and Family Cases3-2. Time to File Appearance3-3. Form and Signing of Appearance3-4. Filing Appearance3-5. Service of Appearances on Other Parties3-6. Appearances for Bail or Detention Hearing Only3-7. Consequence of Filing Appearance3-8. Appearance for Represented Party3-9. Withdrawal of Appearance; Duration of

Appearance3-10. Motion to Withdraw Appearance3-11. Appearance for Several Parties3-12. Change in Name, Composition or Membership of

a Firm or Professional Corporation3-13. When Creditor May Appear and Defend3-14. Legal Interns3-15. —Supervision of Legal Interns3-16. —Requirements and Limitations3-17. —Activities of Legal Intern3-18. —Certification of Intern3-19. —Legal Internship Committee3-20. —Unauthorized Practice3-21. —Out-of-State Interns

CHAPTER 4

PLEADINGSSec.4-1. Form of Pleading4-2. Signing of Pleading4-3. Filing and Endorsing Pleadings4-4. Electronic Filing4-5. Notice Required for Ex Parte Temporary

Injunctions4-6. Page Limitations for Briefs, Memoranda of Law

and Reply Memoranda4-7. Personal Identifying Information to Be Omitted or

Redacted from Court Records in Civil and Fam-ily Matters

CHAPTER 5

TRIALSSec.5-1. Trial Briefs5-2. Raising Questions of Law Which May Be the Sub-

ject of an Appeal5-3. Administering Oath5-4. Examination of Witnesses


5-5. Objections to Evidence; Interlocutory Questions;Exceptions Not Required

5-6. Reception of Evidence Objected to5-7. Marking Exhibits5-8. Interlocutory Matters5-9. Citation of Opinion Not Officially Published

[Repealed]5-10. Sanctions for Counsel’s Failure to Appear5-11. Testimony of Party or Child in Family Relations

Matter When Protective Order, RestrainingOrder, Standing Criminal Protective Order orStanding Criminal Restraining Order Issued onBehalf of Party or Child

CHAPTER 6

JUDGMENTSSec.6-1. Statement of Decision; When Required6-2. Judgment Files; Captions and Contents6-3. —Preparation; When; By Whom; Filing6-4. —Signing of Judgment File6-5. —Notation of Satisfaction

CHAPTER 7

CLERKS; FILES AND RECORDSSec.7-1. Dockets; Clerk’s Records

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS

CHAPTER 8

COMMENCEMENT OF ACTION

Sec.8-1. Process8-2. Waiver of Court Fees and Costs8-3. Bond for Prosecution [Repealed]8-3A. Bond for Prosecution or Recognizance8-4. Certification of Financial Responsibility

[Repealed]8-5. Remedy for Failure to Give Bond [Repealed]8-6. Bond Ordered by Judicial Authority [Repealed]8-7. Request to Furnish Bond [Repealed]8-8. Member of Community Defending to Give Bond

[Repealed]8-9. Bond by Nonresident in Realty Action [Repealed]8-10. Surety Company Bond Acceptable8-11. Action on Probate Bond; Endorsement of Writ

[Repealed]8-12. Renewal of Bond

CHAPTER 9

PARTIES

Sec.9-1. Continuance for Absent or Nonresident Defendant9-2. Defense by Garnishee; Continuance

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7-2. General Duties of Clerk7-3. Financial Accounts7-4. Daybook7-4A. Identification of Cases7-4B. Motion to File Record under Seal7-4C. Lodging a Record7-5. Notice to Attorneys and Self-Represented Parties7-6. Filing of Papers7-7. Custody of Files7-8. Lost File or Pleading7-9. Completing Records7-10. Retention and Destruction of Files and Records;

Withdrawals, Dismissals, Satisfactions ofJudgment

7-11. —Judgments on the Merits—Stripping andRetention

7-12. —Actions Affecting the Title to Land7-13. —Criminal/Motor Vehicle Files and Records7-14. —Reports from Adult Probation and Family

Division7-15. —Retention Ordered by Chief Court Administra-

tor; Transfer to State Library7-16. —Motion to Prevent Destruction of File7-17. Clerks’ Offices7-18. Hospital, Psychiatric and Medical Records7-19. Issuing Subpoenas for Witnesses on Behalf of

Self-Represented Litigants7-20. Records of Short Calendar Matters7-21. Removing Exhibits and Other Papers

9-3. Joinder of Parties and Actions; Interested Personsas Plaintiffs

9-4. —Joinder of Plaintiffs in One Action9-5. —Consolidation of Actions9-6. —Interested Persons as Defendants9-7. Class Actions; Prerequisites to Class Actions9-8. —Class Actions Maintainable9-9. —Procedure for Class Certification and Manage-

ment of Class9-10. —Orders to Ensure Adequate Representation9-11. Executor, Administrator or Trustee of Express

Trust9-12. Personal Representatives of Cocontractor9-13. Persons Liable on Same Instrument9-14. Defendants Alternately Liable9-15. Assignee of Part Interest9-16. Assignment Pending Suit9-17. Unsatisfied Judgment against One Defendant9-18. Addition or Substitution of Parties; Additional Par-

ties Summoned in by Court9-19. —Nonjoinder and Misjoinder of Parties9-20. —Substituted Plaintiff9-21. —Counterclaim; Third Parties9-22. —Motion to Cite in New Parties9-23. Suit by Real Party in Interest9-24. Change of Name by Minor Child9-25. Action on Bond to Municipal Officer


CHAPTER 10

PLEADINGS

Sec.10-1. Fact Pleading10-2. Pleading Legal Effect10-3. Allegations Based on Statutory Grounds; For-

eign Law10-4. Implied Duty10-5. Untrue Allegations or Denials10-6. Pleadings Allowed and Their Order10-7. Waiving Right to Plead10-8. Time to Plead10-9. Common Counts10-10. Supplemental Pleadings; Counterclaims10-11. Impleading of Third Party by Defendant in Civil

Action10-12. Service of the Pleading and Other Papers;

Responsibility of Counsel or Self-RepresentedParty: Documents and Persons to Be Served

10-13. —Method of Service10-14. —Proof of Service10-15. —Numerous Defendants10-16. —Several Parties Represented by One Attorney10-17. —Service by Indifferent Person10-18. Penalty for Failing to Plead10-19. Implied Admissions10-20. Contents of Complaint10-21. Joinder of Causes of Action10-22. —Transactions Connected with Same Subject10-23. —Joinder of Torts10-24. —Legal and Equitable Relief10-25. Alternative Relief10-26. Separate Counts10-27. Claim for Equitable Relief10-28. Interest and Costs Need Not Be Claimed10-29. Exhibits as Part of Pleading10-30. Motion to Dismiss; Grounds10-31. —Opposition; Date for Hearing Motion to Dismiss10-32. —Waiver Based on Certain Grounds10-33. —Waiver and Subject Matter Jurisdiction10-34. —Further Pleading by Defendant10-35. Request to Revise10-36. —Reasons in Request to Revise10-37. —Granting of and Objection to Request to Revise10-38. —Waiver of Pleading Revisions10-39. Motion to Strike; Grounds10-40. —Opposition; Date for Hearing Motion to Strike10-41. —Reasons in Motion to Strike [Repealed]10-42. —Memorandum of Law—Motion and Objection

[Repealed]10-43. —When Memorandum of Decision Required on

Motion to Strike10-44. —Substitute Pleading; Judgment10-45. —Stricken Pleading Part of Another Cause or

Defense10-46. The Answer; General and Special Denial10-47. —Evasive Denials10-48. —Express Admissions and Denials to Be Direct

and Specific10-49. —Suit by Corporation; Admission by General

Denial10-50. —Denials; Special Defenses10-51. —Several Special Defenses10-52. —Admissions and Denials in Special Defense10-53. —Pleading Contributory Negligence

85


10-54. —Pleading of Counterclaim and Setoff10-55. —Withdrawal of Action after Counterclaim10-56. Subsequent Pleadings; Plaintiff’s Response to

Answer10-57. —Matter in Avoidance of Answer10-58. —Pleadings Subsequent to Reply10-59. Amendments; Amendment as of Right by Plaintiff10-60. —Amendment by Consent, Order of Judicial

Authority, or Failure to Object10-61. —Pleading after Amendment10-62. —Variance; Amendment10-63. —Amendment; Legal or Equitable Relief10-64. —Amendment Calling for Legal Relief; Jury Trial10-65. —Amending Contract to Tort and Vice Versa10-66. —Amendment of Amount in Demand10-67. —Amendment of Claim against Insolvent Estate10-68. Pleading Special Matters; Pleading Notice10-69. —Foreclosure Complaint; Pleading Encum-

brances10-70. —Foreclosure of Municipal Liens10-71. —Action on Probate Bond10-72. —Action by Assignee of Chose in Action10-73. —Pleading Charters10-74. —Wrongful Sale; Wrongful Conversion10-75. —Goods Sold; Variance10-76. —Probate Appeals; Reasons of Appeal10-77. —Appeals from Commissioners10-78. —Pleading Collateral Source Payments10-79. —Pleading Issues of Policy Limitations

CHAPTER 11

MOTIONS, REQUESTS, ORDERS OF NOTICE,AND SHORT CALENDAR

Sec.11-1. Form of Motion and Request11-2. Definition of ‘‘Motion’’ and ‘‘Request’’11-3. Motion for Misjoinder of Parties11-4. Applications for Orders of Notice11-5. Subsequent Orders of Notice; Continuance11-6. Notice by Publication11-7. Attestation; Publication; Proof of Compliance11-8. Orders of Notice Directed outside of the United

States of America11-9. Disclosure of Previous Applications11-10. Requirement That Memorandum of Law Be Filed

with Certain Motions11-11. Motions Which Delay the Commencement of the

Appeal Period or Cause the Appeal Period toStart Again

11-12. Motion to Reargue11-13. Short Calendar; Need for List; Case Assigned for

Trial; Reclaims11-14. —Short Calendar; Frequency; Time; Lists11-15. —Short Calendar; Assignments Automatic11-16. —Continuances when Counsel’s Presence or Oral

Argument Required11-17. —Transfers on Short Calendar11-18. —Oral Argument of Motions in Civil Matters11-19. —Time Limit for Deciding Short Calendar Matters11-20. Closure of Courtroom in Civil Cases11-20A. Sealing Files or Limiting Disclosure of Documents

in Civil Cases11-20B. —Documents Containing Personal Identifying

Information11-21. Motions for Attorney’s Fees


CHAPTER 12

TRANSFER OF ACTIONS

Sec.12-1. Procedure for Transfer12-2. Transfer of Action Filed in Wrong Location of Cor-

rect Court12-3. Transmission of Files and Papers

CHAPTER 13

DISCOVERY AND DEPOSITIONS

Sec.13-1. Definitions13-2. Scope of Discovery; In General13-3. —Materials Prepared in Anticipation of Litigation;

Statements of Parties; Privilege Log13-4. —Experts13-5. —Protective Order13-6. Interrogatories; In General13-7. —Answers to Interrogatories13-8. —Objections to Interrogatories13-9. Requests for Production, Inspection and Examina-

tion; In General13-10. —Responses to Requests for Production;

Objections13-11. —Physical or Mental Examination13-11A. —Motion for Authorization to Obtain Protected

Health Information13-12. Disclosure of Amount and Provisions of Insurance

Liability Policy13-13. Disclosure of Assets in Cases in Which Prejudg-

ment Remedy Sought13-14. Order for Compliance; Failure to Answer or Com-

ply with Order13-15. Continuing Duty to Disclose13-16. Orders by Judge13-17. Disclosure before Court or Committee13-18. Disclosures in Equity13-19. Disclosure of Defense13-20. Discovery Sought by Judgment Creditor13-21. Discovery Outside the United States of America13-22. Admission of Facts and Execution of Writings;

Requests for Admission13-23. —Answers and Objections to Requests for

Admission13-24. —Effect of Admission13-25. —Expenses on Failure to Admit13-26. Depositions; In General13-27. —Notice of Deposition; General Requirements;

Special Notice; Nonstenographic Recording;Production of Documents and Things; Deposi-tion of Organization

13-28. —Persons before Whom Deposition Taken; Sub-poenas

13-29. —Place of Deposition13-30. —Deposition Procedure13-31. —Use of Depositions in Court Proceedings13-32. Stipulations regarding Discovery and Deposition

Procedure13-33. Claim of Privilege or Protection after Production

86


CHAPTER 14

DOCKETS, TRIAL LISTS, PRETRIALS ANDASSIGNMENT LISTS

Sec.14-1. Claim for Statutory Exemption or Stay by Reason

of Bankruptcy14-2. Claim for Exemption from Docket Management

Program by Reason of Bankruptcy14-3. Dismissal for Lack of Diligence14-4. Maintenance of Case Records14-5. Definition of Administrative Appeals14-6. Administrative Appeals Are Civil Actions14-7. Administrative Appeals; Exceptions14-7A. —Administrative Appeals Brought Pursuant to

General Statutes § 4-183 et seq.; Appearances;Records, Briefs and Scheduling

14-7B. Administrative Appeals from Municipal Land Use,Historic and Resource Protection Agencies;Records, Briefs and Scheduling; Withdrawalor Settlement

14-8. Certifying That Pleadings Are Closed14-9. Privileged Cases in Assignment for Trial14-10. Claims for Jury14-11. Pretrial; Assignment for Pretrial14-12. —When Case Not Disposed of at Pretrial14-13. —Pretrial Procedure14-14. —Orders at Pretrial14-15. Assignments for Trial in General14-16. Methods of Assigning Cases for Trial14-17. Immediate Trial14-18. Cases Reached for Trial14-19. Cases Marked Settled14-20. Order of Trial14-21. Clerk to Communicate with Counsel in Cases

Assigned for Week Certain14-22. Assignment for Trial on Motion of Garnishee14-23. Motions to Continue or Postpone Case Assigned

for Trial14-24. Motion to Postpone; Absent Witness; Missing

Evidence14-25. Availability of Counsel for Trial

CHAPTER 15

TRIALS IN GENERAL; ARGUMENT BYCOUNSEL

Sec.15-1. Order of Trial15-2. Separate Trials15-3. Motion in Limine15-4. Medical Evidence15-5. Order of Parties Proceeding at Trial15-6. Opening Argument15-7. Time Limit on Argument15-8. Dismissal in Court Cases for Failure to Make Out

a Prima Facie Case

CHAPTER 16

JURY TRIALSSec.16-1. Deaf or Hearing Impaired Jurors16-2. Challenge to Array16-3. Preliminary Proceedings in Jury Selection16-4. Disqualification of Jurors and Selection of Panel


16-5. Peremptory Challenges16-6. Voir Dire Examination16-7. Juror Questions and Note Taking16-8. Oath and Admonitions to Trial Jurors16-9. Questions of Law and Fact16-10. Order by Judicial Authority for Jury Trial of Factual

Issues in Equitable Actions16-11. Cases Presenting Both Legal and Equitable

Issues16-12. View by Jury of Place or Thing Involved in Case16-13. Judgment of the Court16-14. Communications between Parties and Jurors16-15. Materials to Be Submitted to Jury16-16. Jury Deliberations16-17. Jury Returned for Reconsideration16-18. Interrogatories to the Jury16-19. Reading of Statement of Amount in Demand or

Statement of Claim; Arguing Amount Recov-erable

16-20. Requests to Charge and Exceptions; Necessity for16-21. —Requests to Charge on Specific Claims16-22. —Filing Requests16-23. —Form and Contents of Requests to Charge16-24. —Charge Conference16-25. Modification of Instructions for Correction or Clari-

fication16-26. Other Instructions after Additional Instructions16-27. Jury Request for Review of Testimony16-28. Jury Request for Additional Instructions16-29. Deadlocked Jury16-30. Verdict; Return of Verdict16-31. —Acceptance of Verdict16-32. —Poll of Jury after Verdict16-33. —Discharge of Jury16-34. —Impeachment of Verdict16-35. Motions after Verdict: Motions in Arrest of Judg-

ment, to Set Aside Verdict, for Additur or Remitti-tur, for New Trial, or for Collateral SourceReduction

16-36. Motions to Reduce Verdict [Repealed] (Trans-ferred to Section 17-2A.)

16-37. Reservation of Decision on Motion for DirectedVerdict

16-38. Memorandum on Setting Verdict Aside

CHAPTER 17

JUDGMENTS

Sec.17-1. Judgments in General17-2. Judgment on Verdict and Otherwise17-2A. Motions to Reduce Verdict17-3. Remittitur where Judgment Too Large17-4. Setting Aside or Opening Judgments17-4A. Motions for New Trial17-5. Record of Proceeding; Facts Supporting Judg-

ment to Appear on Record17-6. Form of Finding17-7. Special Finding; Request17-8. —Functions of Special Finding17-9. —Form and Contents of Special Finding17-10. Modifying Judgment after Appeal17-11. Offer of Compromise by Defendant; How Made17-12. —Acceptance of Defendant’s Offer17-13. —Defendant’s Offer Not Accepted17-14. Offer of Compromise by Plaintiff; How Made

87


17-14A. —Alleged Negligence of Health Care Provider17-15. —Acceptance of Plaintiff’s Offer17-16. —Plaintiff’s Offer Not Accepted17-17. —Offer of Compromise and Acceptance Included

in Record17-18. —Judgment where Plaintiff Recovers an Amount

Equal to or Greater than Offer17-19. Procedure where Party Fails to Comply with Order

of Judicial Authority or to Appear for Trial17-20. Motion for Default and Nonsuit for Failure to

Appear17-21. Defaults under Servicemembers Civil Relief Act17-22. Notice of Judgments of Nonsuit and Default for

Failure to Enter an Appearance17-23. Contract Actions to Pay a Definite Sum where

There is a Default for Failure to Appear; Limi-tations

17-24. —Promise to Pay Liquidated Sum17-25. —Motion for Default and Judgment; Affidavit of

Debt; Military Affidavit; Bill of Costs; DebtInstrument

17-26. —Order for Weekly Payments17-27. —Entry of Judgment17-28. —Enforcement of Judgment17-29. —Default Motion Not on Short Calendar17-30. Summary Process; Default and Judgment for Fail-

ure to Appear or Plead17-31. Procedure where Party is in Default17-32. Where Defendant is in Default for Failure to Plead17-33. When Judgment May Be Rendered after a Default17-33A. Motions for Judgment of Foreclosure17-34. Hearings in Damages; Notice of Defenses17-35. —Requirements of Notice; Time17-36. —Notice by Clerk17-37. —Notice of Defense to Be Specific17-38. —Amending Notice of Defense17-39. —No Reply Allowed17-40. —Evidence to Reduce Damages17-41. Relief Permissible on Default17-42. Opening Defaults where Judgment Has Not

Been Rendered17-43. Opening Judgment upon Default or Nonsuit17-44. Summary Judgments; Scope of Remedy17-45. —Proceedings upon Motion for Summary Judg-

ment; Request for Extension of Time toRespond

17-46. —Form of Affidavits17-47. —When Appropriate Documents Are Unavailable17-48. —Affidavits Made in Bad Faith17-49. —Judgment17-50. —Triable Issue as to Damages Only17-51. —Judgment for Part of Claim17-52. Executions17-53. Summary Process Executions17-54. Declaratory Judgment; Scope17-55. —Conditions for Declaratory Judgment17-56. —Procedure for Declaratory Judgment17-57. —Costs in Declaratory Judgment17-58. —Declaratory Judgment Appealable17-59. —Order of Priorities in Declaratory Judgment

CHAPTER 18

FEES AND COSTS

Sec.18-1. Vouchers for Court Expenses


18-2. Costs on Appeal from Commissioners18-3. Costs on Creditor’s Appeal18-4. Eminent Domain; Clerk’s Fees18-5. Taxation of Costs; Appeal18-6. Costs on Writ of Error18-7. Costs on Interlocutory Proceedings18-8. Jury Fee where More than One Trial18-9. Nonresident Witnesses; Fees18-10. Witness Fees in Several Suits18-11. Witness Not Called; Fees18-12. Costs where Several Issues18-13. Several Defendants; Costs18-14. Fees and Costs where Plaintiffs Join or Actions

Are Consolidated18-15. Costs where Both Legal and Equitable Issues18-16. Costs on Complaint and Counterclaim18-17. Costs on Counterclaim18-18. Costs for Exhibits18-19. Proceedings before Judge; No Costs

CHAPTER 19

REFERENCES

Sec.19-1. Application of Chapter19-2. Reference to Committee19-2A. Reference to Attorney Trial Referee19-3. Reference to Judge Trial Referee19-3A. Reference to Special Assignment Probate Judge19-4. Attorney Trial Referees and Special Assignment

Probate Judges; Time to File Report19-5. Appointment of Committee or Referee19-6. Effect of Reference19-7. Pleadings19-8. Report19-9. Request for Finding19-10. Alternative Report19-11. Amending Report19-12. Motion to Correct [Repealed]19-13. Exceptions to Report or Finding [Repealed]19-14. Objections to Acceptance of Report19-15. Time to File Objections19-16. Judgment on the Report19-17. Function of the Court19-18. Extensions of Time19-19. Reference to Accountant

CHAPTER 20

HEARINGS IN CHAMBERS

Sec.20-1. Procedure in Contested Matters20-2. Certifying Proceedings to Court20-3. Transfer of Hearings before Judges20-4. Trial before Judge; Lodging File and Papers20-5. Lodging Papers in Cause Affecting Land20-6. Clerk Designated by Judge to Take Papers

CHAPTER 21

RECEIVERS

Sec.21-1. Appointment of Temporary Receiver in Chambers21-2. Permanent Receiver

88


21-3. Appointments by Court21-4. Receiver to Give Bond21-5. Inventory21-6. Insolvent Estates to Be Liquidated21-7. Presentation and Allowance of Claims; Presen-

tation21-8. —Allowance; Hearing21-9. —Extensions of Time21-10. —Hearing before Action on Allowance21-11. Continuance of Business21-12. Reports where Business Continued21-13. Semiannual Summary of Orders21-14. Semiannual Accounts21-15. Orders in Chambers21-16. Duty of Clerks21-17. Removal of Receivers21-18. Ancillary Receivers21-19. Receiver of Rents; Applicability of Previous

Sections21-20. —Appointment21-21. —Bond21-22. —Discharge21-23. —Orders21-24. —Reports

CHAPTER 22

UNEMPLOYMENT COMPENSATION

Sec.22-1. Appeal22-2. Assignment for Hearing22-3. Finding22-4. Correction of Finding; Motion to Correct Finding22-5. —Evidence to Be Filed by Appellee22-6. —Motion to Correct by Appellee22-7. —Duty of Board on Motion to Correct22-8. —Claiming Error on Board’s Decision on Motion

to Correct22-9. Function of the Court

CHAPTER 23

MISCELLANEOUS REMEDIES ANDPROCEDURES

Sec.23-1. Arbitration; Confirming, Correcting or Vacating

Award23-2. Expedited Process Cases [Repealed]23-3. —Placement on the Expedited Process Track

[Repealed]23-4. —Pleadings Allowed in Expedited Process Track

Cases [Repealed]23-5. —Motions Allowed [Repealed]23-6. —Discovery Allowed [Repealed]23-7. —Discovery Procedure for Expedited Process

Cases [Repealed]23-8. —Certification That Pleadings Are Closed

[Repealed]23-9. —Case Management Conference for Expedited

Process Track Cases [Repealed]23-10. —Transfer to Regular Docket [Repealed]23-11. —Offers of Judgment [Repealed]23-12. —Trial of Cases on Expedited Process Track

[Repealed]


23-13. Granting of Complex Litigation Status andAssignment

23-14. —Powers of Judge Assigned in Complex Litiga-tion Cases

23-15. —Request for Complex Litigation Status23-16. Foreclosure of Mortgages23-17. —Listing of Law Days23-18. —Proof of Debt in Foreclosures23-19. —Motion for Deficiency Judgment23-20. Review of Civil Contempt23-21. Habeas Corpus23-22. —The Petition23-23. —Return of Noncomplying Petition23-24. —Preliminary Consideration of Judicial Authority23-25. —Waiver of Filing Fees and Costs of Service23-26. —Appointment of Counsel23-27. —Venue for Habeas Corpus23-28. —Transfer of Habeas Corpus23-29. —Dismissal23-30. —The Return23-31. —Reply to the Return23-32. —Amendments23-33. —Request for a More Specific Statement23-34. —Summary Procedures for Habeas Corpus

Petitions23-35. —Schedule for Filing Pleadings23-36. —The Expanded Record23-37. —Summary Judgment in Habeas Corpus23-38. —Discovery in Habeas Corpus23-39. —Depositions in Habeas Corpus23-40. —Court Appearance in Habeas Corpus23-41. —Motion for Leave to Withdraw Appearance of

Appointed Counsel23-42. —Judicial Action on Motion for Permission to With-

draw Appearance23-43. Interpleader; Pleadings23-44. —Procedure in Interpleader23-45. Mandamus; Parties Plaintiff; Complaint23-46. —Mandamus Complaint [Repealed]23-47. —Mandamus in a Pending Action23-48. —Temporary Order of Mandamus23-49. —Pleadings in Mandamus23-50. Writs of Error23-51. Petition to Open Parking or Citation Assessment23-52. Fact-Finding; Approval of Fact Finders23-53. —Referral of Cases to Fact Finders23-54. —Selection of Fact Finders; Disqualification23-55. —Hearing in Fact-Finding23-56. —Finding of Facts23-57. —Objections to Acceptance of Finding of Facts23-58. —Action by Judicial Authority23-59. —Failure to Appear at Hearing23-60. Arbitration; Approval of Arbitrators

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS

CHAPTER 25GENERAL PROVISIONS

Sec.25-1. Definitions Applicable to Proceedings on Family

Matters

89


23-61. —Referral of Cases to Arbitrators23-62. —Selection of Arbitrators; Disqualification23-63. —Hearing in Arbitration23-64. —Decision of Arbitrator23-65. —Failure to Appear at Hearing before Arbitrator23-66. —Claim for Trial De Novo in Arbitration; Judgment23-67. Alternative Dispute Resolution23-68. Where Presence of Person May Be by Means of

an Interactive Audiovisual Device

CHAPTER 24SMALL CLAIMS

Sec.24-1. In General24-2. Allowable Actions24-3. Institution of Actions; Electronic Filing24-4. Where Claims Shall Be Filed24-5. Venue24-6. Definition of ‘‘Plaintiff’’ and ‘‘Representative’’24-7. What Constitutes File24-8. Institution of Small Claims Actions; Beginning of

Action24-9. —Preparation of Writ24-10. —Service of Small Claims Writ and Notice of Suit24-11. —Further Service of Claim [Repealed]24-12. —Answer Date24-13. —Alternative Method of Commencing Action

[Repealed]24-14. —Notice of Time and Place of Hearing24-15. —Scheduling of Hearings; Continuances24-16. Answers; Requests for Time to Pay24-17. —Prohibition of Certain Filings24-18. —Plaintiff to Inquire as to Answer Filed [Repealed]24-19. —Claim of Setoff or Counterclaim24-20. —Amendment of Claim or Answer, Setoff or Coun-

terclaim; Motion to Dismiss24-20A. —Request for Documents; Depositions24-21. Transfer to Regular Docket24-22. Hearings in Small Claims Actions; Subpoenas24-23. —Procedure24-24. Judgments in Small Claims; When Presence of

the Plaintiff or Representative is Not Requiredfor Entry of Judgment

24-25. —Failure of the Defendant to Answer24-26. —Failure of a Party to Appear before the Court

when Required24-27. —Dismissal for Failure to Obtain Judgment24-28. —Finality of Judgments and Decisions24-29. —Decision in Small Claims; Time Limit24-30. —Satisfying Judgment24-31. —Opening Judgment; Costs24-32. Execution in Small Claims Actions24-33. Costs in Small Claims

25-2. Complaints for Dissolution of Marriage or CivilUnion, Legal Separation, or Annulment

25-2A. Premarital and Postnuptial Agreements25-3. Action for Custody of Minor Child25-4. Action for Visitation of Minor Child


25-5. Automatic Orders upon Service of Complaint orApplication

25-5A. Automatic Orders upon Service of Petition forChild Support

25-5B. Automatic Orders upon Filing of Joint Petition—Nonadversarial Divorce

25-6. Parties and Appearances25-7. Pleadings in General; Amendments to Complaint

or Application25-8. —Amendment; New Ground for Dissolution of

Marriage or Civil Union25-9. —Answer, Cross Complaint, Claims for Relief

by Defendant25-10. —Answer to Cross Complaint25-11. —Order of Pleadings25-12. Motion to Dismiss25-13. —Grounds on Motion to Dismiss25-14. —Waiver and Subject Matter Jurisdiction25-15. —Further Pleading by Defendant25-16. Motion to Strike; In General25-17. —Date for Hearing25-18. —Reasons25-19. —Memorandum of Law25-20. —When Memorandum of Decision Required25-21. —Substitute Pleading; Judgment25-22. —Stricken Pleading Part of Another Cause or

Defense25-23. Motions, Requests, Orders of Notice, and Short

Calendar25-24. Motions25-25. Motion for Exclusive Possession25-26. Modification of Custody, Alimony or Support25-27. Motion for Contempt25-28. Order of Notice25-29. Notice of Orders for Support or Alimony25-30. Statements to Be Filed25-31. Discovery and Depositions25-32. Mandatory Disclosure and Production25-32A. Discovery Noncompliance25-32B. Discovery—Special Master25-33. Judicial Appointment of Expert Witnesses25-34. Procedure for Short Calendar25-35. Disclosure of Conference Recommendation25-36. Motion for Decree Finally Dissolving Marriage or

Civil Union after Decree of Legal Separation25-37. —Notice and Hearing25-38. Judgment Files

SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORTMAGISTRATE MATTERS

CHAPTER 25aFAMILY SUPPORT MAGISTRATE MATTERS

Sec.25a-1. Family Support Magistrate Matters; Procedure25a-1A. Notice of Title IV-D Child Support Enforcement

Services25a-2. Prompt Filing of Appearance25a-3. Withdrawal of Appearance; Duration of

Appearance25a-4. Telephonic Hearings

90


25-39. Miscellaneous Rules25-40. Habeas Corpus in Family Matters; the Petition25-41. —Preliminary Consideration25-42. —Dismissal25-43. —The Return25-44. —Reply to the Return25-45. —Schedule for Filing Pleadings25-46. —Summary Judgment as to Writ of Habeas

Corpus25-47. —Discovery25-48. Dockets, Pretrials and Assignment for Disposition25-49. Definitions25-50. Case Management25-51. When Motion for Default for Failure to Appear

Does Not Apply25-52. Failure to Appear for Scheduled Disposition25-53. Reference of Family Matters25-54. Order of Trial; Argument by Counsel25-55. Medical Evidence25-56. Production of Documents at Hearing or Trial25-57. Affidavit concerning Children25-58. Reports of Dissolution of Marriage or Civil Union

and Annulment25-59. Closure of Courtroom in Family Matters25-59A. Sealing Files or Limiting Disclosure of Documents

in Family Matters25-59B. —Documents Containing Personal Identifying

Information25-60. Evaluations, Studies, Family Services Mediation

Reports and Family Services Conflict Resolu-tion Reports

25-60A. Court-Ordered Private Evaluations25-61. Family Division25-61A. Standing Committee on Guardians Ad Litem and

Attorneys for the Minor Child in Family Matters25-62. Appointment of Guardian Ad Litem25-62A. Appointment of Attorney for a Minor Child25-63. Right to Counsel in Family Civil Contempt Pro-

ceedings25-64. —Waiver25-65. Family Support Magistrates; Procedure

[Repealed]25-66. Appeal from Decision of Family Support Magis-

trate [Repealed]25-67. Support Enforcement Services [Repealed]25-68. Right to Counsel in State Initiated Paternity

Actions25-69. Social Services; Additional Duties

25a-5. Signing of Pleading25a-6. Contents of Petition25a-7. Automatic Orders upon Service of Petition25a-8. Order of Notice25a-9. Motions25a-10. —Motion to Cite in New Parties25a-11. Answer to Cross Petition25a-12. Order of Pleadings25a-13. Reclaims25a-14. —Continuances when Counsel’s Presence or Oral

Argument Required


25a-15. Statements to Be Filed25a-16. Opening Argument25a-17. Motion to Open Judgment of Paternity by Acknowl-

edgment25a-18. Modification of Alimony or Support25a-19. Standard Disclosure and Production25a-20. Medical Evidence25a-21. Experts25a-22. Interrogatories; In General25a-23. Answers to Interrogatories

SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS

CHAPTER 26

DEFINITIONS

Sec.26-1. Definitions Applicable to Proceedings on Juve-

nile Matters26-2. Persons in Attendance at Hearings26-3. Case Initiation; Electronic Filing

CHAPTER 27

RECEPTION AND PROCESSING OFDELINQUENCY AND FAMILY WITH SERVICE

NEEDS COMPLAINTS OR PETITIONS

Sec.27-1. Complaints; In General [Repealed]27-1A. Referrals for Nonjudicial Handling of Delin-

quency Complaints27-2. —InsufficientAllegations inComplaints [Repealed]27-3. —Sufficient Allegations in Complaints [Repealed]27-4. Additional Offenses and Misconduct27-4A. Ineligibility for Nonjudicial Handling of Delin-

quency Complaint27-5. Initial Interview for Delinquency Nonjudicial Han-

dling Eligibility27-6. Denial of Responsibility27-7. —Written Statement of Responsibility27-8. —Scheduling of Judicial Plea/Dispositional Hear-

ing [Repealed]27-8A. Nonjudicial Supervision—Delinquency27-9. Family with Service Needs Referrals

CHAPTER 28

DELINQUENCY AND FAMILY WITH SERVICENEEDS NONJUDICIAL SUPERVISION

[Repealed as of Jan. 1, 2003.]

Sec.28-1. NonjudicialSupervision [Repealed] (Transferredto

Section 27-8A.)

91


25a-24. Requests for Production, Inspection and Examina-tion; In General

25a-25. Order for Compliance; Failure to Answer or Com-ply with Order

25a-26. Continuing Duty to Disclose25a-27. Depositions; In General25a-28. —Place of Deposition25a-29. Appeal from Decision of Family Support Mag-

istrate25a-30. Support Enforcement Services

CHAPTER 29

RECEPTION AND PROCESSING OFDELINQUENCY AND CHILD FROM FAMILY

WITH SERVICE NEEDS PETITIONS ANDDELINQUENCY INFORMATIONS

Sec.29-1. Contents of Delinquency and Family with Service

Needs Petitions or Delinquency Informations29-1A. Processing of Delinquency Petitions and Infor-

mations29-1B. Processing of Family with Service Needs Petitions29-2. Service of Petitions

CHAPTER 30

DETENTION

Sec.30-1. Notice and Statement by Person Bringing Child to

Detention [Repealed]30-1A. Admission to Detention30-2. Release [Repealed]30-2A. Family with Service Needs and Detention30-3. Advisement of Rights30-4. Notice to Parents by Detention Personnel30-5. Detention Time Limitations30-6. Basis for Detention30-7. Place of Detention Hearings30-8. Initial Order for Detention; Waiver of Hearing30-9. Information Allowed at Detention Hearing30-10. Orders of a Judicial Authority after Initial Deten-

tion Hearing30-11. Detention after Dispositional Hearing

CHAPTER 30a

DELINQUENCY AND FAMILY WITH SERVICENEEDS HEARINGS

Sec.30a-1. Initial Plea Hearing30a-1A. Family with Service Needs Preadjudication Con-

tinuance30a-2. Pretrial Conference30a-3. —Standards of Proof; Burden of Going Forward30a-4. Plea Canvass30a-5. Dispositional Hearing


30a-6. —Statement on Behalf of Victim30a-6A. —Persons in Attendance at Hearings [Repealed]

(Transferred to Section 26-2.)30a-7. Recording of Hearings30a-8. Records30a-9. Appeals in Delinquency and Family with Service

Needs Proceedings

CHAPTER 31

DELINQUENCY AND FAMILY WITH SERVICENEEDS HEARING


Sec.31-1. Adjudicatory Hearing; Actions by Judicial Author-

ity [Repealed]31-2. —Continuance for Pretrial Conference [Repealed]31-3. —Burden of Going Forward [Repealed]31-4. —Physical Presence of Child [Repealed]31-5. DispositionalHearing;Factors toBeConsideredby

Judicial Authority [Repealed]31-6. —When Held; Evidence and Predispositional

Study [Repealed]31-7. —Availability of Predispositional Study to Counsel

and Parties [Repealed]31-8. —Dispositional Plan Offered by Child or Parent

[Repealed]31-9. —Statement on Behalf of Victim [Repealed]31-10. Modification of Probation and Supervision

[Repealed]31-11. Take into Custody [Repealed]31-12. Physical and Mental Examinations [Repealed]31-13. Mentally Ill Children [Repealed]

CHAPTER 31a

DELINQUENCY AND FAMILY WITH SERVICENEEDS MOTIONS AND APPLICATIONS

Sec.31a-1. Motions and Amendments31a-1A. Continuances and Advancements31a-2. Motion for Bill of Particulars31a-3. Motion to Dismiss31a-4. Motion to Suppress31a-5. Motion for Judgment of Acquittal31a-6. Motion for Transfer of Venue31a-7. Motion in Limine31a-8. Motion for Sequestration31a-9. Severance of Offenses31a-10. Trial Together on Petitions or Informations31a-11. Motion for New Trial31a-12. Motion to Transfer to Adult Criminal Docket31a-13. Take into Custody Order31a-13A. Temporary Custody Order—Family with Service

Needs Petition31a-14. Physical and Mental Examinations31a-15. Mentally Ill Children31a-16. Discovery31a-17. Disclosure of Defenses in Delinquency Pro-

ceedings31a-18. Modification of Probation and Supervision31a-19. Motion for Extension of Delinquency Commitment;

Motion for Review of Permanency Plan31a-19A. Motion for Extension or Revocation of Family with

92


Service Needs Commitment; Motion for Reviewof Permanency Plan

31a-20. Petition for Violation of Family with Service NeedsPost-Adjudicatory Orders

31a-21. Petition for Child from a Family with Service Needsat Imminent Risk

CHAPTER 32

NEGLECTED, UNCARED FOR ANDDEPENDENT CHILDREN AND TERMINATION

OF PARENTAL RIGHTS


Sec.32-1. Initiation of Judicial Proceeding; Contents of Peti-

tions and Summary of Facts [Repealed]32-2. —Summons Accompanying Petitions [Repealed]32-3. —Venue [Repealed]32-4. —Identity or Location of Parent Unknown

[Repealed]32-5. —Address of Person Entitled to Personal Service

Unknown [Repealed]32-6. Order of Temporary Custody; Application and

Sworn Statement [Repealed]32-7. —Statement in Temporary Custody Order of

Respondent’s Rights and of Subsequent Hear-ing [Repealed]

32-8. —Authority of Temporary Custodian [Repealed]32-9. —Emergency, Life-Threatening Medical Situa-

tions—Procedures [Repealed]

CHAPTER 32a

RIGHTS OF PARTIESNEGLECTED, ABUSED AND UNCARED FOR

CHILDREN AND TERMINATION OFPARENTAL RIGHTS

Sec.32a-1. Right to Counsel and to Remain Silent32a-2. Hearing Procedure; Subpoenas32a-3. Standards of Proof32a-4. Child or Youth Witness32a-5. Consultation with Child or Youth32a-6. Interpreter32a-7. Records32a-8. Use of Confidential Alcohol or Drug Abuse Treat-

ment Records as Evidence32a-9. Competency of Parent

CHAPTER 33

HEARINGS CONCERNING NEGLECTED,UNCARED FOR AND DEPENDENT CHILDRENAND TERMINATION OF PARENTAL RIGHTS


Sec.33-1. Adjudicatory Hearing; Actions by Judicial Author-

ity [Repealed]33-2. —Continuance for Case Status Conference

[Repealed]33-3. —Evidence [Repealed]


33-4. —Burden of Proceeding [Repealed]33-5. Dispositional Hearing; Evidence and Social Study

[Repealed]33-6. —Availability of Social Study to Counsel and Par-

ties [Repealed]33-7. —Dispositional Plan Offered by Respondents

[Repealed]33-8. Protective Supervision—Conditions and Modifica-

tion [Repealed]33-9. Extension Petitions [Repealed]33-10. Revocation of Commitments [Repealed]33-11. Modifications [Repealed]33-12. Coterminous Petitions [Repealed]33-13. Transfer from Probate Court of Petitions for

Removal of Parent as Guardian [Repealed]

CHAPTER 33a

PETITIONS FOR NEGLECT, UNCARED FOR,DEPENDENCY AND TERMINATION OF

PARENTAL RIGHTS: INITIATION OFPROCEEDINGS, ORDERS OF TEMPORARYCUSTODY AND PRELIMINARY HEARINGS

Sec.33a-1. Initiation of Judicial Proceeding; Contents of Peti-

tions and Summary of Facts33a-2. Service of Summons, Petitions and Ex Parte

Orders33a-3. Venue33a-4. Identity or Location of Respondent Unknown33a-5. Address of Person Entitled to Personal Service

Unknown33a-6. Order of Temporary Custody; Ex Parte Orders and

Orders to Appear33a-7. Preliminary Order of Temporary Custody or First

Hearing; Actions by Judicial Authority33a-8. Emergency, Life-Threatening Medical Situa-

tions—Procedures

CHAPTER 34

RIGHTS OF PARTIES


Sec.34-1. Right to Counsel and to Remain Silent [Repealed]34-2. Hearing Procedure; Subpoenas [Repealed]34-3. Standards of Proof [Repealed]34-4. Child Witness [Repealed]

CHAPTER 34a

PLEADINGS, MOTIONS AND DISCOVERYNEGLECTED, ABUSED AND UNCARED FOR

CHILDREN AND TERMINATION OFPARENTAL RIGHTS

Sec.34a-1. Motions, Requests and Amendments34a-2. Short Calendar—Frequency34a-3. Short Calendar—Assignments Automatic34a-4. Short Calendar—Continuances When Counsel’s

Presence or Oral Argument Required34a-5. Continuances and Advancements

93


34a-6. Pleadings Allowed and Their Order34a-7. Waiving Right to Plead34a-8. Time to Plead34a-9. Motion to Dismiss34a-10. Grounds of Motion to Dismiss34a-11. Waiver Based on Certain Grounds34a-12. Waiver and Subject Matter Jurisdiction34a-13. Further Pleading by Respondent or Child34a-14. Response to Summary of Facts34a-15. Motion to Strike34a-16. Reasons in Motion to Strike34a-17. Memorandum of Law—Motion and Objection34a-18. When Memorandum of Decision Required on

Motion to Strike34a-19. Substitute Pleading; Judgment34a-20. Discovery34a-21. Court-Ordered Evaluations34a-22. Motion for Contempt34a-23. Motion for Emergency Relief

CHAPTER 35

GENERAL PROVISIONS


Sec.35-1. Petitions, Motions and Amendments [Repealed]35-2. Continuances and Advancements [Repealed]35-3. Discovery [Repealed]35-4. Appeal [Repealed]35-5. Recording of Testimony; Records [Repealed]

CHAPTER 35a

HEARINGS CONCERNING NEGLECTED,ABUSED AND UNCARED FOR CHILDREN AND

TERMINATION OF PARENTAL RIGHTS

Sec.35a-1. Adjudication upon Acceptance of Admission or

Written Plea of Nolo Contendere35a-1A. Record of the Case35a-1B. Exclusion of Unnecessary Persons from

Courtroom35a-2. Case Status Conference or Judicial Pretrial35a-3. Coterminous Petitions35a-4. Motions to Intervene35a-5. Notice and Right to Be Heard35a-6. Post-Disposition Role of Former Guardian35a-6A. Consolidation35a-7. Evidence35a-7A. Adverse Inference35a-8. Burden of Proceeding35a-9. Dispositional Hearing; Evidence and Social Study35a-10. Availability of Social Study to Counsel and Parties35a-11. Dispositional Plan Offered by Respondents35a-12. Protective Supervision—Conditions and Modifi-

cation35a-12A. Motions for Transfer of Guardianship35a-13. Findings as to Continuation in the Home, Efforts to

Prevent Removal35a-14. Motions for Review of Permanency Plan35a-14A. Revocation of Commitment35a-15. Reunification Efforts—Aggravating Factors35a-16. Modifications


35a-17. Motions to Review Plan for Child Whose Parents’Rights Have Been Terminated [Repealed]

35a-18. Opening Default35a-19. Transfer from Probate Court of Petitions for

Removal of Parent as Guardian or Terminationof Parental Rights

SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS

CHAPTER 36

CRIMINAL

PROCEDURE PRIOR TO APPEARANCE

Sec.36-1. Arrest by Warrant; Issuance36-2. —Affidavit in Support of Application, Filing, Dis-

closure36-3. —Contents of Warrant36-4. —Direction by Judicial Authority for Use of

Summons36-5. —Execution and Return of Warrant36-6. —Cancellation of Warrant36-7. Summons; Form of Summons and Complaint36-8. —Issuance of Summons by Prosecuting Authority

in Lieu of Arrest Warrant36-9. —Service of Summons36-10. —Failure to Respond to Summons36-11. Information and Complaint; Use36-12. —Issuance of Information36-13. —Form of Information36-14. —Former Conviction in Information36-15. —Filing and Availability of Information36-16. Amendments; Minor Defects36-17. —Substantive Amendment before Trial36-18. —Substantive Amendment after Commencement

of Trial36-19. —Request by Defendant for Essential Facts36-20. —Continuance Necessitated by Amendment36-21. Joinder of Offenses in Information36-22. Joinder of Defendants

CHAPTER 37

ARRAIGNMENT

Sec.37-1. Arraignment; Timing37-2. —Information and Materials to Be Provided to the

Defendant Prior to Arraignment37-3. —Advisement of Constitutional Rights37-4. —Collective Statement Advising of Constitutional

Rights37-5. —Reference to Public Defender; Investigation of

Indigency37-6. —Appointment of Public Defender37-7. Pleas; In General37-8. —Plea of Guilty or Nolo Contendere37-9. —Plea of Not Guilty37-10. —Taking of Plea when Information in Two Parts

94


35a-20. Motions for Reinstatement of Parent or FormerLegal Guardian as Guardian or Modification ofGuardianship Post-Disposition

35a-21. Appeals in Child Protection Matters35a-22. Where Presence of Person May Be by Means of an

Interactive Audiovisual Device35a-23. Child’s Hearsay Statement; Residual Exception

37-11. —Notice to Defendant when Information in TwoParts

37-12. Defendant in Custody; Determination of ProbableCause

CHAPTER 38

PRETRIAL RELEASE

Sec.38-1. Release from Custody; Superior Court Arrest War-

rant where Appearance before Clerk Required38-2. Release Following Any Other Arrest; Release by

Law Enforcement Officers38-3. —Release by Bail Commissioner38-4. —Release by Judicial Authority38-5. —Release by Correctional Officials38-6. Appearance after Release38-7. Cash Bail38-8. Ten Percent Cash Bail38-9. Real Estate Bond38-10. Factors to Be Considered by the Judicial Authority

in Release Decision [Repealed]38-11. Request for Judicial Determination of Release38-12. Attorneys Not Allowed to Give Bonds38-13. Bail Modification; In General38-14. —Motion of Parties for Bail Modification38-15. —Application of Bail Commissioner38-16. —Application of Surety38-17. —Hearingon MotionorApplication forModification

of Bail38-18. —Review of Detention Prior to Arraignment, Trial

or Sentencing38-19. Violation of Conditions of Bail; Order to Appear38-20. —Sanctions for Violation of Conditions of Release38-21. —Forfeiture of Bail and Rearrest Warrant38-22. Rebate of Forfeited Bonds38-23. Discharge of Surety’s Obligation

CHAPTER 39

DISPOSITION WITHOUT TRIAL

Sec.39-1. Procedure for Plea Discussions; In General39-2. —Discussions with Defendant39-3. —Role of Defense Counsel39-4. —Subject Matter of Discussion39-5. Plea Agreements; Upon Plea ofGuilty or Nolo Con-

tendere39-6. —Alternate Agreements39-7. —Notice of Plea Agreement39-8. —Sentencing after Acceptance of Plea Agreement


39-9. —Continuance for Sentencing39-10. —Rejection of Plea Agreement39-11. DispositionConference;AssignmentofJuryCases39-12. —Effect of Previous Plea Discussions on Disposi-

tion Conference39-13. —Attendance at Disposition Conference39-14. —Nature of Disposition Conference; In General39-15. —Inability to Reach Agreement39-16. —Notice of Agreement to Judicial Authority39-17. —Effect of Disposition Conference39-18. Plea of Guilty or Nolo Contendere; Entering39-19. —Acceptance of Plea; Advice to Defendant39-20. —Ensuring That the Plea is Voluntary39-21. —Factual Basis for Plea39-22. Pleading to Other Offenses after Guilty Finding39-23. Previous Offender; Plea to Second Part39-24. Record of Proceedings regarding Guilty Pleas39-25. Inadmissibility of Rejected Guilty Pleas39-26. Withdrawal of Plea; When Allowed39-27. —Grounds for Allowing Plea Withdrawal39-28. —Effect of Plea Withdrawal39-29. Nolle Prosequi39-30. —Objection by Defendant to Nolle Prosequi39-31. —Effect of Nolle Prosequi39-32. —Dismissal39-33. Miscellaneous Dispositions

CHAPTER 40


Sec.40-1. Discovery in General; Regulating Discovery40-2. —Good Faith Efforts and Subpoenas40-3. —Continuing Obligation to Disclose40-4. —Limitations on Requests or Motions40-5. —Failure to Comply with Disclosure40-6. —Discovery Performance40-7. —Procedures for Disclosure40-8. —Objection to Disclosure40-9. —Presence during Tests and Experiments40-10. —Custody of Materials40-11. Disclosure by the Prosecuting Authority40-12. Discretionary Disclosure Directed to Prosecuting

Authority40-13. Names of Witnesses; Prior Record of Witnesses;

Statements of Witnesses40-13A. Law Enforcement Reports, Affidavits and

Statements40-14. Information Not Subject to Disclosure by Prosecut-

ing Authority40-15. Disclosure of Statements; Definition of Statement40-16. Request for Recess by Defendant upon Receipt

of Statement40-17. Defense of Mental Disease or Defect or Extreme

Emotional Disturbance; Notice by Defendant40-18. —Notice by Defendant of Intention to Use Expert

Testimony regarding Mental State; FilingReports of Exam

40-19. —Prosecutorial Motion for Psychiatric Exami-nation

40-20. —Failure of Expert to Submit Report40-21. Defense of Alibi; Notice by Defendant40-22. —Notice by Prosecuting Authority concerning

Alibi Defense40-23. —Continuing Duty of Parties to Disclose regarding

Alibi Defense

95


40-24. —Exceptions40-25. —Inadmissibility of Withdrawn Alibi40-26. Disclosure by the Defendant; Information and

Materials Discoverable by the ProsecutingAuthority as of Right

40-27. Discretionary Disclosure Directed to Defendant40-28. Derivative Evidence40-29. Protective Orders Requested by Defendant40-30. Admissibility at Time of Trial40-31. InformationNotSubject toDisclosurebyDefendant40-32. Obtaining Nontestimonial Evidence from

Defendant40-33. —Emergency Procedure regarding Nontestimo-

nial Evidence40-34. —Scope of Order for Nontestimonial Evidence40-35. —Contents of Order40-36. —Service of Order40-37. —Implementation of Order40-38. —Obtaining Nontestimonial Evidence from

Defendant upon Motion of Defendant40-39. —Comparing Nontestimonial Evidence40-40. Protective Orders; Relief40-41. —Grounds for Protective Order40-42. —In Camera Proceedings40-43. —Excision as Protective Order40-44. Depositions; Grounds40-45. —Failure to Appear for Deposition40-46. —Use of Deposition40-47. —Notice and Person Taking Deposition40-48. —Protective Order Prior to Deposition40-49. —Manner of Taking Deposition40-50. —Scope of Examination at Deposition40-51. —Objections at Depositions40-52. —Protective Order during Deposition40-53. —Return of Deposition40-54. —Right of Defendant to Be Present and Repre-

sented at Deposition40-55. —Waiver of Presence and Failure to Appear at

Deposition40-56. —Definition of Unavailable40-57. —Taking and Use in Court of Deposition by

Agreement40-58. —Expenses of Deposition and Copies

CHAPTER 41

PRETRIAL MOTIONS

Sec.41-1. Pretrial Motion Practice; Exclusive Procedures41-2. —Matters to Be Raised by Motion41-3. —Pretrial Motions and Requests41-4. —Failure to Raise Defense, Objection or Request41-5. —Time for Making Pretrial Motions or Requests41-6. —Form and Manner of Making Pretrial Motions41-7. —Hearing and Ruling on Pretrial Motions41-8. Motion to Dismiss41-9. —Restriction on Motion to Dismiss41-10. —Defects Not Requiring Dismissal41-11. —Remedies for Minor Defects Not Requiring Dis-

missal41-12. Motion to Suppress41-13. —Return and Suppression of Seized Property41-14. —Suppression of Intercepted Communications41-15. —Time for Filing Motion to Suppress41-16. —Effect on Seized Property of Granting Motion


41-17. —Particular Judicial Authority May Not HearMotion

41-18. Severance of Offenses41-19. Trial Together of Informations41-20. Bill of Particulars; Time for Filing41-21. —Content of Bill41-22. —Furnishing of Bill41-23. Transfer of Prosecution; Grounds41-24. —Time for Motion to Transfer41-25. —Proceedings on Transfer

CHAPTER 42TRIAL PROCEDURE

Sec.42-1. Jury Trials; Right to Jury Trial and Waiver42-2. —Two Part Information42-3. —Size of Jury42-4. —Challenge to Array42-5. —Disqualification of Jurors and Selection of Panel42-6. —View by Jury of Place or Thing Involved in Case42-7. —Communications between Judicial Authority

and Jury42-8. —Communications between Parties and Jurors42-9. —Juror Questions and Note Taking42-10. Selection of Jury; Deaf or Hearing Impaired Jurors42-11. —Preliminary Proceedings in Jury Selection42-12. —Voir Dire Examination42-13. —Peremptory Challenges42-14. —Oath and Admonitions to Trial Jurors42-15. Motion in Limine42-16. Requests to Charge and Exceptions; Necessity for42-17. —Filing Requests42-18. —Form and Contents of Requests to Charge42-19. —Charge Conference42-20. Submission for Verdict; Role of Judicial Authority

in Trial42-21. Jury Deliberations42-22. Sequestration of Jury42-23. Materials to Be Submitted to Jury42-24. Modification of Instructions for Correction or Clarifi-

cation42-25. —Other Instructions after Additional Instructions42-26. Jury Requests for Review of Testimony42-27. Jury Requests for Additional Instructions42-28. Deadlocked Jury42-29. Verdict; Return of Verdict42-30. —Acceptance of Verdict42-31. —Poll of Jury after Verdict42-32. —Discharge of Jury42-33. —Impeachment of Verdict42-34. Trial without Jury42-35. Order of Parties Proceeding at Trial42-36. Sequestration of Witnesses42-37. Time Limits in Argument42-38. Order of Proceeding of Defendants42-39. Judicial Appointment of Expert Witnesses42-40. Motions for Judgment of Acquittal; In General42-41. —At Close of Prosecution’s Case42-42. —At Close of Evidence42-43. Motion for Mistrial; For Prejudice to Defendant42-44. —For Prejudice to State42-45. Jury’s Inability to Reach Verdict42-46. Control of Judicial Proceedings; Restraint of Dis-

ruptive Defendant42-47. —Removal of Disruptive Defendant42-48. —Cautioning Parties and Witnesses42-49. Closure of Courtroom in Criminal Cases42-49A. Sealing or Limiting Disclosure of Documents in

Criminal Cases42-50. Motion for Judgment of Acquittal; After Mistrial42-51. —Upon Verdict of Guilty42-52. —Time for Filing Motion for Judgment of Acquittal42-53. Motion for New Trial; In General42-54. —Time for Filing Motion for New Trial42-55. —Time for Filing Motion for New Trial Based on

Newly Discovered Evidence42-56. Motion in Arrest of Judgment

96


CHAPTER 43

SENTENCING, JUDGMENT, AND APPEAL

Sec.43-1. Posttrial Release Following Appeal by Prosecut-

ing Authority43-2. Posttrial Release Following Conviction43-3. Presentence Investigation and Report; Waiver;

Alternative Incarceration and Plan43-4. —Scope of Investigation or Assessment43-5. —ParticipationofDefenseCounsel inReportPrep-

aration43-6. —Period of Continuance to Complete Report43-7. —Persons Receiving Report43-8. —Prohibition against Making Copies43-9. —Use and Disclosure of Reports43-10. Sentencing Hearing; Procedures to Be Followed43-11. —Role at Sentencing of Prosecuting Authority43-12. —Role of Prosecuting Authority at Sentencing

when There Was a Plea Agreement43-13. —Familiarization with Report by Defense Counsel43-14. —Correction of Report Indicated by Defense

Counsel43-15. —Undisclosed Plea Agreement43-16. —Submission of Supplementary Documents by

Defense Counsel43-17. Payment of Fines; Inquiry concerning Ability43-18. —Incarceration for Failure to Pay43-19. —Payment and Satisfaction43-20. —Mittimus43-21. Reduction of Definite Sentence43-22. Correction of Illegal Sentence43-23. Sentence Review; Appearance of Counsel43-24. —Time for Filing Application for Sentence Review43-25. —Preparation of Documents by Clerk43-26. —Additional Material for Sentence Review43-27. —Hearing on Sentence Review Application43-28. —Scope of Review43-29. Revocation of Probation43-29A. Notice of Motions to Modify or Enlarge Conditions

of Probation or Conditional Discharge or Termi-nate Conditions of Probation or Conditional Dis-charge

43-30. Notification of Right to Appeal43-31. Stay of Imprisonment upon Appeal43-32. Stay of Probation upon Appeal43-33. Appointment of Initial Counsel for Appeal by Indi-

gent Defendant43-34. Attorney’sFinding ThatAppeal is WhollyFrivolous;

Request by Initial Counsel to Withdraw43-35. —Submission of Brief43-36. —Finding That Appeal is Frivolous43-37. —Finding That Appeal is Not Frivolous43-38. —Disqualification of Presiding Judge43-39. Speedy Trial; Time Limitations43-40. —Excluded Time Periods in Determining Speedy

Trial43-41. —Motion for Speedy Trial; Dismissal43-42. —Definition of Commencement of Trial43-43. —Waiver of Speedy Trial Provisions


CHAPTER 44

GENERAL PROVISIONS

Sec.44-1. Right to Counsel; Appointment in Specific

Instances44-2. —Appointment in Other Instances44-3. —Waiver of Right to Counsel44-4. —Standby Counsel for Defendant Self-Repre-

sented44-5. —Role of Standby Counsel44-6. —Standby Counsel for Disruptive Defendant44-7. Presence of Defendant; Attire of Incarcerated

Defendant or Witness44-8. —When Presence of Defendant is and is Not

Required at Trial and Sentencing44-9. —Obtaining Presence of Unexcused Defendant at

Trial or Sentencing44-10. —Where Presence of Defendant Not Required44-10A. —WherePresenceofDefendantMayBebyMeans

of an Interactive Audiovisual Device44-11. Docketing and Scheduling in General of Criminal

Cases44-12. —Control of Scheduling44-13. —Scheduling for Proceedings before Trial; Contin-

uances

RULES OF APPELLATE PROCEDURE

CHAPTER 60

GENERAL PROVISIONS RELATING TOAPPELLATE RULES AND

APPELLATE REVIEWSec.60-1. Rules to Be Liberally Interpreted60-2. Supervision of Procedure60-3. Suspension of the Rules60-4. Definitions60-5. Review by the Court; Plain Error; Preservation of

Claims60-6. Appellate Jurists Sitting as Superior Court Judges60-7. Electronic Filing; Payment of Fees60-8. Exemption from or Inapplicability of Electronic Fil-

ing; Payment of Fees60-9. Security for Costs

CHAPTER 61

REMEDY BY APPEALSec.61-1. Right of Appeal61-2. Appeal of Judgment on Entire Complaint, Counter-

claim or Cross Complaint61-3. Appealof JudgmentonPartofComplaint,Counter-

claim or Cross Complaint That Disposes of AllClaims in that Pleading Brought by or againstOne or More Parties

97


44-14. —Assignments for Plea in Judicial District CourtLocation

44-15. —Scheduling at Entry of Plea44-16. —Scheduling from Trial List44-17. —Motion to Advance44-18. —Continuances44-19. Reference to Judge Trial Referee44-20. Appointment of Guardian Ad Litem44-21. Infractions and Violations; When Treated as an

Offense44-22. —Form of Summons and Complaint for Infractions

and Violations44-23. —When Custody Not Required44-24. —When Custody Required44-25. —PleaofNoloContendere to InfractionorViolation44-26. —Pleas of Not Guilty to Infraction or Violation44-27. —Hearing of Infractions, Violations to Which Not

Guilty Plea Filed44-28. —Locationof InfractionsBureauandRoleofClerks44-29. —Powers of Centralized Infractions Bureau44-30. —HearingbyMagistratesof InfractionsandCertain

Motor Vehicle Violations44-31. Motion toQuashSubpoenaPursuant to Inquiry into

Commission of Crime44-32. Fees and Expenses; Return of Subpoenas44-33. —Indigent Witnesses44-34. —Fees for Witnesses44-35. —Officer’s Fees on Extradition; Habeas Corpus44-36. —Fee on Motion to Open Certain Judgments44-37. Definition of Terms

61-4. Appeal of Judgment That Disposes ofAt Least OneCause of Action While Not Disposing of Either(1) An Entire Complaint, Counterclaim or CrossComplaint, or (2) All the Causes of Action in aPleading Brought by or against a Party

61-5. Deferring Appeal until Judgment Rendered ThatDisposes of Case for All Purposes and as to AllParties

61-6. Appeal of Judgment or Ruling in Criminal Case61-7. Joint and Consolidated Appeals61-8. Cross Appeals61-9. Decisions Subsequent to Filing of Appeal;

Amended Appeals61-10. Responsibility of Appellant to Provide Adequate

Record for Review61-11. Stay of Execution in Noncriminal Cases61-12. Discretionary Stays61-13. Stay of Execution in Criminal Case61-14. Review of Order concerning Stay; When Stay May

Be Requested from Court Having AppellateJurisdiction

61-15. Stay of Execution in Death Penalty Case61-16. Notice of (1) Bankruptcy Filing, (2) Disposition of

Bankruptcy Case and (3) Order of BankruptcyCourt Granting Relief from Automatic Stay

CHAPTER 62CHIEF JUDGE, APPELLATE CLERK ANDDOCKET: GENERAL ADMINISTRATIVE

MATTERSSec.62-1. Chief Judge


62-2. Clerk62-3. Entry of Cases62-4. Case to Remain on Docket of Trial Court62-5. Changes in Parties62-6. Signature on Papers62-7. Matters of Form; Filings; Delivery and Certification

to Counsel of Record62-8. Names of Counsel; Appearance62-8A. Attorneys of Other Jurisdictions Participating Pro

Hac Vice on Appeal62-9. Withdrawal of Appearance62-9A. Hybrid Representation; Removal or Substitution of

Counsel inCriminalandHabeasCorpusAppeals62-10. Files to Be Available to Parties62-11. Files and Records Not to Be Removed

CHAPTER 63

FILING THE APPEAL; WITHDRAWALS

Sec.63-1. Time to Appeal63-2. Expiration of Time Limitations; Counting Days;

Hours of Operation63-3. Filing of Appeal63-3A. Appeals in E-Filed Cases [Repealed]63-4. Additional Papers to Be Filed by Appellant and

Appellee when Filing Appeal63-5. Fees [Repealed]63-6. Waiver of Fees, Costs and Security—Civil Cases63-7. Waiver of Fees, Costs and Security—Criminal

Cases63-8. Ordering and Filing of Paper Transcripts63-8A. Electronic Copies of Transcripts63-9. Filing Withdrawals of Appeals or Writs of Error63-10. Preargument Conferences

CHAPTER 64

PROCEDURE CONCERNING MEMORANDUMOF DECISION

Sec.64-1. Statement of Decision by Trial Court; When

Required; How Stated; Contents64-2. Exceptions to Section 64-1

CHAPTER 65

TRANSFER OF CASES

Sec.65-1. Transfer of Cases by Supreme Court65-2. Motion for Transfer from Appellate Court to

Supreme Court65-3. Transfer of Petitions for Review of Bail Orders from

Appellate Court to Supreme Court65-4. Transfer of Matters Brought to Wrong Court

CHAPTER 66

MOTIONS AND OTHER PROCEDURES

Sec.66-1. Extension of Time66-2. Motions, Petitions and Applications; Supporting

Memoranda

98


66-2A. SupremeCourt BriefsonCompact Disc;Hyperlink-ing [Repealed]

66-3. Motion Procedures and Filing66-4. Hearings on Motions66-5. Motion for Rectification; Motion for Articulation66-6. Motion for Review; In General66-7. Motion for Review of Motion for Rectification of

Appeal or Articulation66-8. Motion to Dismiss

CHAPTER 67

BRIEFS

Sec.67-1. Brief and Appendix67-2. Format of Briefs and Appendices; Copies; Elec-

tronic Briefing Requirement67-3. Page Limitations; Time for Filing Briefs and

Appendices67-4. The Appellant’s Brief; Contents and Organization67-5. The Appellee’s Brief; Contents and Organization67-6. Statutory (§ 53a-46b) Review of Death Sentences67-7. The Amicus Curiae Brief67-8. The Appendix; Contents and Organization67-8A. The Appendix in Administrative Appeals; Excep-

tions (Transferred from Section 68-10.)67-9. CitationofUnreportedDecisions[Repealedonlyas

to appeals filed on or after July 1, 2013.]67-10. Citation of Supplemental Authorities after Brief Is

Filed67-11. Table of Authorities; Citation of Cases67-12. Stay of Briefing Obligations upon Filing of Certain

Motions after Appeal Is Filed67-13. Briefs in Family and Juvenile Matters and Other

Matters involving Minor Children

CHAPTER 68

CASE FILE

Sec.68-1. ResponsibilitiesofClerkof theTrialCourt regarding

Copying Case File and Additions to Case FileMade after Appeal Is Filed; Exhibits andLodged Records

68-2. Record Preparation [Repealed only as to appealsfiled on or after July 1, 2013.]

68-3. RecordContents [Repealedonlyas toappeals filedon or after July 1, 2013.]

68-4. Record Format [Repealed only as to appeals filedon or after July 1, 2013.]

68-5. Record where More than One Appeal [Repealedonly as to appeals filed on or after July 1, 2013.]

68-6. RecordwhereSeveralCasesPresentSameQues-tion [Repealed only as to appeals filed on or afterJuly 1, 2013.]

68-7. Record Filing [Repealed only as to appeals filed onor after July 1, 2013.]

68-8. Supplements [Repealed only as to appeals filed onor after July 1, 2013.]

68-9. Evidence Not to Be Included in Record [Repealedonly as to appeals filed on or after July 1, 2013.]

68-10. Record in Administrative Appeals; Exceptions[Repealed only as to appeals filed on or after July1, 2013.] (Transferred as of July 1, 2013, to Sec-tion 67-8A.)


68-11. Decision to Be Part of Record [Repealed only as toappeals filed on or after July 1, 2013.]

CHAPTER 69

ASSIGNMENT OF CASES FOR ARGUMENT

Sec.69-1. Docket69-2. Cases Ready for Assignment69-3. Time for Assignments; Order of Assignment

CHAPTER 70

ARGUMENTS AND MEDIA COVERAGE OFCOURT PROCEEDINGS

Sec.70-1. Oral Argument; Videoconferencing of Oral Argu-

ment in Certain Cases70-2. Submission without Oral Argument on Request of

Parties70-3. Order of Argument70-4. Time Allowed for Oral Argument; Who May Argue70-5. Points to Be Argued70-6. Reconsideration when Court Evenly Divided70-7. Appellate Court Consideration En Banc and Rear-

gument En Banc70-8. Special Sessions70-9. Coverage of Court Proceedings by Cameras and

Electronic Media70-10. Cameras and Electronic Media; Coverage of

Supreme and Appellate Court Proceedings byNews Media [Repealed]

CHAPTER 71

APPELLATE JUDGMENTS AND OPINIONS

Sec.71-1. Appellate Judgment Files71-2. Costs Included in Judgments71-3. Motion to Reconsider Costs71-4. Opinions; Rescripts; Notice; Official Release Date71-5. Motions for Reconsideration; Motions for Recon-

sideration En Banc71-6. Stay of Proceedings71-7. Stays of Execution Pending Decision by United

States Supreme Court

CHAPTER 72

WRITS OF ERROR

Sec.72-1. Writs of Error; In General72-2. Form72-3. Applicable Procedure72-4. Applicability of Rules

CHAPTER 73

RESERVATIONSSec.73-1. Reservation of Questions from the Superior Court

to the Supreme Court or Appellate Court; Con-tents of Reservation Request

99


73-2. Consideration of Reservation Request by Supe-rior Court

73-3. Procedure upon Acceptance of Reservation73-4. Briefs, Appendices and Argument

CHAPTER 74

DECISIONS OF JUDICIAL REVIEW COUNCIL

Sec.74-1. Appeals by Respondent Judge from Decision of

Judicial Review Council74-2. Papers to Be Filed [Repealed]74-2A. Referral to Supreme Court by Judicial Review

Council Following Recommendation of Suspen-sion or Removal (Transferred from Section 74-7)

74-3. Costs and Security Not Required [Repealed]74-3A. Initiation of Action by Supreme Court (Transferred

from Section 74-8)74-4. Decision of Council; Remand by Supreme Court74-5. Parties74-6. Applicability of Rules74-7. Action on Recommendation when No Appeal

(Transferred to Section 74-2A)74-8. Initiation of Action by Supreme Court (Transferred

to Section 74-3A)

CHAPTER 75

APPEALS FROM COUNCIL ON PROBATEJUDICIAL CONDUCT

Sec.75-1. Appeals by Respondent Judge from Decision of

Council on Probate Judicial Conduct75-2. Papers to Be Filed [Repealed]75-3. Costs and Security Not Required [Repealed]75-4. Decision of Council; Remand by Supreme Court75-5. Parties75-6. Applicability of Rules

CHAPTER 76

APPEALS IN WORKERS’ COMPENSATIONCASES

Sec.76-1. Applicability of Rules76-2. Filing Appeal76-3. Preparation of Case File; Exhibits76-4. Fees and Costs76-5. Reservation of Question from Compensation

Review Board76-5A. Procedure Upon Acceptance of Reservation76-6. Definitions

CHAPTER 77

PROCEDURES CONCERNING COURTCLOSURE AND SEALING ORDERS OR

ORDERS LIMITING THE DISCLOSURE OFFILES, AFFIDAVITS, DOCUMENTS OR

OTHER MATERIALSec.77-1. Expedited Review of an Order concerning Court

Closure,or anOrder ThatSeals orLimits theDis-


closure of Files, Affidavits, Documents or OtherMaterial

77-2. Sealing Orders; Treatment of Lodged Records

CHAPTER 78

REVIEW OF GRAND JURY RECORD ORFINDING ORDER

Sec.78-1. Review of an Order concerning Disclosure of

Grand Jury Record or Finding

CHAPTER 78a

REVIEW OF ORDERS CONCERNINGRELEASE ON BAIL

Sec.78a-1. Petition for Review of Order concerning Release

on Bail

CHAPTER 79

APPEALS IN JUVENILE MATTERS[Repealed as of Feb. 1, 2012.]

Sec.79-1. Time to Take; Form; Filing; Costs [Repealed]79-2. Clerk’s Duties [Repealed]79-3. Inspection of Records [Repealed]79-4. Hearings; Confidentiality [Repealed]79-5. Briefs [Repealed]

CHAPTER 79a

APPEALS IN CHILD PROTECTION MATTERS

Sec.79a-1. Child Protection Appeals Defined79a-2. Time to Appeal79a-3. Filing of the Appeal79a-4. Waiver of Fees, Costs and Security79a-5. Ordering Transcripts79a-6. Format and Time for Filing Briefs and Appendices79a-7. Motions for Extension of Time79a-8. Docketing Child Protection Appeals for

Assignment79a-9. Oral Argument79a-10. Submission without Oral Argument on Request of

Parties79a-11. Official Release Date79a-12. Inspection of Records79a-13. Hearings; Confidentiality79a-14. Motions Filed with the Appellate Clerk79a-15. Applicability of Rules

CHAPTER 80

APPEALS IN HABEAS CORPUSPROCEEDINGS FOLLOWING CONVICTION

Sec.80-1. Certification to Appeal; Procedure on Appeal

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CHAPTER 81

APPEALS TO APPELLATE COURT BYCERTIFICATION FOR REVIEW IN

ACCORDANCE WITH GENERAL STATUTESCHAPTERS 124 AND 440

Sec.81-1. Petition; Where to File; Time to File; Service; Fee81-2. Form of Petition81-3. Statement in Opposition to Petition81-4. Proceedings after Certification by Appellate Court81-5. Extensions of Time81-6. Filing of Regulations

CHAPTER 82

CERTIFIED QUESTIONS TO OR FROMCOURTS OF OTHER JURISDICTIONS

Sec.82-1. Certification of Questions from Other Courts82-2. Method of Initiating [Repealed]82-3. Contents of Certification Request82-4. Preparation of Certification Request82-5. Receipt; Costs of Certification82-6. Briefs, Appendices and Argument82-7. Opinion82-8. Certification of Questions to Other Courts

CHAPTER 83

CERTIFICATION PURSUANT TO GENERALSTATUTES § 52-265a IN CASES OFSUBSTANTIAL PUBLIC INTEREST

Sec.83-1. Application; In General83-2. Application Granted83-3. Application Denied83-4. Unavailability of Chief Justice

CHAPTER 84

APPEALS TO SUPREME COURT BYCERTIFICATION FOR REVIEW

Sec.84-1. Certification by Supreme Court84-2. Basis for Certification84-3. Stay of Execution84-4. Petition; Time to File; Where to File; Service; Fee84-5. Form of Petition84-6. Statement in Opposition to Petition84-7. Extensions of Time84-8. Grant or Denial of Certification84-9. Proceedings after Certification84-10. Record [Repealed only as to appeals filed on or

after July 1, 2013.]84-11. Papers to Be Filed by Appellant and Appellee84-12. Application of Rules


CHAPTER 84a

MATTERS WITHIN SUPREME COURT’SORIGINAL JURISDICTION IN WHICH FACTS

MAY BE FOUND

Sec.84a-1. Application of Rules84a-2. Procedure for Filing Original Jurisdiction Action;

Pleadings and Motions84a-3. Discovery84a-4. Reference of Issues of Fact84a-5. Evidence84a-6. Other Officers

CHAPTER 85

SANCTIONS

Sec.85-1. Lack of Diligence in Prosecuting or Defending

Appeal85-2. Other Actions Subject to Sanctions85-3. Procedure on Sanctions

CHAPTER 86

RULE CHANGES; EFFECTIVE DATE;APPLICABILITY

Sec.86-1. Publication of Rules; Effective Date86-2. Rule Changes; Applicability to Pending Appeals

APPENDIX OF FORMSForm101 Heading of Pleadings, Motions and Requests201 Plaintiff’s Interrogatories202 Defendant’s Interrogatories203 Plaintiff’s Interrogatories—Premises Liability

Cases204 Plaintiff’s Requests for Production205 Defendant’s Requests for Production206 Plaintiff’s Requests for Production—Premises

Liability207 Interrogatories—Actions to Establish, Enforce or

Modify Child Support Orders208 Defendant’s Supplemental Interrogatories—

Workers’ Compensation Benefits—No Inter-vening Plaintiff

209 Defendant’s Supplemental Requests for Pro-duction—Workers’CompensationBenefits—NoIntervening Plaintiff

210 Defendant’s Interrogatories—Workers’ Compen-sation Benefits—Intervening Plaintiff

211 Defendant’s Request for Production—Workers’Compensation—Intervening Plaintiff

212 Defendant’s Interrogatories—Loss of Consortium

INDEX OF OFFICIAL JUDICIAL BRANCHFORMS USED IN CIVIL, FAMILY AND

JUVENILE MATTERS

APPENDIX: SUPERIOR COURT STANDINGORDERS

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SUPERIOR COURT—GENERAL PROVISIONS

SUPERIOR COURT—GENERAL PROVISIONSCHAPTER 1

SCOPE OF RULES

Sec. Sec.1-1. Scope of Rules; Definitions1-2. Assignments to Take Precedence1-3. Divisions of Superior Court1-4. Family Division1-5. Civil Division1-6. Criminal Division1-7. Housing Division (Only in Judicial Districts Speci-

fied by Statute)1-8. Rules to Be Liberally Interpreted1-9. Publication of Rules; Effective Date1-9A. —Judiciary Committee; Placement of Rules Infor-

mation on Judicial Branch Website1-9B. —Emergency Powers of Rules Committee1-10. Possession of Electronic Devices in Court Facilities1-10A. Definition of ‘‘Media’’1-10B. Media Coverage of Court Proceedings; In General1-11. Media Coverage of Criminal Proceedings

[Repealed]1-11A. Media Coverage of Arraignments1-11B. Media Coverage of Civil Proceedings

For previous Histories and Commentaries see the editions of the Practice Bookcorresponding to the years of the previous amendments.

Sec. 1-1. Scope of Rules; Definitions(Amended June 20, 2011, to take effect Jan. 1, 2012.)(a) The rules for the superior court govern the

practice and procedure in the superior court inall civil and family actions whether cognizable ascases at law, in equity or otherwise, in all criminalproceedings and in all proceedings on juvenilematters. These rules also relate to the admission,qualifications, practice and removal of attorneys.

(b) Except as otherwise provided, the sectionsin chapters 1 through 7 shall apply to civil, family,criminal and juvenile matters in the superior court.

(c) (1) The term ‘‘judicial authority,’’ as used inthe rules for the superior court, means the superiorcourt, any judge thereof, each judge trial refereewhen the superior court has referred a case tosuch trial referee pursuant to General Statutes§ 52-434, and for purposes of the small claimsrules only, any magistrate appointed by the chiefcourt administrator pursuant to General Statutes§ 51-193l.

(2) Except as otherwise provided, the words‘‘write,’’ ‘‘written’’ and ‘‘writing’’ as used in the rulesfor the superior court shall mean typed or printedeither on paper or, when electronically submittedor issued, in a digital format that complies withthe procedures and technical standards estab-lished by the office of the chief court administratorpursuant to Section 4-4.

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1-11C. Media Coverage of Criminal Proceedings1-11D. Pilot Program to Increase Public Access to Child

Protection Proceedings [Repealed]1-12. Court Opening1-13. Recess and Adjournment1-13A. Contempt1-14. —Criminal Contempt1-15. —Who May Be Punished [Repealed]1-16. —Summary Criminal Contempt1-17. —Deferral of Proceedings1-18. —Nonsummary Contempt Proceedings1-19. —Judicial Authority Disqualification in Nonsum-

mary Contempt Proceedings1-20. —Where No Right to Jury Trial in Nonsummary

Proceeding1-21. —Nonsummary Judgment1-21A. —Civil Contempt1-22. Disqualification of Judicial Authority1-23. Motion for Disqualification of Judicial Authority1-24. Record of Off-Site Judicial Proceedings1-25. Actions Subject to Sanctions

(3) Except as otherwise provided, the words‘‘paper’’ and ‘‘document’’ as used in the rules forthe superior court shall include an electronic sub-mission that complies with the procedures andtechnical standards established by the office ofthe chief court administrator pursuant to Section4-4 and a paper or document converted to a digitalformat by the judicial branch.

(P.B. 1978-1997, Sec. 1.) (Amended June 26, 2000, to takeeffect Jan. 1, 2001; amended June 20, 2011, to take effectJan. 1, 2012.)

Sec. 1-2. Assignments to Take PrecedenceAssignments for oral argument in the supreme

court and appellate court shall take precedenceover all other judicial branch assignments.

(P.B. 1998.)

Sec. 1-3. Divisions of Superior CourtThe superior court shall be divided into four

divisions: family, civil, criminal and housing.(P.B. 1978-1997, Sec. 2.)

Sec. 1-4. Family DivisionThe family division of the superior court shall

consist of the following parts:(1) J—Juvenile matters including neglect,

dependency, delinquency, families with serviceneeds and termination of parental rights.

(2) S—Support and paternity actions.

SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-9A

(3) D—All other family relations matters, includ-ing dissolution of marriage or civil union cases.

(P.B. 1978-1997, Sec. 3.) (Amended June 26, 2006, to takeeffect Jan. 1, 2007.)

Sec. 1-5. Civil DivisionThe civil division of the superior court shall con-

sist of the following parts:(1) H—Summary process cases and all other

landlord and tenant matters returnable to the geo-graphical areas.

(2) S—Small claims actions.(3) A—Administrative appeals.(4) J—Jury matters.(5) C—Court matters.(P.B. 1978-1997, Sec. 4.)

Sec. 1-6. Criminal DivisionThe criminal division of the superior court shall

consist of the following parts:(1) A—Capital felonies, class A felonies, and

unclassified felonies punishable by sentences ofmore than twenty years.

(2) B—Class B felonies and unclassified felon-ies punishable by sentences of more than tenyears but not more than twenty years.

(3) C—Class C felonies and unclassified felon-ies punishable by sentences of more than fiveyears but not more than ten years.

(4) D—Class D felonies and all other crimes,violations, motor vehicle violations, andinfractions.

(P.B. 1978-1997, Sec. 5.)

Sec. 1-7. Housing Division (Only in JudicialDistricts Specified by Statute)The housing division of the superior court shall

consist of the following part:(1) H—Housing matters as defined by General

Statutes § 47a-68.(P.B. 1978-1997, Sec. 5A.)

Sec. 1-8. Rules to Be Liberally InterpretedThe design of these rules being to facilitate busi-

ness and advance justice, they will be interpretedliberally in any case where it shall be manifestthat a strict adherence to them will work surpriseor injustice.

(P.B. 1978-1997, Sec. 6.)

Sec. 1-9. Publication of Rules; EffectiveDate(a) Each rule hereinafter adopted shall be prom-

ulgated by being published once in the Connecti-cut Law Journal. Such rule shall become effectiveat such date as the judges of the superior courtshall prescribe, but not less than sixty days afterits promulgation. The judges may waive the sixtyday provision if they deem that circumstances

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require that a rule or a change in an existing rulebe adopted expeditiously.

(b) Prior to such adoption the proposed revi-sions to the rules or a summary thereof shall bepublished in the Connecticut Law Journal with anotice stating the time when, the place where andthe manner in which interested persons may pre-sent their views thereon.

(c) Upon recommendation by the Rules Com-mittee, the judges of the superior court may, byvote at a meeting or by mail vote as set forth insubsection (d), waive the provisions of subsection(b) if they deem that circumstances require thata rule or a change in an existing rule be adoptedexpeditiously, provided that the adoption of anyrules or changes in existing rules in connectionwith such waiver shall be on an interim basis untila public hearing has been held and the judgeshave thereafter acted on such revisions and suchaction has become effective. With respect to suchrules adopted on an interim basis, the judges shallprescribe the effective date thereof following pub-lication in the Connecticut Law Journal.

(d) For a mail vote under subsection (c) to beeffective, a written notice setting forth the pro-posed rule or change in an existing rule, togetherwith a statement as to the effective date thereof,shall be mailed or electronically transmitted to allthe judges of the superior court. In the event thatno objection from any judge is received, by mailor electronically, by the counsel to the Rules Com-mittee within the time specified in such notice,such rule or change shall become effective on thedate specified in the notice until further action istaken at the next meeting of the judges.

(P.B. 1978-1997, Sec. 7.) (Amended June 14, 2013, to takeeffect Jan. 1, 2014.)

Sec. 1-9A. —Judiciary Committee; Place-ment of Rules Information on JudicialBranch Website(a) Each year the Rules Committee shall make

itself available to meet with the members of theJudiciary Committee of the General Assembly(the Judiciary Committee) as soon as practicableafter the first Rules Committee meeting in Sep-tember to advise the Judiciary Committee as tothe Rules Committee’s anticipated agenda for theupcoming year.

(b) As soon as practicable after the conveningof each regular legislative session, the chair ofthe Rules Committee shall invite the Senate andHouse chairs and the ranking members of theJudiciary Committee, and such other members ofthat Committee as the chairs may designate, toattend a meeting with the Rules Committee toconfer and consult with respect to the rules of

SUPERIOR COURT—GENERAL PROVISIONSSec. 1-9A

practice, pleadings, forms and procedure for thesuperior court and with respect to legislationaffecting the courts pending before or to be intro-duced in the General Assembly.

(c) The chair of the Rules Committee shall for-ward to the Judiciary Committee for review andcomment all proposed revisions to the PracticeBook which the Rules Committee has decided tosubmit to public hearing at least thirty-five daysin advance of the public hearing thereon. If thechair of the Rules Committee shall receive anycomments from the Judiciary Committee withrespect to such proposed revisions, he or sheshall forward such comments to the members ofthe Rules Committee for their consideration inconnection with the public hearing.

(d) The agendas and minutes of Rules Commit-tee meetings, any proposed revisions to the Prac-tice Book which the Rules Committee has decidedto submit to public hearing, any comments by theJudiciary Committee with respect to such pro-posed revisions, and any proposed revisions thatare adopted by the superior court judges shall beplaced on the Judicial Branch website.


Sec. 1-9B. —Emergency Powers of RulesCommittee(a) In the event that the governor declares a

public health emergency pursuant to GeneralStatutes § 19a-131a or a civil preparedness emer-gency pursuant to General Statutes § 28-9 orboth, the chief justice, or if the chief justice isincapacitated or unavailable, the chairperson ofthe Rules Committee may call a meeting of theSuperior Court Rules Committee.

(b) No quorum shall be required at this meetingas long as a good faith effort has been made tocontact all members of the Rules Committee toadvise them of the meeting. The meeting maybe held in person or by electronic means. Publicnotice should be given of the Rules Committeemeeting, but failure to give such notice shall notimpair the validity of actions taken at the meetingas long as a good faith effort has been made toprovide such notice.

(c) At such meeting the Rules Committee shallhave the power to adopt on an interim basis anynew rules and to amend or suspend in wholeor in part on an interim basis any existing rulesconcerning practice and procedure in the superiorcourt that the committee deems necessary in lightof the circumstances of the declared emergency.Any new rules and any amendments to and sus-pensions of existing rules adopted pursuant to

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this section should be published in the Connecti-cut Law Journal and on the Judicial Branch web-site, but failure to so publish shall not impair thevalidity of such rules as long as a good faith efforthas been made to so publish.

(d) Any such new rules and amendments to andsuspensions of existing rules adopted pursuant tothis section shall remain in effect for the durationof the declared emergency or until such time, assoon as practicable, as a meeting of the superiorcourt judges can be convened, in person or elec-tronically, to consider and vote on the changes.

(Adopted June 21, 2010, to take effect Jan. 1, 2011.)

Sec. 1-10. Possession of Electronic Devicesin Court Facilities(Amended June 29, 2007, to take effect Jan. 1, 2008.)(a) Personal computers may be used for note-

taking in a courtroom. If the judicial authority findsthat the use of computers is disruptive of the courtproceeding, it may limit such use. No other elec-tronic devices shall be used in a courtroom unlessauthorized by a judicial authority or permitted bythese rules.

(b) The possession and use of electronicdevices in court facilities are subject to policiespromulgated by the chief court administrator.

(P.B. 1978-1997, Sec. 7B.) (Amended June 20, 2005, totake effect Oct. 1, 2005; June 26, 2006, subsection (b)extended for a one year period commencing Oct. 1, 2006;amended June 29, 2007, to take effect Jan. 1, 2008; June 29,2007, subsection (b) extended for a one year period commenc-ing Oct. 1, 2007; amended June 30, 2008, to take effect Aug.1, 2008.)

Sec. 1-10A. Definition of ‘‘Media’’For purposes of these rules, ‘‘media’’ means

any person or entity that is regularly engaged inthe gathering and dissemination of news and thatis approved by the office of the chief court adminis-trator.


Sec. 1-10B. Media Coverage of Court Pro-ceedings; In General(a) The broadcasting, televising, recording or

photographing by the media of court proceedingsand trials in the superior court should be allowedsubject to the limitations set out in this sectionand in Sections 1-11A through 1-11C, inclusive.

(b) No broadcasting, televising, recording orphotographing of any of the following proceedingsshall be permitted:

(1) Family relations matters as defined in Gen-eral Statutes § 46b-1;

(2) Juvenile matters as defined in General Stat-utes § 46b-121;

(3) Proceedings involving sexual assault;(4) Proceedings involving trade secrets;


(5) In jury trials, all proceedings held in theabsence of the jury unless the trial court deter-mines that such coverage does not create a riskto any party’s rights or other fair trial risks underthe circumstances;

(6) Proceedings which must be closed to thepublic to comply with the provisions of state law;

(7) Any proceeding that is not held in open courton the record.

(c) No broadcasting, televising, recording orphotographic equipment permitted under theserules shall be operated during a recess in the trial.

(d) No broadcasting, televising, recording orphotographing of conferences involving counseland the trial judge at the bench or involving coun-sel and their clients shall be permitted.

(e) There shall be no broadcasting, televising,recording or photographing of the process of juryselection nor of any juror.


COMMENTARY—2014: The judicial branch may provide,at its discretion, within a court facility, a contemporaneousclosed-circuit video transmission of any court proceeding forthe benefit of media or other spectators, and such a transmis-sion shall not be considered broadcasting or televising by themedia under this rule.

Sec. 1-11. Media Coverage of Criminal Pro-ceedings[Repealed as of Jan. 1, 2012.]

Sec. 1-11A. Media Coverage of Arraign-ments(a) The broadcasting, televising, recording, or

taking photographs by media in the courtroomduring arraignments may be authorized by thejudicial authority presiding over such arraign-ments in the manner set forth in this section, asimplemented by the judicial authority.

(b) Any media representative desiring to broad-cast, televise, record or photograph an arraign-ment shall send an e-mail request for electroniccoverage to a person designated by the chief courtadministrator. Said designee shall promptly trans-mit any such request to the administrative judge,presiding judge of criminal matters, arraignmentjudge, clerk and the supervising marshal. Theadministrative judge shall ensure that notice isprovided to the state’s attorney and the attorneyfor the defendant or, where the defendant isunrepresented, to the defendant. Electronic cov-erage shall not be permitted until the state’s attor-ney and the attorney for the defendant, or thedefendant if he or she has no attorney, have hadan opportunity to object to the request on therecord and the judicial authority has ruled on theobjection. If a request for coverage is denied oris granted over the objection of any party, the

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judicial authority shall articulate orally or in writingthe reasons for its decision on the request andsuch decision shall be final.

(c) Broadcasting, televising, recording or photo-graphing of the following are prohibited:

(1) any criminal defendant who has not beenmade subject to an order for electronic coverageand, to the extent practicable, any person otherthan court personnel or other participants in thearraignment for which electronic coverage is per-mitted;

(2) conferences involving the attorneys and thejudicial authority at the bench or communicationsbetween the defendant and his or her attorney orother legal representative;

(3) close ups of documents of counsel, the clerkor the judicial authority;

(4) the defendant while exiting or entering thelockup;

(5) to the extent practicable, any restraints onthe defendant;

(6) to the extent practicable, any judicial mar-shals or department of correction employeesescorting the defendant while he or she is in thecourtroom; and

(7) proceedings in cases transferred from juve-nile court prior to a determination by the adultcourt that the matter was properly transferred.

(d) Only one (1) still camera, one (1) televisioncamera and one (1) audio recording device, whichdo not produce a distracting sound or light, shallbe employed to cover the arraignment, unlessotherwise ordered by the judicial authority.

(e) The operator of any camera, television oraudio recording equipment shall not employ anyartificial lighting device to supplement the existinglight in the courtroom.

(f) All personnel and equipment shall be situ-ated in an unobtrusive manner within the court-room. The location of any such equipment andpersonnel shall be determined by the judicialauthority. The location of the camera, to the extentpossible, shall provide access to optimum cover-age. Once the judicial authority designates theposition for a camera, the operator of the cameramust remain in that position and not move aboutuntil the arraignment is completed.

(g) Videographers, photographers and equip-ment operators must conduct themselves in thecourtroom quietly and discreetly, with due regardfor the dignity of the courtroom.

(h) If there are multiple requests to broadcast,televise, record or photograph the same arraign-ment, the media representatives making suchrequests must make pooling arrangementsamong themselves, unless otherwise determinedby the judicial authority.


(i) On camera reporting and interviews shallonly be conducted outside of the courthouse.


Sec. 1-11B. Media Coverage of Civil Pro-ceedings(a) The broadcasting, televising, recording or

photographing of civil proceedings and trials in thesuperior court by news media should be allowed,subject to the limitations set forth herein and inSection 1-10B.

(b) A judicial authority shall permit broadcast-ing, televising, recording or photographing of civilproceedings and trials in courtrooms of the supe-rior court except as hereinafter precluded or lim-ited. As used in this rule, the word ‘‘trial’’ in jurycases shall mean proceedings taking place afterthe jury has been sworn and in nonjury proceed-ings commencing with the swearing in of thefirst witness.

(c) Any party, attorney, witness or other inter-ested person may object in advance of electroniccoverage of a civil proceeding or trial if there existsa substantial reason to believe that such coveragewill undermine the legal rights of a party or willsignificantly compromise the safety of a witnessor other interested person or impact significantprivacy concerns. To the extent practicable, noticethat an objection to the electronic coverage hasbeen filed, and the date, time and location of thehearing on such objection shall be posted on theJudicial Branch website. Any person, includingthe media, whose rights are at issue in consideringwhether to allow electronic coverage of the pro-ceeding or trial, may participate in the hearingto determine whether to limit or preclude suchcoverage. When such objection is filed by anyparty, attorney, witness or other interested per-son, the burden of proving that electronic cover-age of the civil proceeding or trial should be limitedor precluded shall be on the person who filedthe objection.

(d) The judicial authority, in deciding whetherto limit or preclude electronic coverage of a civilproceeding or trial, shall consider all rights at issueand shall limit or preclude such coverage only ifthere exists a compelling reason to do so, thereare no reasonable alternatives to such limitationor preclusion, and such limitation or preclusion isno broader than necessary to protect the compel-ling interest at issue.

(e) If the judicial authority has a substantial rea-son to believe that the electronic coverage of acivil proceeding or trial will undermine the legalrights of a party or will significantly compromisethe safety or significant privacy concerns of a

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party, witness or other interested person, and noparty, attorney, witness or other interested personhas objected to such coverage, the judicial author-ity shall schedule a hearing to consider limiting orprecluding such coverage. To the extent practica-ble, notice that the judicial authority is consideringlimiting or precluding electronic coverage of a civilproceeding or trial, and the date, time and locationof the hearing thereon shall be given to the partiesand others whose interests may be directlyaffected by a decision so that they may participatein the hearing and shall be posted on the JudicialBranch website.

(f) Objection raised during the course of a civilproceeding or trial to the photographing, videotap-ing or audio recording of specific aspects of theproceeding or trial, or specific individuals or exhib-its will be heard and decided by the judicial author-ity, based on the same standards as set out insubsection (d) of this section used to determinewhether to limit or preclude coverage based onobjections raised before the start of a civil pro-ceeding or trial.

(g) The trial judge in his or her discretion, uponthe judge’s own motion or at the request of aparticipant, may prohibit the broadcasting, televis-ing, recording or photographing of any participantat the trial. The judge shall give great weight torequests where the protection of the identity of aperson is desirable in the interests of justice, suchas for the victims of crime, police informants,undercover agents, relocated witnesses, juve-niles and individuals in comparable situations.‘‘Participant’’ for the purpose of this section shallmean any party, lawyer or witness.

(h) The judicial authority shall articulate the rea-sons for its decision on whether or not to limit orpreclude electronic coverage of a civil proceedingor trial and such decision shall be final.

(i) No broadcasting, televising, recording andphotographic equipment shall be placed in orremoved from the courtroom while the court is insession. Television film magazines or still camerafilm or lenses shall not be changed within thecourtroom except during a recess or other appro-priate time in the trial.

(j) Only still camera, television and audio equip-ment which does not produce distracting soundor light shall be employed to cover the trial. Theoperator of such equipment shall not employ anyartificial lighting device to supplement the existinglight in the courtroom without the approval of thetrial judge and other appropriate authority.

(k) Except as provided by these rules, broad-casting, televising, recording and photographingin areas immediately adjacent to the courtroom

SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-11C

during sessions of court or recesses between ses-sions shall be prohibited.

(l) The conduct of all attorneys with respect totrial publicity shall be governed by Rule 3.6 of theRules of Professional Conduct.

(m) The judicial authority in its discretion mayrequire pooling arrangements by the media. Poolrepresentatives should ordinarily be used forvideo, still cameras and radio, with each pool rep-resentative to be decided by the relevant mediagroup. Participating members of the broadcast-ing, televising, recording and photographic mediashall make their respective pooling arrangements,including the establishment of necessary proce-dures and selection of pool representatives, with-out calling upon the judicial authority to mediateany dispute as to the appropriate media represen-tative or equipment for a particular trial. If anysuch medium shall not agree on equipment, pro-cedures and personnel, the judicial authority shallnot permit that medium to have coverage at thetrial.

(n) Unless good cause is shown, any media orpool representative seeking to broadcast, tele-vise, record or photograph a civil proceeding ortrial shall, at least three days prior to the com-mencement of the proceeding or trial, submit awritten notice of media coverage to the adminis-trative judge of the judicial district where the pro-ceeding is to be heard or the case is to be tried.A notice of media coverage submitted on behalfof a pool shall contain the name of each newsorganization seeking to participate in that pool.The administrative judge shall inform the judicialauthority who will hear the proceeding or who willpreside over the trial of the notice, and the judicialauthority shall allow such coverage except asotherwise provided in this section. Any news orga-nization seeking permission to participate in a poolwhose name was not submitted with the originalnotice of media coverage may, at any time, submita separate written notice to the administrativejudge and shall be allowed to participate in thepool arrangement.

(o) To evaluate and resolve prospective prob-lems where broadcasting, televising, recording orphotographing of a civil proceeding or trial willtake place, and to ensure compliance with theserules during the proceeding or trial, the judicialauthority who will hear the proceeding or presideover the trial may require the attendance of attor-neys and media personnel at a pretrial confer-ence. At such conference, the judicial authorityshall set forth the conditions of coverage inaccordance herewith.


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Sec. 1-11C. Media Coverage of Criminal Pro-ceedings(Amended June 20, 2011, to take effect Jan. 1, 2012.)

(a) Except as authorized by Section 1-11Aregarding media coverage of arraignments, thebroadcasting, televising, recording or photo-graphing by media of criminal proceedings andtrials in the superior court shall be allowed exceptas hereinafter precluded or limited and subject tothe limitations set forth in Section 1-10B.

(b) No broadcasting, televising, recording orphotographing of trials or proceedings involvingsexual offense charges shall be permitted.

(c) As used in this rule, the word ‘‘trial’’ in jurycases shall mean proceedings taking place afterthe jury has been sworn and in nonjury proceed-ings commencing with the swearing in of the firstwitness. ‘‘Criminal proceeding’’ shall mean anyhearing or testimony, or any portion thereof, inopen court and on the record except an arraign-ment subject to Section 1-11A.

(d) Unless good cause is shown, any media orpool representative seeking to broadcast, tele-vise, record or photograph a criminal proceedingor trial shall, at least three days prior to the com-mencement of the proceeding or trial, submit awritten notice of media coverage to the adminis-trative judge of the judicial district where the pro-ceeding is to be heard or the case is to be tried.A notice of media coverage submitted on behalfof a pool shall contain the name of each newsorganization seeking to participate in that pool.The administrative judge shall inform the judicialauthority who will hear the proceeding or who willpreside over the trial of the notice, and the judicialauthority shall allow such coverage except asotherwise provided.

(e) Any party, attorney, witness or other inter-ested person may object in advance of electroniccoverage of a criminal proceeding or trial if thereexists a substantial reason to believe that suchcoverage will undermine the legal rights of a partyor will significantly compromise the safety of awitness or other person or impact significant pri-vacy concerns. In the event that the media requestcamera coverage and, to the extent practicable,notice that an objection to the electronic coveragehas been filed, the date, time and location of thehearing on such objection shall be posted on theJudicial Branch website. Any person, includingthe media, whose rights are at issue in consideringwhether to allow electronic coverage of the pro-ceeding or trial, may participate in the hearingto determine whether to limit or preclude suchcoverage. When such objection is filed by any

SUPERIOR COURT—GENERAL PROVISIONSSec. 1-11C

party, attorney, witness or other interested per-son, the burden of proving that electronic cover-age of the criminal proceeding or trial should belimited or precluded shall be on the person whofiled the objection.

(f) The judicial authority, in deciding whether tolimit or preclude electronic coverage of a criminalproceeding or trial, shall consider all rights at issueand shall limit or preclude such coverage only ifthere exists a compelling reason to do so, thereare no reasonable alternatives to such limitationor preclusion, and such limitation or preclusion isno broader than necessary to protect the compel-ling interest at issue.

(g) If the judicial authority has a substantial rea-son to believe that the electronic coverage of acriminal proceeding or trial will undermine thelegal rights of a party or will significantly compro-mise the safety or privacy concerns of a party,witness or other interested person, and no party,attorney, witness or other interested person hasobjected to such coverage, the judicial authorityshall schedule a hearing to consider limiting orprecluding such coverage. To the extent practica-ble, notice that the judicial authority is consideringlimiting or precluding electronic coverage of acriminal proceeding or trial, and the date, timeand location of the hearing thereon shall be givento the parties and others whose interests may bedirectly affected by a decision so that they mayparticipate in the hearing and shall be posted onthe Judicial Branch website.

(h) Objection raised during the course of a crimi-nal proceeding or trial to the photographing, video-taping or audio recording of specific aspects ofthe proceeding or trial, or specific individuals orexhibits will be heard and decided by the judicialauthority, based on the same standards as set outin subsection (f) of this section used to determinewhether to limit or preclude coverage based onobjections raised before the start of a criminalproceeding or trial.

(i) The judge presiding over the proceeding ortrial in his or her discretion, upon the judge’s ownmotion or at the request of a participant, mayprohibit the broadcasting, televising, recording orphotographing of any participant at the trial. Thejudge shall give great weight to requests wherethe protection of the identity of a person is desir-able in the interests of justice, such as for thevictims of crime, police informants, undercoveragents, relocated witnesses, juveniles and indi-viduals in comparable situations. ‘‘Participant’’ forthe purpose of this section shall mean any party,lawyer or witness.

(j) The judicial authority shall articulate the rea-sons for its decision on whether or not to limit or

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preclude electronic coverage of a criminal pro-ceeding or trial, and such decision shall be final.

(k) (1) Only one television camera operator,utilizing one portable mounted television camera,shall be permitted in the courtroom. The televisioncamera and operator shall be positioned in suchlocation in the courtroom as shall be designatedby the trial judge. Microphones, related wiring andequipment essential for the broadcasting, televis-ing or recording shall be unobtrusive and shall belocated in places designated in advance by thetrial judge. While the trial is in progress, the televi-sion camera operator shall operate the televisioncamera in this designated location only.

(2) Only one still camera photographer shallbe permitted in the courtroom. The still cameraphotographer shall be positioned in such locationin the courtroom as shall be designated by thetrial judge. While the trial is in progress, the stillcamera photographer shall photograph court pro-ceedings from this designated location only.

(3) Only one audio recorder shall be permittedin the courtroom for purposes of recording theproceeding or trial. Microphones, related wiringand equipment essential for the recording shallbe unobtrusive and shall be located in places des-ignated in advance by the trial judge.

(l) Only still camera, television and audio equip-ment which does not produce distracting soundor light shall be employed to cover the proceedingor trial. The operator of such equipment shall notemploy any artificial lighting device to supplementthe existing light in the courtroom without theapproval of the judge presiding over the proceed-ing or trial and other appropriate authority.

(m) Except as provided by these rules, broad-casting, televising, recording and photographingin areas immediately adjacent to the courtroomduring sessions of court or recesses between ses-sions shall be prohibited.

(n) The conduct of all attorneys with respect totrial publicity shall be governed by Rule 3.6 of theRules of Professional Conduct.

(o) The judicial authority in its discretion mayrequire pooling arrangements by the media. Poolrepresentatives should ordinarily be used forvideo, still cameras and radio, with each pool rep-resentative to be decided by the relevant mediagroup. Participating members of the broadcasting,televising, recording and photographic mediashall make their respective pooling arrangements,including the establishment of necessary proce-dures and selection of pool representatives, with-out calling upon the judicial authority to mediateany dispute as to the appropriate media represen-tative or equipment for a particular trial. If any

SUPERIOR COURT—GENERAL PROVISIONS Sec. 1-18

such medium shall not agree on equipment, pro-cedures and personnel, the judicial authority shallnot permit that medium to have coverage at theproceeding or trial.

(p) To evaluate and resolve prospective prob-lems where broadcasting, televising, recording orphotographing by media of a criminal proceedingor trial will take place, and to ensure compliancewith these rules during the proceeding or trial, thejudicial authority who will hear the proceeding orpreside over the trial may require the attendanceof attorneys and media personnel at a pretrial con-ference.


Sec. 1-11D. Pilot Program to Increase PublicAccess to Child Protection Proceedings[Repealed as of Jan. 1, 2013.]

Sec. 1-12. Court OpeningThe sessions of the superior court will be

opened at 10:00 a.m., unless otherwise ordered.(P.B. 1978-1997, Sec. 299.)

Sec. 1-13. Recess and AdjournmentThe court is ‘‘not in session’’ or ‘‘not actually in

session,’’ as those phrases are used in the stat-utes and rules, at all times (1) after adjournmentand before opening and (2) during recess. Thecourt is in recess or in adjournment provided ithas not been adjourned without date. The orderfor a recess or an adjournment other than withoutdate may be revoked and the court reconvenedby direction of the presiding judge at any time.

(P.B. 1978-1997, Sec. 300.)

Sec. 1-13A. Contempt(a) Any person or court officer misbehaving or

disobeying any order of a judicial authority in thecourse of any judicial proceeding may be adjudi-cated in contempt and appropriately punished.

(b) Contempt may be either criminal or civil.When criminal, it may be summary or nonsum-mary criminal contempt.


Sec. 1-14. —Criminal ContemptConduct that is directed against the dignity and

authority of the court shall be criminal contempt,and may be adjudicated summarily or nonsum-marily. The sanction for a criminal contempt ispunitive to vindicate the authority of the court.

(P.B. 1978-1997, Sec. 985.) (Amended June 28, 1999, totake effect Jan. 1, 2000.)

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Sec. 1-15. —Who May Be Punished[Repealed as of Jan. 1, 2000.]

Sec. 1-16. —Summary Criminal Contempt(Amended June 28, 1999, to take effect Jan. 1, 2000.)Misbehavior or misconduct in the court’s pres-

ence causing an obstruction to the orderly admin-istration of justice shall be summary criminalcontempt, and may be summarily adjudicated andpunished by fine or imprisonment, or both. Priorto any finding of guilt, the judicial authority shallinform the defendant of the charges against himor her and inquire as to whether the defendanthas any cause to show why he or she should notbe adjudged guilty of summary criminal contemptby presenting evidence of acquitting or mitigatingcircumstances. Upon an adjudication, the judicialauthority shall immediately impose sentence ofnot more than $100, or six months imprisonment,or both for each contumacious act. Execution ofany sentence during the pendency of a trial orhearing may be deferred to the close of pro-ceedings.


TECHNICAL CHANGE: Dollar amounts are now expressedin figures.

Sec. 1-17. —Deferral of ProceedingsThe judicial authority should defer criminal con-

tempt proceedings when: (1) the misconduct doesnot rise to an obstruction to the orderly administra-tion of justice; (2) the judicial authority has becomepersonally embroiled; (3) the misconduct did notoccur in the presence of the court; and (4) thejudicial authority does not instantly impose sum-mary criminal contempt upon the commission ofthe contumacious act.


Sec. 1-18. —Nonsummary Contempt Pro-ceedingsA criminal contempt deferred under Section 1-

17 shall be prosecuted by means of an informa-tion. The judicial authority may, either upon itsown order or upon the request of the prosecutingauthority, issue a summons or an arrest warrantfor the accused. The case shall proceed as anyother criminal prosecution under these rules andthe General Statutes. The sentence shall be pro-nounced in open court and shall not exceed sixmonths imprisonment or a fine of $500, or both,for each contumacious act.



SUPERIOR COURT—GENERAL PROVISIONSSec. 1-19

Sec. 1-19. —Judicial Authority Disqualifica-tion in Nonsummary Contempt Proceedings(Amended June 28, 1999, to take effect Jan. 1, 2000.)The trial and all related proceedings upon which

nonsummary contempt proceedings are basedshall be heard by a judicial authority other thanthe trial judge or the judicial authority who hadeither issued the order which was later disobeyedor deferred criminal contempt proceedings underSection 1-17.


Sec. 1-20. —Where No Right to Jury Trial inNonsummary Proceeding(Amended June 28, 1999, to take effect Jan. 1, 2000.)In a nonsummary contempt proceeding, if the

judicial authority declares in advance of trial thatthe total effective sentence, if the defendant isfound guilty, shall not exceed thirty days imprison-ment, or a fine of $99, no right to jury trial shallaffix. If the total effective sentence may exceedthirty days or a fine in excess of $99, the defendantshall be accorded the right to a jury trial.



Sec. 1-21. —Nonsummary Judgment(Amended June 28, 1999, to take effect Jan. 1, 2000.)In a nonsummary contempt proceeding, the

judgment file of contempt shall be prepared withina reasonable time by the clerk and shall be signedby the judicial authority and entered on the record.


Sec. 1-21A. —Civil ContemptThe violation of any court order qualifies for

criminal contempt sanctions. Where, however, thedispute is between private litigants and the pur-pose for judicial intervention is remedial, then thecontempt is civil, and any sanctions imposed bythe judicial authority shall be coercive and nonpu-nitive, including fines, to ensure compliance andcompensate the complainant for losses. Wherethe violation of a court order renders the orderunenforceable, the judicial authority should con-sider referral for nonsummary criminal contemptproceedings.


Sec. 1-22. Disqualification of JudicialAuthority(a) A judicial authority shall, upon motion of

either party or upon its own motion, be disqualifiedfrom acting in a matter if such judicial authority isdisqualified from acting therein pursuant to Rule

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2.11 of the Code of Judicial Conduct or becausethe judicial authority previously tried the samematter and a new trial was granted therein orbecause the judgment was reversed on appeal.A judicial authority may not preside at the hearingof any motion attacking the validity or sufficiencyof any warrant the judicial authority issued normay the judicial authority sit in appellate reviewof a judgment or order originally rendered bysuch authority.

(b) A judicial authority is not automatically dis-qualified from sitting on a proceeding merelybecause an attorney or party to the proceedinghas filed a lawsuit against the judicial authority orfiled a complaint against the judicial authority withthe judicial review council. When the judicialauthority has been made aware of the filing ofsuch lawsuit or complaint, he or she shall soadvise the attorneys and parties to the proceedingand either disqualify himself or herself from sittingon the proceeding, conduct a hearing on the dis-qualification issue before deciding whether to dis-qualify himself or herself or refer thedisqualification issue to another judicial authorityfor a hearing and decision.


Sec. 1-23. Motion for Disqualification ofJudicial AuthorityA motion to disqualify a judicial authority shall

be in writing and shall be accompanied by anaffidavit setting forth the facts relied upon to showthe grounds for disqualification and a certificateof the counsel of record that the motion is madein good faith. The motion shall be filed no lessthan ten days before the time the case is calledfor trial or hearing, unless good cause is shownfor failure to file within such time.

(P.B. 1978-1997, Sec. 997.)

Sec. 1-24. Record of Off-Site Judicial Pro-ceedingsAbsent exceptional circumstances or except as

otherwise provided by court rule, where a tran-script or recording is made of an off-site judicialproceeding, such record shall be available to thepublic. The judicial authority will also state on therecord in open court, by the next court day, asummary of what occurred at such proceeding.


Sec. 1-25. Actions Subject to Sanctions(a) No party or attorney shall bring or defend an

action, or assert or oppose a claim or contention,unless there is a basis in law and fact for doingso that is not frivolous. Good faith arguments for


an extension, modification or reversal of existinglaw shall not be deemed frivolous.

(b) Except as otherwise provided in these rules,the judicial authority, solely on its own motion andafter a hearing, may impose sanctions for actionsthat include, but are not limited to, the following:

(1) Filing of pleadings, motions, objections,requests or other documents that violate subsec-tion (a) above;

(2) Wilful or repeated failure to comply with rulesor orders of the court, including Section 4-7 onpersonal identifying information;

(3) After prior direction from the court, the filingof any materials or documents that: (A) are not

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relevant and material to the matter before thecourt or (B) contain personal, medical or financialinformation that is not relevant or material to thematter before the court.

(c) The judicial authority may impose sanctionsincluding, but not limited to, fines pursuant to Gen-eral Statutes § 51-84; orders requiring theoffending party to pay costs and expenses, includ-ing attorney’s fees; and orders restricting the filingof papers with the court.

(d) Offenders subject to such sanctions mayinclude counsel, self-represented parties, andparties represented by counsel.



CHAPTER 2ATTORNEYS

Sec. Sec.2-1. County Court Designations concerning Bar Admis-

sion Process2-2. Admission2-3. Examining Committee2-4. —Regulations by Examining Committee2-4A. —Records of Examining Committee2-5. —Examination of Candidates for Admission2-5A. —Good Moral Character and Fitness to Practice

Law2-6. —Personnel of Examining Committee2-7. Number of Times an Applicant May Sit for the

Examination2-8. Qualifications for Admission2-9. Certification of Applicants Recommended for

Admission; Conditions of Admission2-10. Admission by Superior Court2-11. Monitoring Compliance with Conditions of Admis-

sion; Removal or Modification of Conditions2-11A. Appeal from Decision of Bar Examining Committee

concerning Conditions of Admission2-12. County Committees on Recommendations for

Admission2-13. Attorneys of Other Jurisdictions; Qualifications and

Requirements for Admission2-14. —Action by Bar; Temporary License [Repealed]2-15. —Permanent License [Repealed]2-15A. —Authorized House Counsel2-16. —Attorney Appearing Pro Hac Vice2-17. Foreign Legal Consultants; Licensing

Requirements2-18. —Filings to Become Foreign Legal Consultant2-19. —Scope of Practice of Foreign Legal Consultants2-20. —Disciplinary Provisions regarding Foreign

Legal Consultants2-21. —Affiliation of Foreign Legal Consultant with the

Bar of the State of Connecticut2-22. Disposition of Fees for Admission to the Bar2-23. Roll of Attorneys2-24. Notice by Attorney of Admission in Other Juris-

dictions2-25. Notice by Attorney of Disciplinary Action in Other

Jurisdictions2-26. Notice by Attorney of Change in Address2-27. Clients’ Funds; Lawyer Registration2-27A. Minimum Continuing Legal Education2-28. Overdraft Notification2-28A. Attorney Advertising; Mandatory Filing2-28B. —Advisory Opinions2-29. Grievance Panels2-30. Grievance Counsel for Panels and Investigators2-31. Powers and Duties of Grievance Counsel2-32. Filing Complaints against Attorneys; Action; Time

Limitation2-33. Statewide Grievance Committee2-34. Statewide Bar Counsel2-34A. Disciplinary Counsel2-35. Action by Statewide Grievance Committee or

Reviewing Committee2-36. Action by Statewide Grievance Committee on

Request for Review2-37. Sanctions and Conditions Which May Be Imposed

by Committees2-38. Appeal from Decision of Statewide Grievance

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Committee or Reviewing Committee ImposingSanctions or Conditions

2-39. Reciprocal Discipline2-40. Discipline of Attorneys Found Guilty of Serious

Crimes in Connecticut2-41. Discipline of Attorneys Found Guilty of Serious

Crimes in Another Jurisdiction2-42. Conduct Constituting Threat of Harm to Clients2-43. Notice by Attorney of Alleged Misuse of Clients’

Funds and Garnishments of Lawyers’ TrustAccounts

2-44. Power of Superior Court to Discipline Attorneysand to Restrain Unauthorized Practice

2-44A. Definition of the Practice of Law2-45. —Cause Occurring in Presence of Court2-46. Suspension of Attorneys Who Violate Support

Orders2-47. Presentments and Unauthorized Practice of Law

Petitions2-47A. Disbarment of Attorney for Misappropriation of

Funds2-47B. Restrictions on the Activities of Deactivated

Attorneys2-48. Designee to Prosecute Presentments2-49. Restitution2-50. Records of Statewide Grievance Committee,

Reviewing Committee and Grievance Panel2-51. Costs and Expenses2-52. Resignation and Waiver of Attorney Facing Disci-

plinary Investigation2-53. Reinstatement after Suspension, Disbarment or

Resignation2-54. Publication of Notice of Reprimand, Suspension,

Disbarment, Resignation, Placement on InactiveStatus or Reinstatement

2-55. Retirement of Attorney—Right of Revocation2-55A. Retirement of Attorney—Permanent2-56. Inactive Status of Attorney2-57. —Prior Judicial Determination of Incompetency or

Involuntary Commitment2-58. —No Prior Determination of Incompetency or Invol-

untary Commitment2-59. —Disability Claimed during Course of Disciplin-

ary Proceeding2-60. —Reinstatement upon Termination of Disability2-61. —Burden of Proof in Inactive Status Proceedings2-62. —Waiver of Doctor-Patient Privilege upon Applica-

tion for Reinstatement2-63. Definition of Respondent2-64. Appointment of Attorney to Protect Clients’ and

Attorney’s Interests2-65. Good Standing of Attorney2-66. Practice by Court Officials2-67. Payment of Attorneys by Bank and Trust Com-

panies2-68. Client Security Fund Established2-68A. —Crisis Intervention and Referral Assistance2-69. —Definition of Dishonest Conduct2-70. —Client Security Fund Fee2-71. —Eligible Claims2-72. —Client Security Fund Committee2-73. —Powers and Duties of Client Security Fund Com-

mittee


2-74. —Regulations of Client Security Fund Committee2-75. —Processing Claims2-76. —Confidentiality2-77. —Review of Status of Fund2-78. —Attorney’s Fee for Prosecuting Claim


Sec. 2-1. County Court Designations con-cerning Bar Admission Process(a) For the purposes of this chapter, each supe-

rior court location designated below shall be thesuperior court for the county in which it is situated:the superior court for the judicial district of Fairfieldat Bridgeport shall be the superior court for Fair-field county; the superior court for the judicial dis-trict of New Haven at New Haven shall be thesuperior court for New Haven county; the superiorcourt for the judicial district of Litchfield at Litch-field shall be the superior court for Litchfieldcounty; the superior court for the judicial districtof Hartford at Hartford shall be the superior courtfor Hartford county; the superior court for the judi-cial district of Middlesex at Middletown shall be thesuperior court for Middlesex county; the superiorcourt for the judicial district of Tolland at Rockvilleshall be the superior court for Tolland county; thesuperior court for the judicial district of New Lon-don at Norwich shall be the superior court forNew London county; and the superior court forthe judicial district of Windham at Putnam shallbe the superior court for Windham county.

(b) The chief clerk for each judicial district courtlocation mentioned above shall be the clerk forthe corresponding superior court county location.

(P.B. 1978-1997, Sec. 8.) (Amended June 29, 1998, to takeeffect Sept. 1, 1998.)

Sec. 2-2. AdmissionNo person shall be admitted as an attorney

except as herein provided.(P.B. 1978-1997, Sec. 9.)

Sec. 2-3. Examining CommitteeThere shall be an examining committee

appointed by the judges of the superior court con-sisting of twenty-four members, of whom at leastone shall be a judge of said court, and the restattorneys residing in this state. The term of officeof each member shall be three years from the firstday of September succeeding appointment, andthe terms shall continue to be arranged so thatthose of eight members shall expire annually. Theappointment of any member may be revoked or

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2-79. —Enforcement of Payment of Fee2-80. —Restitution by Attorney2-81. —Restitution and Subrogation2-82. Admission of Misconduct; Discipline by Consent2-83. Effective Dates

suspended by the judges or by the executive com-mittee of the superior court. In connection withsuch revocation or suspension, the judges or theexecutive committee shall appoint a qualified indi-vidual to fill the vacancy for the balance of theterm or for any other appropriate period. All othervacancies shall be filled by the judges for unex-pired terms only, provided that the chief justicemay fill such vacancies until the next annual meet-ing of the judges, and in the event of the foreseenabsence or the illness or the disqualification of amember of the committee the chief justice maymake a pro tempore appointment to the commit-tee to serve during such absence, illness or dis-qualification. At any meeting of the committee themembers present shall constitute a quorum.

(P.B. 1978-1997, Sec. 11.)

Sec. 2-4. —Regulations by Examining Com-mitteeThe committee shall have the power and

authority to implement these rules by regulationsrelevant thereto and not inconsistent therewith.Such regulations may be adopted at any regularmeeting of the committee or at any special meet-ing called for that purpose. They shall be effectiveninety days after publication in one issue of theConnecticut Law Journal and shall at all times besubject to amendment or revision by the commit-tee or by the judges of the superior court. A copyshall be provided to the chief justice.


Sec. 2-4A. —Records of Examining Com-mitteeThe records and transcripts, if any, of hearings

conducted by the state bar examining committeeor the several standing committees on recommen-dations for admission to the bar shall be availableonly to such committee, to a judge of the superiorcourt, to the statewide grievance committee, todisciplinary counsel or, with the consent of theapplicant, to any other person, unless otherwiseordered by the court.



Sec. 2-5. —Examination of Candidates forAdmissionThe committee shall further have the duty,

power and authority to provide for the examinationof candidates for admission to the bar; to deter-mine whether such candidates are qualified asto prelaw education, legal education, good moralcharacter and fitness to practice law; and to rec-ommend to the court for admission to the barqualified candidates.


Sec. 2-5A. —Good Moral Character and Fit-ness to Practice Law(Amended June 20, 2011, to take effect Sept. 1, 2011.)(a) Good moral character shall be construed to

include, but not be limited to, the following:(1) The qualities of honesty, fairness, candor

and trustworthiness;(2) Observance of fiduciary responsibility;(3) Respect for and obedience to the law; and(4) Respect for the legal rights of others and

the judicial process, as evidenced by conductother than merely initiating or pursuing litigation.

(b) Fitness to practice law shall be construedto include the following:

(1) The cognitive capacity to undertake funda-mental lawyering skills such as problem solving,legal analysis and reasoning, legal research, fac-tual investigation, organization and managementof legal work, making appropriate reasoned legaljudgments, and recognizing and solving ethicaldilemmas;

(2) The ability to communicate legal judgmentsand legal information to clients, other attorneys,judicial and regulatory authorities, with or withoutthe use of aids or devices; and

(3) The capability to perform legal tasks in atimely manner.

(Adopted June 21, 2010, to take effect Jan. 1, 2011;amended June 20, 2011, to take effect Sept. 1, 2011.)

Sec. 2-6. —Personnel of Examining Com-mitteeSuch personnel within the legal services divi-

sion of the office of the chief court administratoras may be assigned from time to time by the chiefcourt administrator shall assist the examiningcommittee in carrying out its duties.

(P.B. 1978-1997, Sec. 14.)

Sec. 2-7. Number of Times an Applicant MaySit for the ExaminationThere is no restriction on the number of times

an applicant may sit for the examination.(P.B. 1978-1997, Sec. 15A.)

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Sec. 2-8. Qualifications for AdmissionTo entitle an applicant to admission to the bar,

except under Sections 2-13 through 2-15 of theserules, the applicant must satisfy the committeethat:

(1) The applicant is a citizen of the United Statesor an alien lawfully residing in the United States.

(2) The applicant is not less than eighteen yearsof age.

(3) The applicant is a person of good moralcharacter, is fit to practice law, and has eitherpassed an examination in professional responsi-bility administered under the auspices of the barexamining committee or has completed a coursein professional responsibility in accordance withthe regulations of the bar examining committee.Any inquiries or procedures used by the bar exam-ining committee that relate to physical or mentaldisability must be narrowly tailored and necessaryto a determination of the applicant’s current fitnessto practice law, in accordance with the Americanswith Disabilities Act and amendment twenty-oneof the Connecticut constitution, and conducted ina manner consistent with privacy rights affordedunder the federal and state constitutions or otherapplicable law.

(4) The applicant has met the educationalrequirements as may be set, from time to time,by the bar examining committee.

(5) The applicant has filed with the administra-tive director of the bar examining committee anapplication to take the examination and for admis-sion to the bar, all in accordance with these rulesand the regulations of the committee, and haspaid such application fee as the committee shallfrom time to time determine.

(6) The applicant has passed an examinationin law in accordance with the regulations of thecommittee.

(7) The applicant has complied with all of thepertinent rules and regulations of the committee.

(8) As an alternative to satisfying the committeethat the applicant has met the committee’s educa-tional requirements, the applicant who meets allthe remaining requirements of this section may,upon payment of such investigation fee as thecommittee shall from time to time determine, sub-stitute proof satisfactory to the committee that: (A)the applicant has been admitted to practice beforethe highest court of original jurisdiction in one ormore states, the District of Columbia or the com-monwealth of Puerto Rico or in one or more districtcourts of the United States for ten or more yearsand at the time of filing the application is a memberin good standing of such a bar; (B) the applicanthas actually practiced law in such a jurisdictionfor not less than five years during the seven year


period immediately preceding the filing date of theapplication; and (C) the applicant intends, upona continuing basis, actively to practice law in Con-necticut and to devote the major portion of theapplicant’s working time to the practice of lawin Connecticut.

(P.B. 1978-1997, Sec. 16.) (Amended June 29, 2007, totake effect Jan. 1, 2008; amended June 21, 2010, to takeeffect Jan. 1, 2011.)

Sec. 2-9. Certification of Applicants Recom-mended for Admission; Conditions ofAdmission(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) The committee shall certify to the clerk of the

superior court for the county in which the applicantseeks admission and to the clerk of the superiorcourt in New Haven the name of any such appli-cant recommended by it for admission to the barand shall notify the applicant of its decision.

(b) The committee may, in light of the physicalor mental disability of a candidate that has causedconduct or behavior that would otherwise haverendered the candidate currently unfit to practicelaw, determine that it will only recommend anapplicant for admission to the bar conditional uponthe applicant’s compliance with conditions pre-scribed by the committee relevant to the disabilityand the fitness of the applicant. Such determina-tion shall be made after a hearing on the recordis conducted by the committee or a panel thereofconsisting of at least three members appointedby the chair, unless such hearing is waived bythe applicant. Such conditions shall be tailored todetect recurrence of the conduct or behaviorwhich could render an applicant unfit to practicelaw or pose a risk to clients or the public andto encourage continued treatment, abstinence, orother support. The conditional admission periodshall not exceed five years, unless the condition-ally admitted attorney fails to comply with the con-ditions of admission, and the bar examiningcommittee or the court determines, in accordancewith the procedures set forth in Section 2-11, thata further period of conditional admission is neces-sary. The committee shall notify the applicant bymail of its decision and that the applicant mustsign an agreement with the bar examining com-mittee under oath affirming acceptance of suchconditions and that the applicant will comply withthem. Upon receipt of this agreement from theapplicant, duly executed, the committee shall rec-ommend the applicant for admission to the bar asprovided herein. The committee shall forward acopy of the agreement to the statewide bar coun-sel, who shall be considered a party for purposesof defending an appeal under Section 2-11A.


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Sec. 2-10. Admission by Superior Court(a) Each applicant who shall be recommended

for admission to the bar shall present himself orherself to the superior court, or to either thesupreme court or the appellate court sitting as thesuperior court, at such place and at such time asshall be prescribed by the committee, or shall beprescribed by the supreme court or the appellatecourt, and such court may then, upon motion,admit such person as an attorney. The administra-tive director shall give notice to each clerk of thenames of the newly admitted attorneys. At thetime such applicant is admitted as an attorney theapplicant shall be sworn as a commissioner of thesuperior court.

(b) The administrative judge of said judicial dis-trict or a designee or the chief justice of thesupreme court or a designee or the chief judgeof the appellate court or a designee may deliver anaddress to the applicants so admitted respectingtheir duties and responsibilities as attorneys.

(P.B. 1978-1997, Sec. 18.)

Sec. 2-11. Monitoring Compliance with Con-ditions of Admission; Removal or Modifica-tion of Conditions(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) If an applicant is admitted to the bar after

signing an agreement with the bar examiningcommittee under oath affirming acceptance of theconditions prescribed by the committee pursuantto Section 2-9 (b) and that he or she will complywith them, the statewide bar counsel shall monitorthe attorney’s compliance with those conditionspursuant to regulations adopted by the statewidegrievance committee governing such monitoring.The attorney so admitted or the statewide barcounsel may make application to the bar examin-ing committee to remove or modify the conditionspreviously agreed to by such attorney as circum-stances warrant. The bar examining committee,or a panel thereof consisting of at least three mem-bers appointed by its chair, shall conduct a hear-ing on the application, which shall be on therecord, and shall also receive and consider areport from the statewide bar counsel on the mat-ter. Such hearing may be waived by the applicantand the statewide bar counsel. If, upon such appli-cation, the bar examining committee modifiessuch conditions, the attorney shall sign anagreement with the bar examining committeeunder oath affirming acceptance of the modifiedconditions and that he or she will comply withthem, and the statewide bar counsel shall monitorthe attorney’s compliance with them. The state-wide bar counsel shall be considered a party forpurposes of defending an appeal under Section


2-11A. All information relating to conditionaladmission of an applicant or attorney shall remainconfidential unless otherwise ordered by thecourt.

(b) Upon the failure of the attorney to complywith the conditions of admission or the monitoringrequirements adopted by the statewide grievancecommittee, the statewide bar counsel shall applyto the court in the judicial district of Hartford foran appropriate order. The court, after hearingupon such application, may take such action asit deems appropriate. Thereafter, upon applicationof the attorney or of the statewide bar counseland upon good cause shown, the court may setaside or modify the order rendered pursuanthereto.

(P.B. 1978-1997, Sec. 18A.) (Amended June 29, 1998, totake effect Sept. 1, 1998; amended June 30, 2008, to takeeffect Jan. 1, 2009.)

Sec. 2-11A. Appeal from Decision of BarExamining Committee concerning Condi-tions of Admission(a) A decision by the bar examining committee

prescribing conditions for admission to the barunder Section 2-9 (b) or on an application toremove or modify conditions of admission underSection 2-11 (a) may be appealed to the superiorcourt by the bar applicant or attorney who is thesubject of the decision. Within thirty days fromthe issuance of the decision of the bar examiningcommittee, the appellant shall: (1) file the appealwith the clerk of the superior court for the judicialdistrict of Hartford and (2) mail a copy of theappeal by certified mail, return receipt requestedor with electronic delivery confirmation, to theoffice of the statewide bar counsel and to the officeof the director of the bar examining committeeas agent for the bar examining committee. Thestatewide bar counsel shall be considered a partyfor purposes of defending an appeal under thissection.

(b) The filing of an appeal shall not, of itself, stayenforcement of the bar examining committee’sdecision. An application for a stay may be madeto the bar examining committee, to the court orto both. Filing of an application with the bar exam-ining committee shall not preclude action by thecourt. A stay, if granted, shall be on appropriateterms.

(c) Within thirty days after the service of theappeal, or within such further time as may beallowed by the court, the director of the bar exam-ining committee shall transmit to the reviewingcourt a certified copy of the entire record of theproceeding appealed from, which shall includea transcript of any testimony heard by the barexamining committee and the decision of the bar

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examining committee. By stipulation of all partiesto such appeal proceedings, the record may beshortened. The court may require or permit subse-quent corrections or additions to the record.

(d) The appellant shall file a brief within thirtydays after the filing of the record by the bar exam-ining committee. The appellee shall file its briefwithin thirty days of the filing of the appellant’sbrief. Unless permission is given by the court forgood cause shown, briefs shall not exceed thirty-five pages.

(e) The appeal shall be conducted by the courtwithout a jury and shall be confined to the record.If alleged irregularities in procedure before the barexamining committee are not shown in the record,proof limited thereto may be taken in the court.The court, upon request, shall hear oral argument.

(f) Upon appeal, the court shall not substituteits judgment for that of the bar examining commit-tee as to the weight of the evidence on questionsof fact. The court shall affirm the decision of thecommittee unless the court finds that substantialrights of the appellant have been prejudicedbecause the committee’s findings, inferences,conclusions, or decisions are: (1) in violation ofconstitutional provisions, rules of practice or statu-tory provisions; (2) in excess of the authority of thecommittee; (3) made upon unlawful procedure; (4)affected by other error of law; (5) clearly erroneousin view of the reliable, probative, and substantialevidence on the whole record; or (6) arbitrary orcapricious or characterized by abuse of discretionor clearly unwarranted exercise of discretion. Ifthe court finds such prejudice, it shall sustain theappeal and, if appropriate, rescind the action ofthe bar examining committee or take such otheraction as may be necessary. For purposes of fur-ther appeal, the action taken by the superior courthereunder is a final judgment.

(g) In all appeals taken under this section, costsmay be taxed in favor of the statewide bar counselin the same manner, and to the same extent, thatcosts are allowed in judgments rendered by thesuperior court. No costs shall be taxed againstthe bar examining committee, except that thecourt may, in its discretion, award to the appellantreasonable fees and expenses if the court deter-mines that the action of the bar examining commit-tee was undertaken without any substantialjustification. ‘‘Reasonable fees and expenses’’means any expenses not in excess of $7500which the court finds were reasonably incurred inopposing the committee’s action, including courtcosts, expenses incurred in administrative pro-ceedings, attorney’s fees, witness fees of all nec-essary witnesses, and such other expenses aswere reasonably incurred.


(h) All information relating to the conditionaladmission of an attorney, including informationsubmitted in connection with the appeal underthis section, shall be confidential unless otherwiseordered by the court.


Sec. 2-12. County Committees on Recom-mendations for Admission(a) There shall be in each county a standing

committee on recommendations for admission,consisting of not less than three nor more thanseven members of the bar of that county, whoshall be appointed by the judges of the superiorcourt to hold office for three years from the dateof their appointment and until their successors areappointed. The appointment of any member maybe revoked or suspended by the judges or bythe executive committee of the superior court. Inconnection with such revocation or suspension,the judges or the executive committee shallappoint a qualified individual to fill the vacancyfor the balance of the term or for any other appro-priate period. Appointments to fill vacancies whichhave arisen by reasons other than revocation orsuspension may be made by the chief justice untilthe next annual meeting of the judges of the supe-rior court, and, in the event of the foreseenabsence or the illness or the disqualification of amember of the committee, the chief justice maymake a pro tempore appointment to the commit-tee to serve during such absence, illness or dis-qualification.

(b) Any application for admission to the bar maybe referred to the committee for the countythrough which the applicant seeks admission,which shall investigate the applicant’s moral char-acter and fitness to practice law and report tothe bar of the county whether the applicant hascomplied with the rules relating to admission tothe bar, is a person of good moral character, isfit to practice law and should be admitted.


Sec. 2-13. Attorneys of Other Jurisdictions;Qualifications and Requirements forAdmission(a) Any member of the bar of another state

or territory of the United States or the District ofColumbia, who, after satisfying the state barexamining committee that his or her educationalqualifications are such as would entitle him or herto take the examination in Connecticut, and that(i) at least one jurisdiction in which he or she isa member of the bar is reciprocal to Connecticut

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in that it would admit a member of the bar ofConnecticut to its bar without examination underprovisions similar to those set out in this sectionor (ii) he or she is a full-time faculty member orfull-time clinical fellow at an accredited Connecti-cut law school and admitted in a reciprocal ornonreciprocal jurisdiction, shall satisfy the statebar examining committee that he or she (1) is ofgood moral character, is fit to practice law, andhas either passed an examination in professionalresponsibility administered under the auspices ofthe bar examining committee or has completed acourse in professional responsibility in accord-ance with the regulations of the bar examiningcommittee; (2) has been duly licensed to practicelaw before the highest court of a reciprocal stateor territory of the United States or in the Districtof Columbia if reciprocal to Connecticut, or thathe or she is a full-time faculty member or full-timeclinical fellow at an accredited Connecticut lawschool and admitted in a reciprocal or nonrecipro-cal jurisdiction and (A) has lawfully engaged inthe practice of law as the applicant’s principalmeans of livelihood for at least five of the ten yearsimmediately preceding the date of the applicationand is in good standing, or (B) if the applicant hastaken the bar examinations of Connecticut andfailed to pass them, the applicant has lawfullyengaged in the practice of law as his or her princi-pal means of livelihood for at least five of theten years immediately preceding the date of theapplication and is in good standing, provided thatsuch five years of practice shall have occurredsubsequent to the applicant’s last failed Connecti-cut examination; (3) is a citizen of the UnitedStates or an alien lawfully residing in the UnitedStates; (4) intends, upon a continuing basis, topractice law actively in Connecticut, may beadmitted by the court as an attorney without exam-ination upon written application and the paymentof such fee as the examining committee shall fromtime to time determine, upon compliance with thefollowing requirements: Such application, dulyverified, shall be filed with the administrative direc-tor of the bar examining committee and shall setforth his or her qualifications as hereinbefore pro-vided. There shall be filed with such applicationthe following affidavits: Affidavits from two attor-neys who personally know the applicant certifyingto his or her good moral character and fitness topractice law and supporting, to the satisfactionof the state bar examining committee, his or herpractice of law as defined under (2) of this subsec-tion; affidavits from two members of the bar ofConnecticut of at least five years’ standing, certi-fying that the applicant is of good moral characterand is fit to practice law; and an affidavit from the


applicant, certifying whether such applicant hasa grievance pending against him or her, has everbeen reprimanded, suspended, placed on inactivestatus, disbarred, or has ever resigned from thepractice of law, and, if so, setting forth the circum-stances concerning such action. Such an affidavitis not required if it has been furnished as part ofthe application form prescribed by the state barexamining committee.

(b) For the purpose of this rule, the ‘‘practiceof law’’ shall include the following activities, if per-formed after the date of the applicant’s admissionto the jurisdiction in which the activities were per-formed, or if performed in a jurisdiction that per-mits such activity by a lawyer not admitted topractice:

(1) representation of one or more clients in thepractice of law;

(2) service as a lawyer with a state, federal, orterritorial agency, including military services;

(3) teaching law at an accredited law school,including supervision of law students within a clini-cal program;

(4) service as a judge in a state, federal, orterritorial court of record;

(5) service as a judicial law clerk;(6) service as authorized house counsel;(7) service as authorized house counsel in Con-

necticut before July 1, 2008, or while certified pur-suant to Section 2-15A; or

(8) any combination of the above.(P.B. 1978-1997, Sec. 21.) (Amended June 28, 1999, to

take effect Jan. 1, 2000; amended June 22, 2009, to takeeffect Jan. 1, 2010; amended June 21, 2010, to take effectJan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,2012; amended June 15, 2012, to take effect Sept. 1, 2012;amended June 13, 2014, to take effect Jan. 1, 2015.)

Sec. 2-14. —Action by Bar; TemporaryLicense[Repealed as of Jan. 1, 2012.]

Sec. 2-15. —Permanent License[Repealed as of Jan. 1, 2012.]

Sec. 2-15A. —Authorized House Counsel(a) PurposeThe purpose of this section is to clarify the sta-

tus of house counsel as authorized house counselas defined herein, and to confirm that such coun-sel are subject to regulation by the judges of thesuperior court. Notwithstanding any other sectionof this chapter relating to admission to the bar,this section shall authorize attorneys licensed topractice in jurisdictions other than Connecticut tobe permitted to undertake these activities, asdefined herein, in Connecticut without the require-ment of taking the bar examination so long asthey are exclusively employed by an organization.

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(b) Definitions(1) Authorized House Counsel. An ‘‘author-

ized house counsel’’ is any person who:(A) is a member in good standing of the entity

governing the practice of law of each state (otherthan Connecticut) or territory of the United States,or the District of Columbia or any foreign jurisdic-tion in which the member is licensed;

(B) has been certified on recommendation ofthe bar examining committee in accordance withthis section;

(C) agrees to abide by the rules regulatingmembers of the Connecticut bar and submit to thejurisdiction of the statewide grievance committeeand the superior court; and

(D) is, at the date of application for registrationunder this rule, employed in the state of Connecti-cut by an organization or relocating to the stateof Connecticut in furtherance of such employmentwithin three months of such application under thissection and receives or shall receive compensa-tion for activities performed for that business orga-nization.

(2) Organization. An ‘‘organization’’ for the pur-pose of this rule is a corporation, partnership,association, or employer sponsored benefit planor other legal entity (taken together with its respec-tive parents, subsidiaries, and affiliates) that isnot itself engaged in the practice of law or therendering of legal services outside such organiza-tion, whether for a fee or otherwise, and does notcharge or collect a fee for the representation oradvice other than to entities comprising such orga-nization for the activities of the authorizedhouse counsel.

(c) Activities(1) Authorized Activities. An authorized

house counsel, as an employee of an organiza-tion, may provide legal services in the state ofConnecticut to the organization for which a regis-tration pursuant to subsection (d) is effective, pro-vided, however, that such activities shall belimited to:

(A) the giving of legal advice to the directors,officers, employees, trustees, and agents of theorganization with respect to its business andaffairs;

(B) negotiating and documenting all matters forthe organization; and

(C) representation of the organization in itsdealings with any administrative agency, tribunalor commission having jurisdiction; provided, how-ever, authorized house counsel shall not be per-mitted to make appearances as counsel beforeany state or municipal administrative tribunal,agency, or commission, and shall not be permittedto make appearances in any court of this state,


unless the attorney is specially admitted to appearin a case before such tribunal, agency, commis-sion or court.

(2) Disclosure. Authorized house counsel shallnot represent themselves to be members of theConnecticut bar or commissioners of the superiorcourt licensed to practice law in this state. Suchcounsel may represent themselves as Connecti-cut authorized house counsel.

(3) Limitation on Representation. In no eventshall the activities permitted hereunder includethe individual or personal representation of anyshareholder, owner, partner, officer, employee,servant, or agent in any matter or transaction orthe giving of advice therefor unless otherwise per-mitted or authorized by law, code, or rule or asmay be permitted by subsection (c) (1). Author-ized house counsel shall not be permitted to pre-pare legal instruments or documents on behalf ofanyone other than the organization employing theauthorized house counsel.

(4) Limitation on Opinions to Third Parties.An authorized house counsel shall not express orrender a legal judgment or opinion to be reliedupon by any third person or party other than legalopinions rendered in connection with commercial,financial or other business transactions to whichthe authorized house counsel’s employer organi-zation is a party and in which the legal opinionshave been requested from the authorized housecounsel by another party to the transaction. Noth-ing in this subsection (c) (4) shall permit author-ized house counsel to render legal opinions oradvice in consumer transactions to customers ofthe organization employing the authorizedhouse counsel.

(5) Pro Bono Legal Services. Notwithstandinganything to the contrary in this section, an author-ized house counsel may participate in the provi-sion of any and all legal services pro bono publicoin Connecticut offered under the supervision ofan organized legal aid society or state/local barassociation project, or of a member of the Con-necticut bar who is also working on the probono representation.

(d) Registration(1) Filing with the Bar Examining Committee.

The bar examining committee shall investigatewhether the applicant is at least eighteen yearsof age and is of good moral character, consistentwith the requirement of Section 2-8 (3) regardingapplicants for admission to the bar. In addition,the applicant shall file with the bar examining com-mittee, and the committee shall consider, the fol-lowing:

(A) a certificate from each entity governing thepractice of law of a state or territory of the United

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States, or the District of Columbia or any foreignjurisdiction in which the applicant is licensed topractice law certifying that the applicant is a mem-ber in good standing;

(B) a sworn statement by the applicant:(i) that the applicant has read and is familiar with

the Connecticut Rules of Professional Conductfor attorneys and Chapter 2 (Attorneys) of theSuperior Court Rules, General Provisions, andwill abide by the provisions thereof;

(ii) that the applicant submits to the jurisdictionof the statewide grievance committee and thesuperior court for disciplinary purposes, andauthorizes notification to or from the entity govern-ing the practice of law of each state or territory ofthe United States, or the District of Columbia inwhich the applicant is licensed to practice law ofany disciplinary action taken against the applicant;

(iii) listing any jurisdiction in which the applicantis now or ever has been licensed to practicelaw; and

(iv) disclosing any disciplinary sanction or pend-ing proceeding pertaining or relating to his or herlicense to practice law including, but not limited to,reprimand, censure, suspension or disbarment, orwhether the applicant has been placed on inac-tive status;

(C) a certificate from an organization certifyingthat it is qualified as set forth in subsection (b) (2);that it is aware that the applicant is not licensed topractice law in Connecticut; and that the applicantis employed or about to be employed in Connecti-cut by the organization as set forth in subsection(b) (1) (D);

(D) an appropriate application pursuant to theregulations of the bar examining committee;

(E) remittance of a filing fee to the bar examiningcommittee as prescribed and set by that commit-tee; and

(F) an affidavit from each of two members of theConnecticut bar, who have each been licensed topractice law in Connecticut for at least five years,certifying that the applicant is of good moral char-acter and that the applicant is employed or willbe employed by an organization as defined abovein subsection (b) (2).

(2) Certification. Upon recommendation of thebar examining committee, the court may certifythe applicant as authorized house counsel andshall cause notice of such certification to be pub-lished in the Connecticut Law Journal.

(3) Annual Client Security Fund Fee. Individu-als certified pursuant to this section shall complywith the requirements of Sections 2-68 and 2-70of this chapter, including payment of the annualfee and shall pay any other fees imposed on attor-neys by court rule.


(4) Annual Registration. Individuals certifiedpursuant to this section shall register annually withthe statewide grievance committee in accordancewith Sections 2-26 and 2-27 (d) of this chapter.

(e) Termination or Withdrawal of Regis-tration

(1) Cessation of Authorization to PerformServices. Authorization to perform services underthis rule shall cease upon the earliest of the follow-ing events:

(A) the termination or resignation of employ-ment with the organization for which registrationhas been filed, provided, however, that if theauthorized house counsel shall commenceemployment with another organization withinthirty days of the termination or resignation, autho-rization to perform services under this rule shallcontinue upon the filing with the bar examiningcommittee of a certificate as set forth in subsection(d) (1) (C);

(B) the withdrawal of registration by the author-ized house counsel;

(C) the relocation of an authorized house coun-sel outside of Connecticut for a period greaterthan 180 consecutive days; or

(D) the failure of authorized house counsel tocomply with any applicable provision of this rule.

Notice of one of the events set forth in subsec-tions (e) (1) (A) through (C) or a new certificateas provided in subsection (e) (1) (A) must be filedwith the bar examining committee by the author-ized house counsel within thirty days after suchaction. Failure to provide such notice by theauthorized house counsel shall be a basis for dis-cipline pursuant to the Rules of Professional Con-duct for attorneys.

(2) Notice of Withdrawal of Authorization.Upon receipt of the notice required by subsection(e) (1), the bar examining committee shall forwarda request to the statewide bar counsel that theauthorization under this chapter be revoked.Notice of the revocation shall be mailed by thestatewide bar counsel to the authorized housecounsel and the organization employing theauthorized house counsel.

(3) Reapplication. Nothing herein shall preventan individual previously authorized as housecounsel to reapply for authorization as set forthin subsection (d).

(f) Discipline(1) Termination of Authorization by Court.

In addition to any appropriate proceedings anddiscipline that may be imposed by the statewidegrievance committee, the superior court may, atany time, with cause, terminate an authorizedhouse counsel’s registration, temporarily or per-manently.

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(2) Notification to Other States. The statewidebar counsel shall be authorized to notify eachentity governing the practice of law in the state orterritory of the United States, or the District ofColumbia, in which the authorized house counselis licensed to practice law, of any disciplinaryaction against the authorized house counsel.

(g) Transition(1) Preapplication Employment in Connecti-

cut. The performance of an applicant’s duties asan employee of an organization in Connecticutprior to the effective date of this rule shall notbe grounds for the denial of registration of suchapplicant if application for registration is madewithin six months of the effective date of this rule.

(2) Immunity from Enforcement Action. Anauthorized house counsel who has been duly reg-istered under this rule shall not be subject toenforcement action for the unlicensed practice oflaw for acting as counsel to an organization priorto the effective date of this rule.

(Adopted June 29, 2007, to take effect Jan. 1, 2008;amended June 30, 2008, to take effect Jan. 1, 2009; amendedJune 22, 2009, to take effect Jan. 1, 2010; amended June 15,2012, to take effect Jan. 1, 2013.)

Sec. 2-16. —Attorney Appearing Pro HacViceAn attorney who is in good standing at the bar

of another state, the District of Columbia, or thecommonwealth of Puerto Rico, may, upon specialand infrequent occasion and for good causeshown upon written application presented by amember of the bar of this state, be permitted inthe discretion of the court to participate to suchextent as the court may prescribe in the presenta-tion of a cause or appeal in any state court or aproceeding before any municipal or state agency,commission, board or tribunal (hereinafterreferred to as ‘‘proceeding’’) in this state; pro-vided, however, that (1) such application shall beaccompanied by the affidavit of the applicant (A)certifying whether such applicant has a grievancepending against him or her in any other jurisdic-tion, has ever been reprimanded, suspended,placed on inactive status, disbarred, or otherwisedisciplined, or has ever resigned from the practiceof law and, if so, setting forth the circumstancesconcerning such action, (B) certifying that theapplicant has paid the client security fund fee duefor the calendar year in which the application hasbeen made, (C) designating the chief clerk of thesuperior court for the judicial district in which theattorney will be appearing as his or her agentupon whom process and service of notice may beserved, (D) agreeing to register with the statewidegrievance committee in accordance with the provi-sions of this chapter while appearing in the matter


in this state and for two years after the completionof the matter in which the attorney appeared, andto notify the statewide grievance committee of theexpiration of the two year period, (E) identifyingthe number of times the attorney has appearedpro hac vice in the superior court or in any otherproceedings of this state since the attorney firstappeared pro hac vice in this state, listing eachsuch case or proceeding by name and docketnumber, as applicable, and (F) providing any pre-viously assigned juris number, and (2) unlessexcused by the judicial authority, a member of thebar of this state must be present at all proceed-ings, including depositions in a proceeding, andmust sign all pleadings, briefs and other papersfiled with the court, local or state administrativeagency, commission, board or tribunal, andassume full responsibility for them and for theconduct of the cause or proceeding and of theattorney to whom such privilege is accorded. Anysuch application shall be made on a form pre-scribed by the chief court administrator. Wherefeasible, the application shall be made to the judgebefore whom such case is likely to be tried. Ifnot feasible, or if no case is pending before thesuperior court, the application shall be made tothe administrative judge in the judicial districtwhere the matter is to be tried or the proceedingis to be conducted. Good cause for accordingsuch privilege shall be limited to facts or circum-stances affecting the personal or financial welfareof the client and not the attorney. Such facts mayinclude a showing that by reason of a longstandingattorney-client relationship predating the cause ofaction or subject matter of the litigation at bar, orproceeding, the attorney has acquired a special-ized skill or knowledge with respect to the client’saffairs important to the trial of the cause or presen-tation of the proceeding, or that the litigant isunable to secure the services of Connecticutcounsel. Upon the granting of an application toappear pro hac vice, the clerk of the court in whichthe application is granted shall immediately notifythe statewide grievance committee of such action.Any person granted permission to appear in acause, appeal or proceeding pursuant to this sec-tion shall comply with the requirements of Sec-tions 2-68 and 2-70 and shall pay such fee whendue as prescribed by those sections for each yearsuch person appears in the matter. If the clerk forthe judicial district or appellate court in which thematter is pending is notified that such person hasfailed to pay the fee as required by this section,the court shall determine after a hearing theappropriate sanction, which may include termina-tion of the privilege of appearing in the cause,appeal or proceeding.

(P.B. 1978-1997, Sec. 24.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changed

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to Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 29, 2007, to take effect Jan. 1, 2008;amended June 20, 2011, to take effect Jan. 1, 2012; amendedJune 24, 2016, to take effect Jan. 1, 2017.)

HISTORY—2017: Prior to 2017, this section read: ‘‘An attor-ney who is in good standing at the bar of another state, theDistrict of Columbia, or the commonwealth of Puerto Rico,may, upon special and infrequent occasion and for good causeshown upon written application presented by a member of thebar of this state, be permitted in the discretion of the court toparticipate to such extent as the court may prescribe in thepresentation of a cause or appeal in any court of this state;provided, however, that (1) such application shall be accompa-nied by the affidavit of the applicant (a) certifying whether suchapplicant has a grievance pending against him or her in anyother jurisdiction, has ever been reprimanded, suspended,placed on inactive status, disbarred, or otherwise disciplined,or has ever resigned from the practice of law and, if so, settingforth the circumstances concerning such action, (b) certifyingthat the applicant has paid the client security fund fee due forthe calendar year in which the application has been made,(c) designating the chief clerk of the superior court for thejudicial district in which the attorney will be appearing as hisor her agent upon whom process and service of notice maybe served, (d) agreeing to register with the statewide grievancecommittee in accordance with the provisions of this chapterwhile appearing in the matter in this state and for two yearsafter the completion of the matter in which the attorneyappeared, and to notify the statewide grievance committee ofthe expiration of the two year period, and (e) identifying thenumber of cases in which the attorney has appeared pro hacvice in the superior court of this state since the attorney firstappeared pro hac vice in this state and (2) a member of thebar of this state must be present at all proceedings and mustsign all pleadings, briefs and other papers filed with the courtand assume full responsibility for them and for the conduct ofthe cause and of the attorney to whom such privilege isaccorded. Where feasible, the application shall be made tothe judge before whom such cause is likely to be tried. If notfeasible, the application shall be made to the administrativejudge in the judicial district where the matter is to be tried.Good cause for according such privilege shall be limited tofacts or circumstances affecting the personal or financial wel-fare of the client and not the attorney. Such facts may includea showing that by reason of a longstanding attorney-clientrelationship predating the cause of action or subject matter ofthe litigation at bar, the attorney has acquired a specializedskill or knowledge with respect to the client’s affairs importantto the trial of the cause, or that the litigant is unable to securethe services of Connecticut counsel. Upon the granting of anapplication to appear pro hac vice, the clerk of the court inwhich the application is granted shall immediately notify thestatewide grievance committee of such action. Any persongranted permission to appear in a matter pursuant to thissection shall comply with the requirements of Sections 2-68and 2-70 and shall pay such fee when due as prescribed bythose sections for each year such person appears in the mat-ter. If the clerk for the judicial district or appellate court in whichthe matter is pending is notified that such person has failedto pay the fee as required by this section, the court shalldetermine after a hearing the appropriate sanction, which mayinclude termination of the privilege of appearing in the matter.’’

COMMENTARY—2017: The changes to this section estab-lish a requirement that an out-of-state attorney request permis-sion to appear pro hac vice in any cause, appeal or proceedingbefore any Connecticut state court or any state or municipal


agency, commission, board or tribunal by filing a written appli-cation, on a form prescribed by the chief court administrator,to the administrative judge of the court in the judicial districtwhere the case is likely to be tried or proceeding is to beconducted. This amendment is necessary in light of the Con-necticut Supreme Court opinion in Persels & Associates, LLCv. Banking Commissioner, 318 Conn. 652, 122 A.3d 592(2015), in which the court concluded that the sole authority tolicense and regulate the general practice of law rests in thejudicial branch. The rule also establishes additional informationthat must be included in an affidavit submitted with an applica-tion for permission to appear pro hac vice.

Sec. 2-17. Foreign Legal Consultants;Licensing RequirementsUpon recommendation of the bar examining

committee, the court may license to practice asa foreign legal consultant, without examination,an applicant who:

(1) has been admitted to practice (or hasobtained the equivalent of admission) in a foreigncountry, and has engaged in the practice of lawin that country, and has been in good standingas an attorney or counselor at law (or the equiva-lent of either) in that country, for a period of notless than five of the seven years immediately pre-ceding the date of application;

(2) possesses the good moral character andfitness to practice law requisite for a member ofthe bar of this court; and

(3) is at least twenty-six years of age.(P.B. 1978-1997, Sec. 24B.) (Amended June 21, 2010, to

take effect Jan. 1, 2011.)

Sec. 2-18. —Filings to Become ForeignLegal Consultant(a) An applicant for a license to practice as a

foreign legal consultant shall file with the adminis-trative director of the bar examining committee:

(1) a typewritten application in the form pre-scribed by the committee;

(2) a certified check, cashier’s check, or moneyorder in the amount of $500 made payable to thebar examining committee;

(3) a certificate from the authority in the foreigncountry having final jurisdiction over professionaldiscipline, certifying to the applicant’s admissionto practice (or the equivalent of such admission)and the date thereof and to the applicant’s goodstanding as an attorney or counselor at law (orthe equivalent of either), together with a dulyauthenticated English translation of such certifi-cate if it is not in English; and

(4) two letters of recommendation, one from amember in good standing of the Connecticut barand another from either a member in good stand-ing of the bar of the country in which the applicantis licensed as an attorney, or from a judge of oneof the courts of original jurisdiction of said country,

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together with a duly authenticated English transla-tion of each letter if it is not in English.

(b) Upon a showing that strict compliance withthe provisions of Section 2-17 (1) and subdivisions(3) or (4) of subsection (a) of this section is impos-sible or very difficult for reasons beyond the con-trol of the applicant, or upon a showing ofexceptional professional qualifications to practiceas a foreign legal consultant, the court may, in itsdiscretion, waive or vary the application of suchprovisions and permit the applicant to make suchother showing as may be satisfactory to the court.

(c) The committee shall investigate the qualifi-cations, moral character, and fitness of any appli-cant for a license to practice as a foreign legalconsultant and may in any case require the appli-cant to submit any additional proof or informationas the committee may deem appropriate. Thecommittee may also require the applicant to sub-mit a report from the National Conference of BarExaminers, and to pay the prescribed fee therefor,with respect to the applicant’s character andfitness.

(P.B. 1978-1997, Sec. 24C.) (Amended June 21, 2010, totake effect Jan. 1, 2011.)

Sec. 2-19. —Scope of Practice of ForeignLegal ConsultantsA person licensed to practice as a foreign legal

consultant under these rules is limited to advisingConnecticut clients only on the law of the foreigncountry in which such person is admitted to prac-tice law. Such person shall not:

(1) in any way hold himself or herself out as amember of the bar of the state of Connecticut; or

(2) use in this state any title other than ‘‘ForeignLegal Consultant,’’ but in conjunction therewithmay indicate the foreign country in which he orshe is licensed to practice law.

(P.B. 1978-1997, Sec. 24D.)

Sec. 2-20. —Disciplinary Provisions regard-ing Foreign Legal Consultants(a) Every person licensed to practice as a for-

eign legal consultant under these rules:(1) shall be subject to the Connecticut Rules of

Professional Conduct and to the rules of practiceregulating the conduct of attorneys in this stateto the extent applicable to the legal servicesauthorized under these rules, and shall be subjectto reprimand, suspension, or revocation of licenseto practice as a foreign legal consultant by thecourt;

(2) shall execute and file with the clerk, in suchform and manner as the court may prescribe:

(A) a written commitment to observe the Con-necticut Rules of Professional Conduct and other


rules regulating the conduct of attorneys asreferred to in subsection (a) (1) of this section,

(B) an undertaking or appropriate evidence ofprofessional liability insurance, in such amount asthe court may prescribe, to assure the foreignlegal consultant’s proper professional conductand responsibility,

(C) a duly acknowledged instrument in writingsetting forth the foreign legal consultant’s addressin the state of Connecticut or United States, anddesignating the clerk of the superior court for thejudicial district of Hartford as his or her agent uponwhom process may be served. Such service shallhave the same effect as if made personally uponthe foreign legal consultant, in any action or pro-ceeding thereafter brought against the foreignlegal consultant and arising out of or based uponany legal services rendered or offered to be ren-dered by the foreign legal consultant within or toresidents of the state of Connecticut, and

(3) a written commitment to notify the clerk ofthe foreign legal consultant’s resignation frompractice in the foreign country of his or her admis-sion or in any other state or jurisdiction in whichsaid person has been admitted to practice law, orof any censure, reprimand, suspension, revoca-tion or other disciplinary action relating to his orher right to practice in such country, state or juris-diction.

(b) Service of process on the clerk pursuant tothe designation filed as aforesaid shall be madeby personally delivering to and leaving with theclerk, or with a deputy or assistant authorized bythe clerk to receive service, at the clerk’s office,duplicate copies of such process together with afee of $20. Service of process shall be completewhen the clerk has been so served. The clerkshall promptly send one of the copies to the for-eign legal consultant to whom the process isdirected, by certified mail, return receipt requestedor with electronic delivery confirmation,addressed to the foreign legal consultant at theaddress given to the court by the foreign legalconsultant as aforesaid.

(c) In imposing any sanction authorized by sub-section (a) (1), the court may act sua sponte or onthe recommendation of the statewide grievancecommittee. To the extent feasible, the court shallproceed in a manner consistent with the rules ofpractice governing discipline of the bar of the stateof Connecticut.

(P.B. 1978-1997, Sec. 24E.) (Amended June 29, 1998, totake effect Sept. 1, 1998; amended June 14, 2013, to takeeffect Jan. 1, 2014.)

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Sec. 2-21. —Affiliation of Foreign LegalConsultant with the Bar of the State of Con-necticut(a) A foreign legal consultant licensed under

these rules shall not be a member of the Connecti-cut bar, provided, however, that a foreign legalconsultant shall be considered an affiliate of thebar subject to the same conditions and require-ments as are applicable to an active or inactivemember of the bar under the court’s rules govern-ing the bar of the state of Connecticut, insofar assuch conditions and requirements may be consis-tent with the provisions of these rules.

(b) A foreign legal consultant licensed underthese rules shall, upon being so licensed, takethe following oath before this court, unless grantedpermission to take the oath in absentia:

‘‘I, , do solemnly swear (or affirm)that as a foreign legal consultant with respect tothe laws of , licensed by this court, Iwill conduct myself uprightly and according to thelaws of the State of Connecticut and the rules ofthe court.’’

(P.B. 1978-1997, Sec. 24F.)

Sec. 2-22. Disposition of Fees for Admis-sion to the Bar(a) All fees paid under the preceding sections

of these rules shall be transmitted to the treasurerof the bar examining committee. Such fees,together with any interest earned thereon, shallbe applied to the payment of the necessary andreasonable expenses incurred by the bar examin-ing committee, the standing committees on rec-ommendations for admission in the severalcounties and the staff assigned by the chief courtadministrator pursuant to Section 2-6, and to thesalaries and benefits of such staff. Such reason-able expenses shall not include charges for tele-phone and office space utilized by such staff inthe performance of their duties. Expenses shallnot be paid except upon authorization of the chairof the bar examining committee, or the chair’sdesignee. The bar examining committee and thecounty standing committees shall follow suchestablished judicial branch guidelines, directivesand policies with regard to fiscal, personnel andpurchasing matters as deemed by the chief courtadministrator to be applicable to them. Surplusmoneys may, with the approval of the committee,be turned over from time to time to the executivesecretary of the judicial branch for deposit as courtrevenue in the general fund of the state of Con-necticut.

(b) The bar examining committee, when neces-sary, shall contract with individuals to serve as


proctors and with attorneys to serve as bar exami-nation graders and with law school faculty andother qualified persons to provide bar examinationessay questions and shall establish an appro-priate fee schedule for such services.

(P.B. 1978-1997, Sec. 25.)

Sec. 2-23. Roll of Attorneys(a) The statewide bar counsel shall forward to

the clerk for Hartford county for certification a rollof the attorneys of the state and the said clerkshall keep said roll. The clerk for any other countyin which an attorney is admitted shall forthwithcertify such action, with the date and the residenceof the attorney, to the clerk for Hartford county,the statewide bar counsel and the administrativedirector of the bar examining committee.

(b) The clerk for any county in which an attorneyis suspended, disbarred, resigned, placed in aninactive status, reinstated, or otherwise formallyand publicly disciplined by the court shall forthwithcertify such action with the date, the residence ofthe attorney and a certified copy of the court orderto the statewide bar counsel and to the clerk forHartford county, and shall notify them of the deathof any attorney in his or her county of which suchclerk knows.

(c) The clerk for Hartford county shall forthwithnotify the clerks of the superior court and the clerkof the United States district court for the districtof Connecticut, at New Haven, of all suspensions,disbarments, resignations, placements in inactivestatus, retirements, revocations of retirements,or reinstatements.

(P.B. 1978-1997, Sec. 26.)

Sec. 2-24. Notice by Attorney of Admissionin Other JurisdictionsAn attorney who is admitted to practice at the

bar of another state, the District of Columbia, orthe commonwealth of Puerto Rico, or of anyUnited States court, shall send to the Connecticutstatewide bar counsel written notice of all suchjurisdictions in which he or she is admitted to prac-tice within thirty days of admission to practice insuch jurisdiction.

(P.B. 1978-1997, Sec. 26A.)

Sec. 2-25. Notice by Attorney of DisciplinaryAction in Other JurisdictionsAn attorney shall send to the statewide bar

counsel written notice of all disciplinary actionsimposed by the courts of another state, the Districtof Columbia, or the commonwealth of Puerto Rico,or of any United States court, within thirty daysof the order directing the disciplinary action.

(P.B. 1978-1997, Sec. 26B.)

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Sec. 2-26. Notice by Attorney of Change inAddressAn attorney shall send prompt written notice of

a change in mailing and street address to thestatewide grievance committee on a registrationform approved by the statewide bar counsel andto the clerks of the courts where the attorney hasentered an appearance.

(P.B. 1978-1997, Sec. 27.)

Sec. 2-27. Clients’ Funds; Lawyer Regis-tration(Amended June 29, 2007, to take effect Jan.1, 2008.)(a) Consistent with the requirement of Rule 1.15

of the Rules of Professional Conduct, each lawyeror law firm shall maintain, separate from the law-yer’s or the firm’s personal funds, one or moreaccounts accurately reflecting the status of fundshandled by the lawyer or firm as fiduciary or attor-ney, and shall not use such funds for any unautho-rized purpose.

(b) Each lawyer or law firm maintaining one ormore trust accounts as defined in Rule 1.15 ofthe Rules of Professional Conduct and Section 2-28 (b) shall keep records of the maintenance anddisposition of all funds of clients or of third personsheld by the lawyer or firm in a fiduciary capacityfrom the time of receipt to the time of final distribu-tion. Each lawyer or law firm shall retain therecords required by Rule 1.15 of the Rules ofProfessional Conduct for a period of seven yearsafter termination of the representation.

(c) Such books of account and statements ofreconciliation, and any other records required tobe maintained pursuant to Rule 1.15 of the Rulesof Professional Conduct, shall be made availableupon request of the statewide grievance commit-tee or its counsel, or the disciplinary counsel forreview, examination or audit upon receipt of noticeby the statewide grievance committee of an over-draft notice as provided by Section 2-28 (f). Uponthe filing of a grievance complaint or a findingof probable cause, such records shall be madeavailable upon request of the statewide grievancecommittee, its counsel or the disciplinary counselfor review or audit.

(d) Each lawyer shall register with the statewidegrievance committee, on a form devised by thecommittee, the address of the lawyer’s office oroffices maintained for the practice of law, the law-yer’s office e-mail address and business tele-phone number, the name and address of everyfinancial institution with which the lawyer main-tains any account in which the funds of more thanone client are kept and the identification numberof any such account. Such registrations will bemade on an annual basis and at such time as the


lawyer changes his or her address or addressesor location or identification number of any suchtrust account in which the funds of more thanone client are kept. The registration forms filedpursuant to this subsection and pursuant to Sec-tion 2-26 shall not be public; however, all informa-tion obtained by the statewide grievancecommittee from these forms shall be public,except the following: trust account identificationnumbers; the lawyer’s home address; the lawyer’soffice e-mail address; and the lawyer’s birth date.Unless otherwise ordered by the court, all non-public information obtained from these forms shallbe available only to the statewide grievance com-mittee and its counsel, the reviewing committees,the grievance panels and their counsel, the barexamining committee, the standing committee onrecommendations for admission to the bar, disci-plinary counsel, the client security fund committeeand its counsel, a judge of the superior court, ajudge of the United States District Court for theDistrict of Connecticut, any grievance committeeor other disciplinary authority of the United StatesDistrict Court for the District of Connecticut or,with the consent of the lawyer, to any other per-son. The registration requirements of this subsec-tion shall not apply to judges of the supreme,appellate or superior courts, judge trial referees,family support magistrates, federal judges, federalmagistrate judges, federal administrative lawjudges or federal bankruptcy judges.

(e) The statewide grievance committee or itscounsel may conduct random inspections andaudits of accounts maintained pursuant to Rule1.15 of the Rules of Professional Conduct todetermine whether such accounts are in compli-ance with the Rule and this section. If any randominspection or audit performed under this subsec-tion discloses an apparent violation of this sectionor the Rules of Professional Conduct, the mattermay be referred to a grievance panel for furtherinvestigation or to the disciplinary counsel for pre-sentment to the superior court. Any lawyer whoseaccounts are selected for inspection or auditunder this section shall fully cooperate with theinspection or audit, which cooperation shall notbe construed to be a violation of Rule 1.6 (a) ofthe Rules of Professional Conduct. Any records,documents or information obtained or producedpursuant to a random inspection or audit shallremain confidential unless and until a present-ment is initiated by the disciplinary counsel alleg-ing a violation of Rule 1.15 of the Rules ofProfessional Conduct or of this section, or proba-ble cause is found by the grievance panel, thestatewide grievance committee or a reviewing

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committee. Contemporaneously with the com-mencement of a presentment or the filing of agrievance complaint, notice shall be given in writ-ing by the statewide grievance committee to anyclient or third person whose identity may be pub-licly disclosed through the disclosure of recordsobtained or produced in accordance with this sub-section. Thereafter, public disclosure of suchrecords shall be subject to the client or third per-son having thirty days from the issuance of thenotice to seek a court order restricting publicationof any such records disclosing confidential infor-mation. During the thirty day period, or the pen-dency of any such motion, any document filedwith the court or as part of a grievance recordshall refer to such clients or third persons bypseudonyms or with appropriate redactions,unless otherwise ordered by the court.

(f) Violation of this section shall constitute mis-conduct.

(P.B. 1978-1997, Sec. 27A.) (Amended June 25, 2001, totake effect Jan. 1, 2002; amended June 24, 2002, to takeeffect July 1, 2003; May 14, 2003, effective date changed toOct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007,and with respect to subsection (e), July 1, 2007; amendedJune 29, 2007, to take effect Jan. 1, 2008; amended June 30,2008, to take effect Jan. 1, 2009; amended June 20, 2011,to take effect Jan. 1, 2012.)

Sec. 2-27A. Minimum Continuing Legal Edu-cation(a) On an annual basis, each attorney admitted

in Connecticut shall certify, on the registrationform required by Section 2-27 (d), that the attorneyhas completed in the last calendar year no lessthan twelve credit hours of appropriate continuinglegal education, at least two hours of which shallbe in ethics/professionalism. The ethics and pro-fessionalism components may be integrated withother courses. This rule shall apply to all attorneysexcept the following:

(1) Judges and senior judges of the supreme,appellate or superior courts, judge trial referees,family support magistrates, family support magis-trate referees, federal judges, federal magistratejudges, federal administrative law judges or fed-eral bankruptcy judges;

(2) Attorneys who are disbarred, resigned pur-suant to Section 2-52, on inactive status pursuantto Section 2-56 et seq., or retired pursuant toSections 2-55 or 2-55A;

(3) Attorneys who are serving on active duty inthe armed forces of the United States for morethan six months in such year;

(4) Attorneys for the calendar year in which theyare admitted;


(5) Attorneys who earn less than $1000 in com-pensation for the provision of legal services insuch year;

(6) Attorneys who, for good cause shown, havebeen granted temporary or permanent exemptstatus by the statewide grievance committee.

(b) Attorneys may satisfy the required hours ofcontinuing legal education:

(1) By attending legal education courses pro-vided by any local, state or special interest barassociation in this state or regional or national barassociations recognized in this state or anotherstate or territory of the United States or the Districtof Columbia (hereinafter referred to as ‘‘bar asso-ciation’’); any private or government legalemployer; any court of this or any other state orterritory of the United States or the District ofColumbia; any organization whose program orcourse has been reviewed and approved by anybar association or organization that has beenestablished in any state or territory of the UnitedStates or the District of Columbia to certify andapprove continuing legal education courses; andany other nonprofit or for-profit legal educationproviders, including law schools and other appro-priate continuing legal education providers, andincluding courses remotely presented by videoconference, webcasts, webinars, or the like bysaid providers.

(2) By self-study of appropriate programs orcourses directly related to substantive or proce-dural law or related topics, including professionalresponsibility, legal ethics, or law office manage-ment and prepared by those continuing legal edu-cation providers in subsection (b) (1). Said self-study may include viewing and listening to all man-ner of communication, including, but not limitedto, video or audio recordings or taking online legalcourses. The selection of self-study courses orprograms shall be consistent with the objective ofthis rule, which is to maintain and enhance theskill level, knowledge, ethics and competence ofthe attorney and shall comply with the minimumquality standards set forth in subsection (c) (6).

(3) By publishing articles in legal publicationsthat that have as their primary goal the enhance-ment of competence in the legal profession,including, without limitation, substantive and pro-cedural law, ethics, law practice management andprofessionalism.

(4) By teaching legal seminars and courses,including the participation on panel discussionsas a speaker or moderator.

(5) By serving as a full-time faculty memberat a law school accredited by the American BarAssociation, in which case, such attorney will be

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credited with meeting the minimum continuinglegal education requirements set forth herein.

(6) By serving as a part-time or adjunct facultymember at a law school accredited by the Ameri-can Bar Association, in which case, such attorneywill be credited with meeting the minimum continu-ing legal education requirements set forth hereinat the rate of one hour for each hour of class-room instruction.

(c) Credit Computation:(1) Credit for any of the above activities shall

be based on the actual instruction time, whichmay include lecture, panel discussion, and ques-tion and answer periods. Self-study credit shallbe based on the reading time or running time ofthe selected materials or program.

(2) Credit for attorneys preparing for and pre-senting legal seminars, courses or programs shallbe based on one hour of credit for each two hoursof preparation. A maximum of six hours of creditmay be credited for preparation of a single pro-gram. Credit for presentation shall be on an hourfor hour basis. Credit may not be earned morethan once for the same course given during atwelve month period.

(3) Credit for the writing and publication of arti-cles shall be based on the actual drafting timerequired. Each article may be counted only onetime for credit.

(4) Continuing legal education courses orderedpursuant to Section 2-37 (a) (5) or any court orderof discipline shall not count as credit toward anattorney’s obligation under this section.

(5) Attorneys may carry forward no more thantwo credit hours in excess of the current annualcontinuing legal education requirement to beapplied to the following year’s continuing legaleducation requirement.

(6) To be eligible for continuing legal educationcredit, the course or activity must: (A) have signifi-cant intellectual or practical content designed toincrease or maintain the attorney’s professionalcompetence and skills as a lawyer; (B) constitutean organized program of learning dealing withmatters directly related to legal subjects and thelegal profession; and (C) be conducted by an indi-vidual or group qualified by practical or aca-demic experience.

(d) Attorneys shall retain records to prove com-pliance with this rule for a period of seven years.

(e) Violation of this section shall constitute mis-conduct.

(f) Unless it is determined that the violation ofthis section was wilful, a noncompliant attorneymust be given at least sixty days to comply withthis section before he or she is subject to any dis-cipline.


(g) A minimum continuing legal education com-mission (‘‘commission’’) shall be established bythe judicial branch and shall be composed of foursuperior court judges and four attorneys admittedto practice in this state, all of whom shall beappointed by the chief justice of the supreme courtor his or her designee and who shall serve withoutcompensation. The charge of the commission willbe to provide advice regarding the application andinterpretation of this rule and to assist with itsimplementation including, but not limited to, thedevelopment of a list of frequently asked ques-tions and other documents to assist the membersof the bar to meet the requirements of this rule.

(Adopted June 24, 2016, to take effect Jan. 1, 2017.)COMMENTARY—2017: It is the intention of this rule to

provide attorneys with relevant and useful continuing legaleducation covering the broadest spectrum of substantive, pro-cedural, ethical and professional subject matter at the lowestcost reasonably feasible and with the least amount of supervi-sion, structure and reporting requirements, which will aid inthe development, enhancement and maintenance of the legalknowledge and skills of practicing attorneys and will facilitatethe delivery of competent legal services to the public.

The rule also permits an attorney to design his or her owncourse of study. The law is constantly evolving and attorneys,like all other professionals, are expected to keep abreast ofchanges in the profession and the law if they are to providecompetent representation.

Subsection (a) provides that Connecticut attorneys mustcomplete twelve credit hours of continuing legal education percalendar year. Subsection (a) also lists those Connecticutattorneys, who are exempt from compliance, including, amongothers: judges, senior judges, attorneys serving in the military,new attorneys during the year in which they are admitted topractice, attorneys who earn less than $1000 in compensationfor the provision of legal services in the subject year, andthose who obtain an exempt status for good cause shown.The subsection also provides an exemption for attorneys whoare disbarred, resigned, on inactive status due to disability,or are retired. The exemption for attorneys who earn less than$1000 in compensation in a particular year is not intended toapply to attorneys who claim that they were not paid as aresult of billed fees to a client. All compensation received forthe provision of legal services, whether the result of billed feesor otherwise, must be counted. There is no exemption forattorneys who are suspended or on administrative suspension.

Subsection (d) requires an attorney to maintain adequaterecords of compliance. For continuing legal education courses,a certificate of attendance shall be sufficient proof of compli-ance. For self-study, a contemporaneous log identifying anddescribing the course listened to or watched and listing thedate and time the course was taken, as well as a copy of thesyllabus or outline of the course materials, if available, and,when appropriate, a certificate from the course provider, shallbe sufficient proof of compliance. For any other form of continu-ing legal education, a file including a log of the time spent anddrafts of the prepared material shall provide sufficient proofof compliance.

Sec. 2-28. Overdraft Notification(a) The terms used in this section are defined

as follows:

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(1) ‘‘Financial institution’’ includes banks, sav-ings and loan associations, credit unions, savingsbanks and any other business or person whichaccepts for deposit funds held in trust byattorneys.

(2) ‘‘Properly payable’’ refers to an instrumentwhich, if presented in the normal course of busi-ness, is in a form requiring payment under law.

(3) ‘‘Insufficient funds’’ refers to the status ofan account that does not contain sufficient fundsavailable to pay a properly payable instrument.

(4) ‘‘Uncollected funds’’ refers to funds depos-ited in an account and available to be drawn uponbut not yet deemed by the financial institution tohave been collected.

(b) Attorneys shall deposit all funds held in anyfiduciary capacity in accounts clearly identified as‘‘trust,’’ ‘‘client funds’’ or ‘‘escrow’’ accounts,referred to herein as ‘‘trust accounts,’’ and shalltake all steps necessary to inform the depositoryinstitution of the purpose and identity of suchaccounts. Funds held in trust include funds heldin any fiduciary capacity in connection with a rep-resentation in Connecticut, whether as trustee,agent, guardian, executor or otherwise. Wherean attorney fiduciary has the right to draw by aproperly payable instrument on such trust accountin which the funds of more than one client arekept, such account shall be maintained only infinancial institutions approved by the statewidegrievance committee. No such trust account inwhich the funds of more than one client are keptshall be maintained in any financial institution inConnecticut which does not file the agreementrequired by this section. Violation of this subsec-tion shall constitute misconduct.

(c) Attorneys regularly maintaining funds in afiduciary capacity shall register any account inwhich the funds of more than one client are keptwith the statewide grievance committee in accord-ance with Section 2-27 (d).

(d) A financial institution shall be approved asa depository for attorney trust accounts only if itfiles with the statewide grievance committee anagreement, in a form provided by the committee,to report to the committee the fact that an instru-ment has been presented against an attorney trustaccount containing insufficient funds, irrespectiveof whether or not the instrument is honored. Noreport shall be required if funds in an amountsufficient to cover the deficiency in the trustaccount are deposited within one business dayof the presentation of the instrument. No reportshall be required in the case of an instrumentpresented and paid against uncollected funds.

(e) Any such agreement shall not be cancelledby a financial institution except upon thirty days


written notice to the statewide grievance commit-tee. The statewide grievance committee shallestablish rules governing approval and termina-tion of approved status for financial institutions,and shall publish annually a list of approved insti-tutions. Any such agreement shall apply to allbranches of the financial institution in Connecticutand shall not be cancelled except upon thirty daysnotice in writing to the statewide grievance com-mittee.

(f) The financial institution shall report to thestatewide grievance committee within seven busi-ness days from the date of such presentation, anyinstrument presented against insufficient funds onany trust funds account unless funds in an amountsufficient to cover the deficiency in the accountare deposited within one business day of the pre-sentation of the instrument. The report shall beaccompanied by a copy of the instrument.

(g) The statewide grievance committee maydelegate to the statewide bar counsel the authorityto investigate overdraft notifications and deter-mine that no misconduct has occurred or that nofurther action is warranted. Any determination thatmisconduct may have occurred and a grievancecomplaint should be initiated, unless such com-plaint is premised upon the failure of an attorneyto file an explanation of an overdraft, shall bemade by the statewide grievance committee.

(h) Upon receipt of notification of an overdraft,the statewide grievance committee, its counsel ordisciplinary counsel may request that the attorneyproduce such books of account and statementsof reconciliation, and any other records requiredto be maintained pursuant to Section 2-27 (b)for review, examination or audit. Failure of theattorney to respond to inquiries of the statewidegrievance committee, its counsel, or disciplinarycounsel, or to produce the requested books ofaccount and statements of reconciliation or otherrecords shall be grounds for disciplinary counselto file an application for an interim suspension inaccordance with the provisions of Section 2-42.

(i) Every attorney practicing or admitted to prac-tice in Connecticut shall, as a condition thereof,be conclusively presumed to have authorized thereporting and production requirements of this sec-tion. Where an attorney qualifies as executor ofa will or as trustee or successor fiduciary, theattorney fiduciary shall have a reasonable timeafter qualification to bring preexisting trustaccounts into compliance with the provisions ofthis section.

(P.B. 1978-1997, Sec. 27A.1.) (Amended June 24, 2002,to take effect July 1, 2003; May 14, 2003, effective datechanged to Oct. 1, 2003; Sept. 30, 2003, effective datechanged to Jan. 1, 2004; amended June 26, 2006, to takeeffect Jan. 1, 2007.)

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Sec. 2-28A. Attorney Advertising; Manda-tory Filing(a) Any attorney who advertises services to the

public through any media, electronic or otherwise,or through written or recorded communication pur-suant to Rule 7.2 of the Rules of ProfessionalConduct shall file a copy of each such advertise-ment or communication with the statewide griev-ance committee either prior to or concurrently withthe attorney’s first dissemination of the advertise-ment or written or recorded communication,except as otherwise provided in subsection (b)herein. The materials shall be filed in a formatprescribed by the statewide grievance committee,which may require them to be filed electronically.Any such submission in a foreign language mustinclude an accurate English language translation.

The filing shall consist of the following:(1) A copy of the advertisement or communica-

tion in the form or forms in which it is to be dissem-inated (e.g., videotapes, DVDs, audiotapes,compact discs, print media, photographs of out-door advertising);

(2) A transcript, if the advertisement or commu-nication is in video or audio format;

(3) A list of domain names used by the attorneyprimarily to offer legal services, which shall beupdated quarterly;

(4) A sample envelope in which the written com-munication will be enclosed, if the communicationis to be mailed;

(5) A statement listing all media in which theadvertisement or communication will appear, theanticipated frequency of use of the advertisementor communication in each medium in which it willappear, and the anticipated time period duringwhich the advertisement or communication willbe used.

(b) The filing requirements of subsection (a) donot extend to any of the following materials:

(1) An advertisement in the public media thatcontains only the information, in whole or in part,contained in Rule 7.2 (i) of the Rules of Profes-sional Conduct, provided the information is notfalse or misleading;

(2) An advertisement in a telephone directory;(3) A listing or entry in a regularly published

law list;(4) An announcement card stating new or

changed associations, new offices, or similarchanges relating to an attorney or firm, or a tomb-stone professional card;

(5) A communication sent only to:(i) Existing or former clients;(ii) Other attorneys or professionals; business

organizations including trade groups; not-for-profit organizations; governmental bodies and/or

SUPERIOR COURT—GENERAL PROVISIONS Sec. 2-28B

(iii) Members of a not-for-profit organization thatmeets the following conditions: the primary pur-poses of the organization do not include the rendi-tion of legal services; the recommending,furnishing, paying for or educating personsregarding legal services is incidental and reason-ably related to the primary purposes of the organi-zation; the organization does not derive a financialbenefit from the rendition of legal services by anattorney; and the person for whom the legal ser-vices are rendered, and not the organization, isrecognized as the client of the attorney who isrecommended, furnished, or paid for by the orga-nization.

(6) Communication that is requested by a pro-spective client.

(7) The contents of an attorney’s Internet web-site that appears under any of the domain namessubmitted pursuant to subdivision (3) of subsec-tion (a).

(c) If requested by the statewide grievance com-mittee, an attorney shall promptly submit informa-tion to substantiate statements or representationsmade or implied in any advertisement in the publicmedia and/or written or recorded communi-cations.

(d) The statewide bar counsel shall reviewadvertisements and communications filed pursu-ant to this section that have been selected for suchreview on a random basis. If after such review thestatewide bar counsel determines that an adver-tisement or communication does not comply withthe Rules of Professional Conduct, the statewidebar counsel shall in writing advise the attorneyresponsible for the advertisement or communica-tion of the noncompliance and shall attempt toresolve the matter with such attorney. If the matteris not resolved to the satisfaction of the statewidebar counsel, he or she shall forward the advertise-ment or communication and a statement describ-ing the attempt to resolve the matter to thestatewide grievance committee for review. If, afterreviewing the advertisement or communication,the statewide grievance committee determinesthat it violates the Rules of Professional Conduct,it shall forward a copy of its file to the disciplinarycounsel and direct the disciplinary counsel to filea presentment against the attorney in the supe-rior court.

(e) The procedure set forth in subsection (d)shall apply only to advertisements and communi-cations that are reviewed as part of the randomreview process. If an advertisement or communi-cation comes to the attention of the statewide barcounsel other than through that process, it shallbe handled pursuant to the grievance procedurethat is set forth in Section 2-29 et seq.

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(f) The materials required to be filed by thissection shall be retained by the statewide griev-ance committee for a period of one year from thedate of their filing, unless, at the expiration ofthe one year period, there is pending before thestatewide grievance committee, a reviewing com-mittee, or the court a proceeding concerning suchmaterials, in which case the materials that are thesubject of the proceeding shall be retained untilthe expiration of the proceeding or for such otherperiod as may be prescribed by the statewidegrievance committee.

(g) Except for records filed in court in connectionwith a presentment brought pursuant to subsec-tion (d), records maintained by the statewide barcounsel, the statewide grievance committee and/or the disciplinary counsel’s office pursuant to thissection shall not be public. Nothing in this ruleshall prohibit the use or consideration of suchrecords in any subsequent disciplinary or clientsecurity fund proceeding and such records shallbe available in such proceedings to a judge of thesuperior court or to the standing committee onrecommendations for admission to the bar, to dis-ciplinary counsel, to the statewide bar counsel orassistant bar counsel, or, with the consent of therespondent, to any other person, unless otherwiseordered by the court.

(h) Violation of subsections (a) or (c) shall con-stitute misconduct.

(Adopted June 26, 2006, to take effect July, 1, 2007;amended June 21, 2010, to take effect Jan. 1, 2011.)

Sec. 2-28B. —Advisory Opinions(a) An attorney who desires to secure an

advance advisory opinion concerning compliancewith the Rules of Professional Conduct of a con-templated advertisement or communication maysubmit to the statewide grievance committee, notless than 30 days prior to the date of first dissemi-nation, the material specified in Section 2-28A (a)accompanied by a fee established by the chiefcourt administrator. It shall not be necessary tosubmit a videotape or DVD if the videotape orDVD has not then been prepared and the produc-tion script submitted reflects in detail and accu-rately the actions, events, scenes, andbackground sounds that will be depicted or con-tained on such videotapes or DVDs, when pre-pared, as well as the narrative transcript of theverbal and printed portions of such advertisement.

(b) An advisory opinion shall be issued, withouta hearing, by the statewide grievance committeeor by a reviewing committee assigned by thestatewide grievance committee. Such reviewingcommittee shall consist of at least three members

SUPERIOR COURT—GENERAL PROVISIONSSec. 2-28B

of the statewide grievance committee, at leastone-third of whom are not attorneys.

(c) An advisory opinion issued by the statewidegrievance committee or a reviewing committeefinding noncompliance with the Rules of Profes-sional Conduct is not binding in a disciplinary pro-ceeding, but a finding of compliance is binding infavor of the submitting attorney in a disciplinaryproceeding if the representations, statements,materials, facts and written assurances receivedin connection therewith are not false or mis-leading. The finding constitutes admissible evi-dence if offered by a party. If a request for anadvisory opinion is made within 60 days of theeffective date of this section, the statewide griev-ance committee or reviewing committee shallissue its advisory opinion within 45 days of thefiling of the request. Thereafter, the statewidegrievance committee or reviewing committee shallissue its advisory opinion within 30 days of thefiling of the request. For purposes of this section,an advisory opinion is issued on the date noticeof the opinion is transmitted to the attorney whorequested it pursuant to subsection (a) herein.

(d) If requested by the statewide grievancecommittee or a reviewing committee, the attorneyseeking an advisory opinion shall promptly submitinformation to substantiate statements or repre-sentations made or implied in such attorney’sadvertisement. The time period set forth in sub-section (c) herein shall be tolled from the date ofthe committee’s request to the date the requestedinformation is filed with the committee.

(e) If an advisory opinion is not issued by thestatewide grievance committee or a reviewingcommittee within the time prescribed in this sec-tion, the advertisement or communication forwhich the opinion was sought shall be deemedto be in compliance with the Rules of Profes-sional Conduct.

(f) If, after receiving an advisory opinion findingthat an advertisement or communication violatesthe Rules of Professional Conduct, the attorneydisseminates such advertisement or communica-tion, the statewide grievance committee, uponreceiving notice of such dissemination, shall for-ward a copy of its file concerning the matter tothe disciplinary counsel and direct the disciplinarycounsel to file a presentment against the attorneyin the superior court.

(g) Except for advisory opinions, all recordsmaintained by the statewide grievance committeepursuant to this section shall not be public. Advi-sory opinions issued pursuant to this section shallnot be public for a period of 30 days from the dateof their issuance. During that 30 day period theadvisory opinion shall be available only to the

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attorney who requested it pursuant to subsection(a), to the statewide grievance committee or itscounsel, to reviewing committees, to grievancepanels, to disciplinary counsel, to a judge of thesuperior court, and, with the consent of the attor-ney who requested the opinion, to any other per-son. Nothing in this rule shall prohibit the use orconsideration of such records in any subsequentdisciplinary or client security fund proceeding andsuch records shall be available in such proceed-ings to a judge of the superior court or to thestanding committee on recommendations foradmission to the bar, to disciplinary counsel, to thestatewide bar counsel or assistant bar counsel, or,with the consent of the respondent, to any otherperson, unless otherwise ordered by the court.

(Adopted June 26, 2006, to take effect July 1, 2007.)

Sec. 2-29. Grievance Panels(a) The judges of the superior court shall

appoint one or more grievance panels in eachjudicial district, each consisting of two membersof the bar who do not maintain an office for thepractice of law in such judicial district and onenonattorney who resides in such judicial district,and shall designate as an alternate member amember of the bar who does not maintain anoffice for the practice of law in such judicial district.Terms shall commence on July 1. Appointmentsshall be for terms of three years. No person mayserve as a member and/or as an alternate mem-ber for more than two consecutive three yearterms, but may be reappointed after a lapse ofone year. The appointment of any member oralternate member may be revoked or suspendedby the judges or by the executive committee ofthe superior court. In connection with such revoca-tion or suspension, the judges or the executivecommittee shall appoint a qualified individual tofill the vacancy for the balance of the term or forany other appropriate period. In the event that avacancy arises on a panel before the end of aterm by reasons other than revocation or suspen-sion, the executive committee of the superior courtshall appoint an attorney or nonattorney,depending on the position vacated, who meetsthe appropriate condition set forth above to fill thevacancy for the balance of the term.

(b) Consideration for appointment to these posi-tions shall be given to those candidates recom-mended to the appointing authority by theadministrative judges.

(c) In the event that more than one panel hasbeen appointed to serve a particular judicial dis-trict, the executive committee of the superior courtshall establish the jurisdiction of each such panel.


(d) An attorney who maintains an office for thepractice of law in the same judicial district as arespondent may not participate as a member ofa grievance panel concerning a complaint againstthat respondent.

(e) In addition to any other powers and dutiesset forth in this chapter, each panel shall:

(1) On its own motion or on complaint of anyperson, inquire into and investigate offenseswhether or not occurring in the actual presenceof the court involving the character, integrity, pro-fessional standing and conduct of members of thebar in this state.

(2) Compel any person by subpoena to appearbefore it to testify in relation to any matter deemedby the panel to be relevant to any inquiry or investi-gation it is conducting and to produce before itfor examination any books or papers which, in itsjudgment, may be relevant to such inquiry orinvestigation.

(3) Utilize a court reporter or court recordingmonitor employed by the judicial branch to recordany testimony taken before it.

(f) The grievance panel may, upon the vote of amajority of its members, require that a disciplinarycounsel pursue the matter before the grievancepanel on the issue of probable cause.

(P.B. 1978-1997, Sec. 27B.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004.)

Sec. 2-30. Grievance Counsel for Panelsand Investigators(a) The judges of the superior court shall

appoint, as set forth below, attorneys to serveeither on a part-time or full-time basis as grievancecounsel for grievance panels, and shall appointone or more investigators either on a full-time orpart-time basis. The investigators so appointedshall serve the statewide grievance committee,the reviewing committees and the grievance pan-els and shall be under the supervision of the state-wide bar counsel. These appointments shall befor a term of one year commencing July 1. Inthe event that a vacancy arises in any of thesepositions before the end of a term, the executivecommittee of the superior court shall appoint aqualified individual to fill the vacancy for the bal-ance of the term. Compensation for these posi-tions shall be paid by the judicial branch. Suchappointees may be placed on the judicial branchpayroll or be paid on a contractual basis.

(b) Consideration for appointment to the posi-tion of grievance counsel for a grievance panelshall be given to those candidates recommendedto the appointing authority by the resident judges

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in the judicial district or districts to which theappointment is to be made.

(c) The executive committee of the superiorcourt shall determine the number of grievancecounsel to serve one or more grievance panels.

(P.B. 1978-1997, Sec. 27D.)

Sec. 2-31. Powers and Duties of GrievanceCounselGrievance counsel shall have the following

powers and duties:(1) Upon referral of the complaint to the griev-

ance panel, to confer with and, if possible, meetwith the complainants and assist them in under-standing the grievance process set forth in theserules and to answer questions complainants mayhave concerning that process.

(2) To investigate all complaints received by thegrievance panel from the statewide bar counselinvolving alleged misconduct of an attorney sub-ject to the jurisdiction of the superior court.

(3) To assist the grievance panels in carryingout their duties under this chapter.

(4) When determined to be necessary by thestatewide grievance committee, to assistreviewing committees of the statewide grievancecommittee in conducting hearings before saidreviewing committees.

(5) If the grievance panel has dismissed thecomplaint, to assist the complainant in under-standing the reasons for the dismissal.

(P.B. 1978-1997, Sec. 27E.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004.)

Sec. 2-32. Filing Complaints against Attor-neys; Action; Time Limitation(a) Any person, including disciplinary counsel,

or a grievance panel on its own motion, may filea written complaint, executed under penalties offalse statement, alleging attorney misconductwhether or not such alleged misconduct occurredin the actual presence of the court. Complaintsagainst attorneys shall be filed with the statewidebar counsel. Within seven days of the receipt ofa complaint, the statewide bar counsel shallreview the complaint and process it in accordancewith subdivisions (1), (2) or (3) of this subsectionas follows:

(1) forward the complaint to a grievance panelin the judicial district in which the respondentmaintains his or her principal office or residence,provided that, if the respondent does not maintainsuch an address in this state, the statewide barcounsel shall forward the complaint to any griev-ance panel and notify the complainant and therespondent, by certified mail with return receipt


or with electronic delivery confirmation, of thepanel to which the complaint was sent. The notifi-cation to the respondent shall be accompaniedby a copy of the complaint. The respondent shallrespond within thirty days of the date notificationis mailed to the respondent unless for good causeshown such time is extended by the grievancepanel. The response shall be sent to the grievancepanel to which the complaint has been referred.The failure to file a timely response shall constitutemisconduct unless the respondent establishesthat the failure to respond timely was for goodcause shown;

(2) refer the complaint to the chair of the state-wide grievance committee or an attorney desig-nee of the chair and to a nonattorney member ofthe committee, and the statewide bar counsel inconjunction with the chair or attorney designeeand the nonattorney member shall, if deemedappropriate, dismiss the complaint on one or moreof the following grounds:

(A) the complaint only alleges a fee dispute andnot a clearly excessive or improper fee;

(B) the complaint does not allege facts which,if true, would constitute a violation of any provisionof the applicable rules governing attorneyconduct;

(C) the complaint does not contain sufficientspecific allegations on which to conduct an investi-gation;

(D) the complaint is duplicative of a previouslyadjudicated complaint;

(E) the complaint alleges that the last act oromission constituting the alleged misconductoccurred more than six years prior to the date onwhich the complaint was filed;

(i) Notwithstanding the period of limitation setforth in this subparagraph, an allegation of mis-conduct that would constitute a violation of Rule1.15, 8.1 or 8.4 (2) through (6) of the Rules ofProfessional Conduct may still be considered aslong as a written complaint is filed within one yearof the discovery of such alleged misconduct.

(ii) Each period of limitation in this subpara-graph is tolled during any period in which: (1) thealleged misconduct remains undiscovered due toactive concealment; (2) the alleged misconductwould constitute a violation of Rule 1.8 (c) andthe conditions precedent of the instrument havenot been satisfied; (3) the alleged misconduct ispart of a continuing course of misconduct; or (4)the aggrieved party is under the age of majority,insane, or otherwise unable to file a complaintdue to mental or physical incapacitation.

(F) the complaint alleges misconduct occurringin a superior court, appellate court or supremecourt action and the court has been made aware

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of the allegations of misconduct and has rendereda decision finding misconduct or finding that eitherno misconduct has occurred or that the allegationsshould not be referred to the statewide griev-ance committee;

(G) the complaint alleges personal behavioroutside the practice of law which does not consti-tute a violation of the Rules of ProfessionalConduct;

(H) the complaint alleges the nonpayment ofincurred indebtedness;

(I) the complaint names only a law firm or otherentity and not any individual attorney, unless dis-missal would result in gross injustice. If the com-plaint names a law firm or other entity as well asan individual attorney or attorneys, the complaintshall be dismissed only as against the law firmor entity;

(J) the complaint alleges misconduct occurringin another jurisdiction in which the attorney is alsoadmitted and in which the attorney maintains anoffice to practice law, and it would be more practi-cable for the matter to be determined in the otherjurisdiction. If a complaint is dismissed pursuantto this subdivision, it shall be without prejudiceand the matter shall be referred by the statewidebar counsel to the jurisdiction in which the conductis alleged to have occurred.

(3) If a complaint alleges only a fee disputewithin the meaning of subsection (a) (2) (A) of thissection, the statewide bar counsel in conjunctionwith the chairperson or attorney designee and thenonattorney member may stay further proceed-ings on the complaint on such terms and condi-tions as deemed appropriate, including referringthe parties to fee arbitration. The record and resultof any such fee arbitration shall be filed with thestatewide bar counsel and shall be dispositive ofthe complaint. A party who refuses to utilize theno cost fee arbitration service provided by theConnecticut Bar Association shall pay the cost ofthe arbitration.

(b) The statewide bar counsel, chair or attorneydesignee and nonattorney member shall havefourteen days from the date the complaint wasfiled to determine whether to dismiss the com-plaint. If after review by the statewide bar counsel,chair or attorney designee and nonattorney mem-ber it is determined that the complaint should beforwarded to a grievance panel for investigationin accordance with subsections (f) through (j) ofthis section, the complaint shall be so forwarded inaccordance with subsection (a) (1) of this sectionwithin seven days of the determination to forwardthe complaint.


(c) If the complaint is dismissed by the statewidebar counsel in conjunction with the chair or attor-ney designee and nonattorney member, the com-plainant and respondent shall be notified of thedismissal in writing. The respondent shall be pro-vided with a copy of the complaint with the noticeof dismissal. The notice of dismissal shall set forththe reason or reasons for the dismissal. The com-plainant shall have fourteen days from the datenotice of the dismissal is mailed to the complain-ant to file an appeal of the dismissal. The appealshall be in writing setting forth the basis of theappeal and shall be filed with the statewide barcounsel who shall forward it to a reviewing com-mittee for decision on the appeal. The reviewingcommittee shall review the appeal and render adecision thereon within sixty days of the filing ofthe appeal. The reviewing committee shall eitheraffirm the dismissal of the complaint or order thecomplaint forwarded to a grievance panel forinvestigation in accordance with subsections (f)through (j) of this section. The decision of thereviewing committee shall be in writing and mailedto the complainant. The decision of the reviewingcommittee shall be final.

(d) The statewide bar counsel shall keep arecord of all complaints filed. The complainantand the respondent shall notify the statewide barcounsel of any change of address or telephonenumber during the pendency of the proceedingson the complaint.

(e) If for good cause a grievance panel declines,or is unable pursuant to Section 2-29 (d), to inves-tigate a complaint, it shall forthwith return the com-plaint to the statewide bar counsel to be referredby him or her immediately to another panel. Notifi-cation of such referral shall be given by the state-wide bar counsel to the complainant and therespondent by certified mail with return receipt orwith electronic delivery confirmation.

(f) The grievance panel, with the assistance ofthe grievance counsel assigned to it, shall investi-gate each complaint to determine whether proba-ble cause exists that the attorney is guilty ofmisconduct. The grievance panel may, upon thevote of a majority of its members, require that adisciplinary counsel pursue the matter before thegrievance panel on the issue of probable cause.

(g) Investigations and proceedings of the griev-ance panel shall be confidential unless the attor-ney under investigation requests that suchinvestigation and proceedings be public.

(h) On the request of the respondent and forgood cause shown, or on its own motion, the griev-ance panel may conduct a hearing on the com-plaint. The complainant and respondent shall beentitled to be present at any proceedings on the

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complaint at which testimony is given and to havecounsel present, provided, however, that theyshall not be entitled to examine or cross-examinewitnesses unless requested by the grievancepanel.

(i) The panel shall, within 110 days from thedate the complaint was referred to it, unless suchtime is extended pursuant to subsection (j), doone of the following: (1) If the panel determinesthat probable cause exists that the respondent isguilty of misconduct, it shall file the following withthe statewide grievance committee and with thedisciplinary counsel: (A) its written determinationthat probable cause exists that the respondent isguilty of misconduct, (B) a copy of the complaintand response, (C) a transcript of any testimonyheard by the panel, (D) a copy of any investigatoryfile and copies of any documents, transcripts orother written materials which were available to thepanel. These materials shall constitute the panel’srecord in the case. (2) If the panel determines thatno probable cause exists that the respondent isguilty of misconduct, it shall dismiss the complaintunless there is an allegation in the complaint thatthe respondent committed a crime. Such dis-missal shall be final and there shall be no reviewof the matter by the statewide grievance commit-tee, but the panel shall file with the statewidegrievance committee a copy of its decision dis-missing the complaint and the materials set forthin subsection (i) (1) (B), (C) and (D). In cases inwhich there is an allegation in the complaint thatthe respondent committed a crime, the panel shallfile with the statewide grievance committee andwith disciplinary counsel its written determinationthat no probable cause exists and the materialsset forth in subsection (i) (1) (B), (C) and (D).These materials shall constitute the panel’s recordin the case.

(j) The panel may file a motion for extension oftime not to exceed thirty days with the statewidegrievance committee which may grant the motiononly upon a finding of good cause. If the paneldoes not complete its action on a complaint withinthe time provided in this section, the statewidegrievance committee shall inquire into the delayand shall order that the panel take action on thecomplaint forthwith, or order that the complaint beforwarded to and heard by another panel or areviewing committee designated by the statewidegrievance committee.

(k) The panel shall notify the complainant, therespondent, and the statewide grievance commit-tee of its determination. The determination shallbe a matter of public record if the panel determines


that probable cause exists that the respondent isguilty of misconduct.

(P.B. 1978-1997, Sec. 27F.) (Amended June 29, 1998, totake effect Jan. 1, 1999; amended June 28, 1999, to takeeffect Jan. 1, 2000; amended June 24, 2002, to take effectJuly 1, 2003; May 14, 2003, effective date changed to Oct. 1,2003; amended June 30, 2003, to take effect Oct. 1, 2003;Sept. 30, 2003, effective date of two latest amendmentschanged to Jan. 1, 2004; amended June 21, 2004, to takeeffect Jan. 1, 2005; amended June 20, 2005, to take effectJan. 1, 2006; amended June 30, 2008, to take effect Jan. 1,2009; amended June 15, 2012, to take effect Jan. 1, 2013;amended June 14, 2013, to take effect Jan. 1, 2014.)

Sec. 2-33. Statewide Grievance Committee(a) The judges of the superior court shall

appoint twenty-one persons to a committee to beknown as the ‘‘statewide grievance committee.’’At least seven shall not be attorneys and theremainder shall be members of the bar of thisstate. The judges shall designate one memberas chair and another as vice-chair to act in theabsence or disability of the chair.

(b) All members shall serve for a term of threeyears commencing on July 1. Except as otherwiseprovided herein, no person shall serve as a mem-ber for more than two consecutive three yearterms, excluding any appointments for less thana full term; a member may be reappointed aftera lapse of one year. If the term of a memberwho is on a reviewing committee expires while acomplaint is pending before that committee, thejudges or the executive committee may extendthe term of such member to such time as thereviewing committee has completed its action onthat complaint. In the event of such an extensionthe total number of statewide grievance commit-tee members may exceed twenty-one. Theappointment of any member may be revoked orsuspended by the judges or by the executive com-mittee of the superior court. In connection withsuch revocation or suspension, the judges or theexecutive committee shall appoint a qualified indi-vidual to fill the vacancy for the remainder of theterm or for any other appropriate period. In theevent that a vacancy arises in this position beforethe end of a term by reasons other than revocationor suspension, the executive committee of thesuperior court shall fill the vacancy for the balanceof the term or for any other appropriate period.Unless otherwise provided in this chapter, thecommittee must have at least a quorum present toact, and a quorum shall be eleven. The committeeshall act by a vote of a majority of those presentand voting, provided that a minimum of six votesfor a particular action is necessary for the commit-tee to act. Members present but not voting dueto disqualification, abstention, silence or a refusal

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to vote, shall be counted for purposes of establish-ing a quorum, but not counted in calculating amajority of those present and voting.

(c) In addition to any other powers and dutiesset forth in this chapter, the statewide grievancecommittee shall:

(1) Institute complaints involving violations ofGeneral Statutes § 51-88.

(2) Adopt rules to carry out its duties under thischapter which are not inconsistent with theserules.

(3) Adopt rules for grievance panels to carryout their duties under this chapter which are notinconsistent with these rules.

(4) In its discretion, disclose that it or the state-wide bar counsel has referred a complaint to apanel for investigation when such disclosure isdeemed by the committee to be in the publicinterest.

(P.B. 1978-1997, Sec. 27G.)

Sec. 2-34. Statewide Bar Counsel(a) The judges of the superior court shall

appoint an attorney to act as statewide bar coun-sel, and such additional attorneys to act as assis-tant bar counsel as are necessary, for a term ofone year commencing July 1. In the event that avacancy arises in any such position before theend of a term, the executive committee of thesuperior court shall appoint an attorney to fill thevacancy for the balance of the term. Compensa-tion for these positions shall be paid by the judicialbranch. Such individuals shall be in the legal ser-vices division of the office of the chief court admin-istrator and shall perform such other duties asmay be assigned to them in that capacity.

(b) In addition to any other powers and dutiesset forth in this chapter, the statewide bar counselor an assistant bar counsel shall:

(1) Report to the national disciplinary data banksuch requested information as is officially reportedto the statewide bar counsel concerning attorneyswho have resigned pursuant to Section 2-52, orwhose unethical conduct has resulted in disciplin-ary action by the court or by the statewide griev-ance committee, or who have been placed oninactive status pursuant to Sections 2-56 through2-62.

(2) Receive and maintain information forwardedto the statewide bar counsel by the national disci-plinary data bank.

(3) Receive and maintain records forwarded tothe statewide bar counsel by the clerks of courtpursuant to Sections 2-23 and 2-52 and by com-plainants pursuant to Section 2-32.

(4) For a fee established by the chief courtadministrator, certify the status of individuals who


are or were members of the bar of this state atthe request of bar admission authorities of otherjurisdictions or at the request of a member of thebar of this state with respect to such member’sstatus. In certifying the status of an individual, noinformation shall be provided to the requestingentity, other than public information, without awaiver from that individual.

(5) Assist the statewide grievance committeeand the reviewing committees in carrying out theirduties under this chapter.

(P.B. 1978-1997, Sec. 27H.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 22, 2009, to take effect Jan. 1, 2010.)

Sec. 2-34A. Disciplinary Counsel(a) There shall be a chief disciplinary counsel

and such disciplinary counsel and staff as arenecessary. The chief disciplinary counsel and thedisciplinary counsel shall be appointed by thejudges of the superior court for a term of one yearcommencing July 1, except that initial appoint-ments shall be from such date as the judges deter-mine through the following June 30. In the eventthat a vacancy arises in any of these positionsbefore the end of a term, the executive committeeof the superior court may appoint a qualified indi-vidual to fill the vacancy for the balance of theterm. The chief disciplinary counsel and disciplin-ary counsel shall be assigned to the office of thechief court administrator for administrative pur-poses and shall not engage in the private practiceof law. The term ‘‘disciplinary counsel’’ as usedin the rules for the superior court shall mean thechief disciplinary counsel or any disciplinarycounsel.

(b) In addition to any other powers and dutiesset forth in this chapter, disciplinary counsel shall:

(1) Investigate each complaint which has beenforwarded, after a determination that probablecause exists that the respondent is guilty of mis-conduct, by a grievance panel to the statewidegrievance committee for review pursuant to Sec-tion 2-32 (i) and pursue such matter before thestatewide grievance committee or reviewing com-mittee. When, after a determination of no probablecause by a grievance panel, a complaint is for-warded to the statewide grievance committeebecause it contains an allegation that the respon-dent committed a crime, and the statewide griev-ance committee or a reviewing committeedetermines that a hearing shall be held concern-ing the complaint pursuant to Section 2-35 (c),the disciplinary counsel shall present the matterto such committee.

(2) Pursuant to Section 2-82, discuss and maynegotiate a disposition of the complaint with the

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respondent or, if represented by an attorney, therespondent’s attorney, subject to the approval ofthe statewide grievance committee or a reviewingcommittee or the court.

(3) Remove irrelevant information from thecomplaint file and thereafter permit discovery ofinformation in the file.

(4) Pursuant to Section 2-35, add additionalallegations of misconduct to the grievance panel’sdetermination that probable cause exists that therespondent is guilty of misconduct.

(5) Have the power to subpoena witnesses forany hearing before a grievance panel, a reviewingcommittee or the statewide grievance committeeconvened pursuant to these rules.

(6) In his or her discretion, recommend disposi-tions to the statewide grievance committee or thereviewing committee after the hearing on a com-plaint is concluded.

(7) At the request of the statewide grievancecommittee or a reviewing committee, prepare andfile complaints initiating presentment proceedingsin the superior court, whether or not the allegedmisconduct occurred in the actual presence of thecourt, and prosecute same.

(8) At the request of a grievance panel madepursuant to Section 2-29, pursue the matterbefore the grievance panel on the issue of proba-ble cause.

(9) Investigate and prosecute complaintsinvolving the violation by any person of GeneralStatutes § 51-88.

(Adopted June 24, 2002, to take effect July 1, 2003; May14, 2003, effective date changed to Oct. 1, 2003, and amendedon an interim basis, pursuant to the provisions of Section 1-9 (c), to take effect Oct. 1, 2003, and amendment adoptedJune 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003,effective date of adopted rule and amendment changed toJan. 1, 2004; amended June 21, 2004, to take effect Jan. 1,2005; amended June 15, 2012, to take effect Jan. 1, 2013.)

Sec. 2-35. Action by Statewide GrievanceCommittee or Reviewing Committee(a) Upon receipt of the record from a grievance

panel, the statewide grievance committee mayassign the case to a reviewing committee whichshall consist of at least three members of thestatewide grievance committee, at least one thirdof whom are not attorneys. The statewide griev-ance committee may, in its discretion, reassignthe case to a different reviewing committee. Thecommittee shall regularly rotate membership onreviewing committees and assignments of com-plaints from the various grievance panels. Anattorney who maintains an office for the practiceof law in the same judicial district as the respon-dent may not sit on the reviewing committee forthat case.


(b) The statewide grievance committee and thereviewing committee shall have the power to issuea subpoena to compel any person to appearbefore it to testify in relation to any matter deemedby the statewide grievance committee or thereviewing committee to be relevant to the com-plaint and to produce before it for examinationany books or papers which, in its judgment, maybe relevant to such complaint. Any such testimonyshall be on the record.

(c) If the grievance panel determined that prob-able cause exists that the respondent is guilty ofmisconduct, the statewide grievance committeeor the reviewing committee shall hold a hearingon the complaint. If the grievance panel deter-mined that probable cause does not exist, but filedthe matter with the statewide grievance committeebecause the complaint alleges that a crime hasbeen committed, the statewide grievance commit-tee or the reviewing committee shall review thedetermination of no probable cause, take evi-dence if it deems it appropriate and, if it deter-mines that probable cause does exist, shall takethe following action: (1) if the statewide grievancecommittee reviewed the grievance panel’s deter-mination, it shall hold a hearing concerning thecomplaint or assign the matter to a reviewing com-mittee to hold the hearing; or (2) if a reviewingcommittee reviewed the grievance panel’s deter-mination, it shall hold a hearing concerning thecomplaint or refer the matter to the statewidegrievance committee which shall assign it toanother reviewing committee to hold the hearing.

(d) Disciplinary counsel may add additional alle-gations of misconduct to the grievance panel’sdetermination that probable cause exists in thefollowing circumstances:

(1) Prior to the hearing before the statewidegrievance committee or the reviewing committee,disciplinary counsel may add additional allega-tions of misconduct arising from the record of thegrievance complaint or its investigation of thecomplaint.

(2) Following commencement of the hearingbefore the statewide grievance committee or thereviewing committee, disciplinary counsel mayonly add additional allegations of misconduct forgood cause shown and with the consent of therespondent and the statewide grievance commit-tee or the reviewing committee. Additional allega-tions of misconduct may not be added after thehearing has concluded.

(e) If disciplinary counsel determines that addi-tional allegations of misconduct exist, it shall issuea written notice to the respondent and the state-wide grievance committee, which shall include,but not be limited to, the following: (1) a description

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of the factual allegation or allegations that wereconsidered in rendering the determination; and(2) for each such factual allegation, an identifica-tion of the specific provision or provisions of theapplicable rules governing attorney conduct con-sidered in rendering the determination.

(f) The respondent shall be entitled to a periodof not less than thirty days before being requiredto appear at a hearing to defend against any addi-tional charges of misconduct filed by the disciplin-ary counsel.

(g) At least two of the same members of areviewing committee shall be physically presentat all hearings held by the reviewing committee.Unless waived by the disciplinary counsel and therespondent, the remaining member of thereviewing committee shall obtain and review thetranscript of each such hearing and shall partici-pate in the committee’s determination. All hear-ings following a determination of probable causeshall be public and on the record.

(h) The complainant and respondent shall beentitled to be present at all hearings and otherproceedings on the complaint at which testimonyis given and to have counsel present. At all hear-ings, the respondent shall have the right to beheard in the respondent’s own defense and bywitnesses and counsel. The disciplinary counselshall pursue the matter before the statewide griev-ance committee or reviewing committee. The dis-ciplinary counsel and the respondent shall beentitled to examine or cross-examine witnesses.At the conclusion of the evidentiary phase of ahearing, the complainant, the disciplinary counseland the respondent shall have the opportunity tomake a statement, either individually or throughcounsel. The statewide grievance committee orreviewing committee may request oral argument.

(i) Within ninety days of the date the grievancepanel filed its determination with the statewidegrievance committee pursuant to Section 2-32 (i),the reviewing committee shall render a final writ-ten decision dismissing the complaint, imposingsanctions and conditions as authorized by Section2-37 or directing the disciplinary counsel to file apresentment against the respondent in the supe-rior court and file it with the statewide grievancecommittee. Where there is a final decision dis-missing the complaint, the reviewing committeemay give notice in a written summary order to befollowed by a full written decision. The reviewingcommittee’s record in the case shall consist of acopy of all evidence it received or considered,including a transcript of any testimony heard byit, and its decision. The record shall also be sentto the statewide grievance committee. Thereviewing committee shall forward a copy of the


final decision to the complainant, the disciplinarycounsel, the respondent, and the grievance panelto which the complaint was forwarded. The deci-sion shall be a matter of public record if there wasa determination by a grievance panel, a reviewingcommittee or the statewide grievance committeethat there was probable cause that the respondentwas guilty of misconduct. The reviewing commit-tee may file a motion for extension of time not toexceed thirty days with the statewide grievancecommittee which shall grant the motion only upona showing of good cause. If the reviewing commit-tee does not complete its action on a complaintwithin the time provided in this section, the state-wide grievance committee shall, on motion of thecomplainant or the respondent or on its ownmotion, inquire into the delay and determine theappropriate course of action. Enforcement of thefinal decision, including the publication of thenotice of a reprimand pursuant to Section 2-54,shall be stayed for thirty days from the date of theissuance to the parties of the final decision. Inthe event the respondent timely submits to thestatewide grievance committee a request forreview of the final decision of the reviewing com-mittee, such stay shall remain in full force andeffect pursuant to Section 2-38 (b).

(j) If the reviewing committee finds probablecause to believe the respondent has violated thecriminal law of this state, it shall report its findingsto the chief state’s attorney.

(k) Within thirty days of the issuance to theparties of the final decision by the reviewing com-mittee, the respondent may submit to the state-wide grievance committee a request for review ofthe decision. Any request for review submittedunder this section must specify the basis for therequest including, but not limited to, a claim orclaims that the reviewing committee’s findings,inferences, conclusions or decision is or are: (1)in violation of constitutional, rules of practice orstatutory provisions; (2) in excess of the authorityof the reviewing committee; (3) made upon unlaw-ful procedure; (4) affected by other error of law; (5)clearly erroneous in view of the reliable, probative,and substantial evidence on the whole record;or (6) arbitrary or capricious or characterized byabuse of discretion or clearly unwarranted exer-cise of discretion and the specific basis for suchclaim or claims. For grievance complaints filed onor after January 1, 2004, the respondent shallserve a copy of the request for review on disciplin-ary counsel in accordance with Sections 10-12through 10-17. Within fourteen days of therespondent’s submission of a request for review,disciplinary counsel may file a response. Disciplin-ary counsel shall serve a copy of the response

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on the respondent in accordance with Sections10-12 through 10-17. No reply to the responseshall be allowed.

(l) If, after its review of a complaint pursuant tothis section that was forwarded to the statewidegrievance committee pursuant to Section 2-32 (i)(2), a reviewing committee agrees with a griev-ance panel’s determination that probable causedoes not exist that the attorney is guilty of miscon-duct and there has been no finding of probablecause by the statewide grievance committee ora reviewing committee, the reviewing committeeshall have the authority to dismiss the complaintwithin the time period set forth in subsection (e)of this section without review by the statewidegrievance committee. The reviewing committeeshall file its decision dismissing the complaint withthe statewide grievance committee along with therecord of the matter and shall send a copy of thedecision to the complainant, the respondent, andthe grievance panel to which the complaint wasassigned.

(m) If the statewide grievance committee doesnot assign a complaint to a reviewing committee,it shall have one hundred and twenty days fromthe date the panel’s determination was filed withit to render a decision dismissing the complaint,imposing sanctions and conditions as authorizedby Section 2-37 or directing the disciplinary coun-sel to file a presentment against the respondent.The decision shall be a matter of public record.The failure of a reviewing committee to completeits action on a complaint within the period of timeprovided in this section shall not be cause fordismissal of the complaint. If the statewide griev-ance committee finds probable cause to believethat the respondent has violated the criminal lawof this state, it shall report its findings to the chiefstate’s attorney.

(P.B. 1978-1997, Sec. 27J.) (Amended June 28, 1999, totake effect Jan. 1, 2000; amended June 24, 2002, to takeeffect July 1, 2003; May 14, 2003, effective date changed toOct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;amended June 29, 2007, to take effect Jan. 1, 2008; amendedJune 30, 2008, to take effect Jan. 1, 2009; amended June 15,2012, to take effect Jan. 1, 2013.)

Sec. 2-36. Action by Statewide GrievanceCommittee on Request for ReviewWithin sixty days of the expiration of the thirty

day period for the filing of a request for reviewunder Section 2-35 (k), or, with regard to griev-ance complaints filed on or after January 1, 2004,within sixty days of the expiration of the fourteenday period for the filing of a response by disciplin-ary counsel to a request for review under thatsection, the statewide grievance committee shall


issue a written decision affirming the decision ofthe reviewing committee, dismissing the com-plaint, imposing sanctions and conditions asauthorized by Section 2-37, directing the disciplin-ary counsel to file a presentment against therespondent in the superior court or referring thecomplaint to the same or a different reviewingcommittee for further investigation and a decision.Before issuing its decision, the statewide griev-ance committee may, in its discretion, request oralargument. The statewide grievance committeeshall forward a copy of its decision to the com-plainant, the disciplinary counsel, the respondent,the reviewing committee and the grievance panelwhich investigated the complaint. The decisionshall be a matter of public record. A decision ofthe statewide grievance committee shall beissued only if the respondent has timely filed arequest for review under Section 2-35 (k).

(P.B. 1978-1997, Sec. 27M.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007.)

Sec. 2-37. Sanctions and Conditions WhichMay Be Imposed by Committees(a) A reviewing committee or the statewide

grievance committee may impose one or more ofthe following sanctions and conditions in accord-ance with the provisions of Sections 2-35 and2-36:

(1) reprimand;(2) restitution;(3) assessment of costs;(4) an order that the respondent return a client’s

file to the client;(5) a requirement that the respondent attend

continuing legal education courses, at his or herown expense, regarding one or more areas ofsubstantive law or law office management;

(6) an order to submit to fee arbitration;(7) in any grievance complaint where there has

been a finding of a violation of Rule 1.15 of theRules of Professional Conduct or Practice BookSection 2-27, an order to submit to periodic auditsand supervision of the attorney’s trust accountsto ensure compliance with the provisions of Sec-tion 2-27 and the related Rules of ProfessionalConduct. Any alleged misconduct discovered asthe result of such audit shall be alleged in a sepa-rate grievance complaint filed pursuant to theserules;

(8) with the respondent’s consent, a require-ment that the respondent undertake treatment, athis or her own expense, for medical, psychologicalor psychiatric conditions or for problems of alcoholor substance abuse.

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(b) In connection with subsection (a) (6), a partywho refuses to utilize the no cost fee arbitrationservice provided by the Connecticut Bar Associa-tion shall pay the cost of the arbitration.

(c) Failure of the respondent to comply with anysanction or condition imposed by the statewidegrievance committee or a reviewing committeemay be grounds for presentment before the supe-rior court.

(P.B. 1978-1997, Sec. 27M.1.) (Amended June 28, 1999,to take effect Jan. 1, 2000; amended June 15, 2012, to takeeffect Jan. 1, 2013.)

Sec. 2-38. Appeal from Decision of State-wide Grievance Committee or ReviewingCommittee Imposing Sanctions or Con-ditions(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) A respondent may appeal to the superior

court a decision by the statewide grievance com-mittee or a reviewing committee imposing sanc-tions or conditions against the respondent, inaccordance with Section 2-37 (a). A respondentmay not appeal a decision by a reviewing commit-tee imposing sanctions or conditions against therespondent if the respondent has not timelyrequested a review of the decision by the state-wide grievance committee under Section 2-35 (k).Within thirty days from the issuance, pursuant toSection 2-36, of the decision of the statewidegrievance committee, the respondent shall: (1) filethe appeal with the clerk of the superior court forthe judicial district of Hartford and (2) mail a copyof the appeal by certified mail, return receiptrequested or with electronic delivery confirmation,to the office of the statewide bar counsel as agentfor the statewide grievance committee and to theoffice of the chief disciplinary counsel.

(b) Enforcement of a final decision imposingsanctions or conditions against the respondentpursuant to Section 2-35 (i) or Section 2-35 (m),including the publication of the notice of a repri-mand in accordance with Section 2-54, shall bestayed for thirty days from the issuance to theparties of such decision. If within that period therespondent files with the statewide grievancecommittee a request for review of the reviewingcommittee’s decision, the stay shall remain ineffect for thirty days from the issuance by thestatewide grievance committee of its final decisionpursuant to Section 2-36. If the respondent timelycommences an appeal pursuant to subsection (a)of this section, such stay shall remain in full forceand effect until the conclusion of all proceedings,including all appeals, relating to the decisionimposing sanctions or conditions against therespondent. If at the conclusion of all proceedings,the decision imposing sanctions or conditions


against the respondent is rescinded, the com-plaint shall be deemed dismissed as of the dateof the decision imposing sanctions or conditionsagainst the respondent. An application to termi-nate the stay may be made to the court and shallbe granted if the court is of the opinion that theappeal is taken only for delay or that the dueadministration of justice requires that the staybe terminated.

(c) Within thirty days after the service of theappeal, or within such further time as may beallowed by the court, the statewide bar counselshall transmit to the reviewing court a certifiedcopy of the entire record of the proceedingappealed from, which shall include the grievancepanel’s record in the case, as defined in Section2-32 (i), and a copy of the statewide grievancecommittee’s record or the reviewing committee’srecord in the case, which shall include a transcriptof any testimony heard by it or by a reviewingcommittee which is required by rule to be on therecord, any decision by the reviewing committeein the case, any requests filed pursuant to Section2-35 (k) of this section, and a copy of the statewidegrievance committee’s decision on the request forreview. By stipulation of all parties to such appealproceedings, the record may be shortened. Thecourt may require or permit subsequent correc-tions or additions to the record.

(d) The appeal shall be conducted by the courtwithout a jury and shall be confined to the record.If alleged irregularities in procedure before thestatewide grievance committee or reviewing com-mittee are not shown in the record, proof limitedthereto may be taken in the court. The court, uponrequest, shall hear oral argument.

(e) The respondent shall file a brief within thirtydays after the filing of the record by the statewidebar counsel. The disciplinary counsel shall file hisor her brief within thirty days of the filing of therespondent’s brief. Unless permission is given bythe court for good cause shown, briefs shall notexceed thirty-five pages.

(f) Upon appeal, the court shall not substituteits judgment for that of the statewide grievancecommittee or reviewing committee as to theweight of the evidence on questions of fact. Thecourt shall affirm the decision of the committeeunless the court finds that substantial rights of therespondent have been prejudiced because thecommittee’s findings, inferences, conclusions, ordecisions are: (1) in violation of constitutional pro-visions, rules of practice or statutory provisions;(2) in excess of the authority of the committee;(3) made upon unlawful procedure; (4) affectedby other error of law; (5) clearly erroneous in viewof the reliable, probative, and substantial evidence

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on the whole record; or (6) arbitrary or capriciousor characterized by abuse of discretion or clearlyunwarranted exercise of discretion. If the courtfinds such prejudice, it shall sustain the appealand, if appropriate, rescind the action of the state-wide grievance committee or take such otheraction as may be necessary. For purposes of fur-ther appeal, the action taken by the superior courthereunder is a final judgment.

(g) In all appeals taken under this section, costsmay be taxed in favor of the statewide grievancecommittee in the same manner, and to the sameextent, that costs are allowed in judgments ren-dered by the superior court. No costs shall betaxed against the statewide grievance committee,except that the court may, in its discretion, awardto the respondent reasonable fees and expensesif the court determines that the action of the com-mittee was undertaken without any substantialjustification. ‘‘Reasonable fees and expenses’’means any expenses not in excess of $7500which the court finds were reasonably incurred inopposing the committee’s action, including courtcosts, expenses incurred in administrative pro-ceedings, attorney’s fees, witness fees of all nec-essary witnesses, and such other expenses aswere reasonably incurred.

(P.B. 1978-1997, Sec. 27N.) (Amended June 29, 1998, totake effect Sept. 1, 1999; amended June 28, 1999, to takeeffect Jan. 1, 2000; amended June 24, 2002, to take effectJuly 1, 2003; May 14, 2003, effective date changed to Oct. 1,2003; amended June 30, 2003, to take effect Oct. 1, 2003;Sept. 30, 2003, effective date of two prior amendmentschanged to Jan. 1, 2004; amended June 29, 2007, to takeeffect Jan. 1, 2008; amended June 30, 2008, to take effectJan. 1, 2009; amended June 14, 2013, to take effect Jan. 1,2014; amended June 13, 2014, to take effect Jan. 1, 2015.)

Sec. 2-39. Reciprocal Discipline(a) Upon being informed that a lawyer admitted

to the Connecticut bar has resigned, been dis-barred, suspended or otherwise disciplined, orplaced on inactive disability status in another juris-diction, and that said discipline or inactive disabil-ity status has not been stayed, the disciplinarycounsel shall obtain a certified copy of the orderand file it with the superior court for the judicialdistrict wherein the lawyer maintains an office forthe practice of law in this state, except that, if thelawyer has no such office, the disciplinary counselshall file the certified copy of the order from theother jurisdiction with the superior court for thejudicial district of Hartford. No entry fee shall berequired for proceedings hereunder.

(b) Upon receipt of a certified copy of the order,the court shall forthwith cause to be served uponthe lawyer a copy of the order from the otherjurisdiction and an order directing the lawyer to


file within thirty days of service, with proof of ser-vice upon the disciplinary counsel, an answeradmitting or denying the action in the other juris-diction and setting forth, if any, reasons why com-mensurate action in this state would beunwarranted. Such certified copy will constituteprima facie evidence that the order of the otherjurisdiction entered and that the findings con-tained therein are true.

(c) Upon the expiration of the thirty day periodthe court shall assign the matter for a hearing.After hearing, the court shall take commensurateaction unless it is found that any defense set forthin the answer has been established by clear andconvincing evidence.

(d) Notwithstanding the above, a reciprocal dis-cipline action need not be filed if the conduct givingrise to discipline in another jurisdiction has alreadybeen the subject of a formal review by the courtor statewide grievance committee.

(P.B. 1978-1997, Sec. 28A.) (Amended June 29, 1998, totake effect Sept. 1, 1998; amended August 24, 2001, to takeeffect Jan. 1, 2002; amended June 24, 2002, to take effectJuly 1, 2003; May 14, 2003, effective date changed to Oct. 1,2003; Sept. 30, 2003, effective date changed to Jan. 1, 2004.)

Sec. 2-40. Discipline of Attorneys FoundGuilty of Serious Crimes in Connecticut(Amended June 13, 2014, to take effect Oct. 1, 2014.)(a) The term ‘‘serious crime,’’ as used herein,

shall mean any felony, any larceny, any crimewhere the attorney was or will be sentenced to aterm of incarceration, or any other crime thatreflects adversely on the lawyer’s honesty, trust-worthiness, or fitness as a lawyer in otherrespects, or any crime, a necessary element ofwhich, as determined by the statutory or common-law definition of the crime, involves interferencewith the administration of justice, false swearing,misrepresentation, fraud, deceit, bribery, extor-tion, misappropriation, theft, wilful failure to filetax returns, violations involving criminal drugoffenses, or any attempt, conspiracy or solicitationof another to commit a ‘‘serious crime.’’

(b) The terms ‘‘found guilty’’ and ‘‘finding ofguilt,’’ as used herein, refer to the disposition ofany charge of a serious crime as herein definedresulting from either a plea of guilty or nolo conten-dere, or from a verdict after trial, and regardlessof the pendency of any appeal.

(c) The clerk of the superior court in which anattorney is found guilty of any crime shall transmita certified copy of the finding of guilt, docket sheet,or other proof of the finding of guilt to the disciplin-ary counsel and to the statewide grievance com-mittee.

(d) Notwithstanding any obligation imposedupon the clerk by subsection (c) of this section,

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any attorney found guilty of any crime shall sendwritten notice of the finding of guilt to the disciplin-ary counsel and the statewide grievance commit-tee, by certified mail, return receipt requested, orwith electronic delivery confirmation, within tendays of the date of the finding of guilt. The writtennotice shall include the name and address of thecourt where the finding of guilt was made, thedate of the finding of guilt, and the specific sectionof the applicable criminal, penal, or statutory codeupon which the finding of guilt was predicated. Anattorney’s failure to send timely written notice ofhis or her finding of guilt required by this sectionshall constitute misconduct.

(e) Upon receipt of proof of the finding of guilt,the disciplinary counsel shall determine whetherthe crime for which the attorney was found guiltyis a serious crime, as defined herein. If so, disci-plinary counsel shall, pursuant to Section 2-47,file a presentment against the attorney predicatedupon the finding of guilt. A certified copy of thefinding of guilt shall be conclusive evidence ofthe commission of that crime in any disciplinaryproceeding based upon the finding of guilt. Noentry fee shall be required for proceedingshereunder.

(f) A presentment filed pursuant to this sectionshall be heard, where practical, by the judge whopresided at the proceeding in which the attorneywas found guilty. A hearing on the presentmentcomplaint shall address the issue of the natureand extent of the final discipline to be imposedand shall be held within sixty days of the filing ofthe presentment.

(g) Immediately upon receipt of proof of thefinding of guilt of an attorney of a serious crime,as defined herein, the disciplinary counsel mayalso apply to the court for an order of interimsuspension. If the attorney was or will be sen-tenced to a term of incarceration, disciplinarycounsel shall seek a suspension during the termof incarceration. The court may, in its discretion,enter an order immediately placing the attorneyon interim suspension pending final dispositionof a presentment filed pursuant to this section.Thereafter, for good cause shown, the court may,in the interests of justice, set aside or modify theinterim suspension.

(h) At the presentment hearing, the attorneyshall have the right to counsel, to be heard in hisor her own defense and to present evidence andwitnesses in his or her behalf. After the hearing,the court shall enter an order dismissing the pre-sentment complaint, or imposing discipline uponsuch attorney in the form of suspension for aperiod of time, disbarment or such other disciplineas the court deems appropriate. If the finding of


guilt was based upon the lawyer’s misappropria-tion of clients’ funds or other property held in trust,the court shall enter an order disbarring the attor-ney for a minimum of twelve years pursuant toSections 2-47A and 2-53 (g).

(i) Whenever the court enters an order sus-pending or disbarring an attorney pursuant to apresentment filed under this section, the courtmay appoint a trustee, pursuant to Section 2-64,to protect the interests of the attorney’s clients andto secure the attorney’s clients’ funds accounts.

(j) If an attorney disciplined solely under theprovisions of this section demonstrates to thecourt that the underlying finding of guilt was latervacated or reversed, the court shall vacate anydisciplinary order entered pursuant to the findingof guilt, and place the attorney on active status.The vacating of such disciplinary order shall notautomatically terminate any other disciplinary pro-ceeding then pending against the attorney.

(k) Immunity from prosecution granted to anattorney is not a bar to disciplinary proceedings,unless otherwise ordered by the court. The grant-ing of a pretrial diversion program to an attorneycharged with a serious crime, as defined herein,is not a bar to disciplinary proceedings, unlessotherwise ordered by the court that granted theprogram to the attorney.

(P.B. 1978-1997, Sec. 28B.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;amended June 13, 2014, to take effect Oct. 1, 2014.)

Sec. 2-41. Discipline of Attorneys FoundGuilty of Serious Crimes in Another Juris-diction(Amended June 13, 2014, to take effect Oct. 1, 2014.)

(a) The term ‘‘serious crime,’’ as used herein,shall mean any felony, any larceny, or any crimewhere the attorney was or will be sentenced to aterm of incarceration, or any other crime thatreflects adversely on the lawyer’s honesty, trust-worthiness, or fitness as a lawyer in otherrespects, or any crime, a necessary element ofwhich, as determined by the statutory or common-law definition of the crime, involves interferencewith the administration of justice, false swearing,misrepresentation, fraud, deceit, bribery, extor-tion, misappropriation, theft, wilful failure to filetax returns, violations involving criminal drugoffenses, or any attempt, conspiracy or solicitationof another to commit a ‘‘serious crime.’’

(b) The terms ‘‘found guilty’’ and ‘‘finding ofguilt,’’ as used herein, refer to the disposition ofany charge of a serious crime as defined herein

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resulting from either a plea of guilty or nolo conten-dere, or from a verdict after trial, and regardlessof the pendency of any sentencing or appeal.

(c) The term ‘‘another jurisdiction,’’ as usedherein, shall mean any state court, other than theConnecticut superior court, any federal court, anyDistrict of Columbia court or any court from acommonwealth or possession of the UnitedStates.

(d) Any attorney found guilty of any crime inanother jurisdiction shall send written notice of thefinding of guilt to the disciplinary counsel and thestatewide grievance committee, by certified mail,return receipt requested, or with electronic deliv-ery confirmation, within ten days of the date ofthe finding of guilt. The written notice shall includethe name and address of the court where thefinding of guilt was made, the date of the findingof guilt, and the specific section of the applicablecriminal, penal, or statutory code upon which thefinding of guilt was predicated. An attorney’s fail-ure to send timely written notice of the finding ofguilt required by this section shall constitute mis-conduct.

(e) Upon receipt of the written notice of thefinding of guilt in another jurisdiction, the disciplin-ary counsel shall determine whether the crime forwhich the attorney was found guilty is a ‘‘seriouscrime,’’ as defined herein. If so, disciplinary coun-sel shall obtain a certified copy of the finding ofguilt, which shall be conclusive evidence of thecommission of that crime in any disciplinary pro-ceeding based upon the finding of guilt. Uponreceipt of the certified copy of the finding of guilt,the disciplinary counsel shall, pursuant to Section2-47, file a presentment against the attorney pred-icated upon the finding of guilt. No entry fee shallbe required for proceedings hereunder.

(f) A presentment filed pursuant to this sectionshall be filed in the judicial district where the attor-ney maintains an office for the practice of law inthis state. If the attorney has no office for thepractice of law in this state, the disciplinary coun-sel shall file the presentment in the superior courtfor the judicial district of Hartford. A hearing onthe presentment complaint shall address the issueof the nature and extent of the final discipline tobe imposed, and shall be held within sixty daysof the filing of the presentment.

(g) The disciplinary counsel may also apply tothe court for an order of interim suspension, whichapplication shall contain a certified copy of thefinding of guilt. If the attorney was or will be sen-tenced to a term of incarceration, disciplinarycounsel shall seek a suspension for the term ofincarceration. The court may, in its discretion,enter an order immediately placing the attorney


on interim suspension pending final dispositionof the presentment filed pursuant to this section.Thereafter, for good cause shown, the court may,in the interests of justice, set aside or modify theinterim suspension.

(h) At the presentment hearing, the attorneyshall have the right to counsel, to be heard in hisor her own defense, and to present evidence andwitnesses in his or her behalf. After the hearing,the court shall enter an order dismissing the pre-sentment complaint, or imposing discipline uponsuch attorney in the form of suspension for aperiod of time, disbarment or such other disciplineas the court deems appropriate. If the finding ofguilt was based on the lawyer’s misappropriationof clients’ funds or other property held in trust, thecourt shall enter an order disbarring the attorneyfor a minimum of twelve years pursuant to Sec-tions 2-47A and 2-53 (g).

(i) Whenever the court enters an order sus-pending or disbarring an attorney pursuant to apresentment filed under this section, the courtmay appoint a trustee, pursuant to Section 2-64,to protect the interests of the attorney’s clients andto secure the attorney’s clients’ funds accounts.

(j) If an attorney disciplined solely under theprovisions of this section demonstrates to thecourt that the attorney’s finding of guilt was latervacated or reversed, the court shall vacate anydisciplinary order entered pursuant to this section.The vacating of such disciplinary order shall notautomatically terminate any other disciplinary pro-ceeding then pending against the attorney.

(k) Immunity from prosecution granted to anattorney is not a bar to disciplinary proceedings,unless otherwise ordered by the court. The grant-ing of a pretrial diversion program to an attorneycharged with a serious crime, as defined herein,is not a bar to disciplinary proceedings, unlessotherwise ordered by the court that granted theprogram to the attorney.

(P.B. 1978-1997, Sec. 28B.1.) (Amended June 29, 1998,to take effect Sept. 1, 1998; amended June 24, 2002, to takeeffect July 1, 2003; May 14, 2003, effective date changed toOct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007;amended June 14, 2013, to take effect Jan. 1, 2014; amendedJune 13, 2014, to take effect Oct. 1, 2014.)

Sec. 2-42. Conduct Constituting Threat ofHarm to Clients(a) If there is a disciplinary proceeding pending

against a lawyer, or if there has been a noticeof overdraft in accordance with the provisions ofSection 2-28 (f) and the grievance panel, thereviewing committee, the statewide grievancecommittee or the disciplinary counsel believes

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that the lawyer poses a substantial threat of irrepa-rable harm to his or her clients or to prospectiveclients, or that there has been an unexplainedoverdraft in the lawyer’s trust funds account, thepanel or committee shall so advise the disciplinarycounsel. The disciplinary counsel shall, uponbeing so advised or upon his or her own belief,apply to the court for an order of interim suspen-sion. The disciplinary counsel shall provide thelawyer with notice that an application for interimsuspension has been filed and that a hearing willbe held on such application.

(b) The court, after hearing, pending final dispo-sition of the disciplinary proceeding, may, if it findsthat the lawyer poses a substantial threat of irrepa-rable harm to his or her clients or to prospectiveclients, enter an order of interim suspension, ormay order such other interim action as deemedappropriate. Thereafter, upon good cause shown,the court may, in the interest of justice, set asideor modify the interim suspension or other orderentered pursuant hereto. Whenever the courtenters an interim suspension order pursuanthereto, the court may appoint a trustee, pursuantto Section 2-64, to protect the clients’ and thesuspended attorney’s interests.

(c) No entry fee shall be required for proceed-ings hereunder. Any hearings necessitated by theproceedings may, in the discretion of the court,be held in chambers.

(P.B. 1978-1997, Sec. 28C.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 26, 2006, to take effect Jan. 1, 2007.)

Sec. 2-43. Notice by Attorney of Alleged Mis-use of Clients’ Funds and Garnishments ofLawyers’ Trust Accounts(a) When any complaint, counterclaim, cross

complaint, special defense or other pleading ina judicial or administrative proceeding alleges alawyer’s misuse of funds handled by the lawyerin his or her capacity as a lawyer or a fiduciary,the person signing the pleading shall mail a copythereof to the statewide bar counsel.

(b) In any case where a lawyer’s trust account,as defined in Section 2-28 (b), is garnisheed, orotherwise liened, the party who sought the gar-nishment or lien shall mail a copy of the garnisheeprocess or writ of attachment to the statewidebar counsel.

(P.B. 1978-1997, Sec. 28D.)

Sec. 2-44. Power of Superior Court to Disci-pline Attorneys and to Restrain Unautho-rized PracticeThe superior court may, for just cause, suspend

or disbar attorneys and may, for just cause, punish


or restrain any person engaged in the unautho-rized practice of law.

(P.B. 1978-1997, Sec. 29.)

Sec. 2-44A. Definition of the Practice of Law(a) General Definition: The practice of law is

ministering to the legal needs of another personand applying legal principles and judgment to thecircumstances or objectives of that person. Thisincludes, but is not limited to:

(1) Holding oneself out in any manner as anattorney, lawyer, counselor, advisor or in anyother capacity which directly or indirectly repre-sents that such person is either (a) qualified orcapable of performing or (b) is engaged in thebusiness or activity of performing any act consti-tuting the practice of law as herein defined.

(2) Giving advice or counsel to persons con-cerning or with respect to their legal rights orresponsibilities or with regard to any matter involv-ing the application of legal principles to rights,duties, obligations or liabilities.

(3) Drafting any legal document or agreementinvolving or affecting the legal rights of a person.

(4) Representing any person in a court, or in aformal administrative adjudicative proceeding orother formal dispute resolution process or in anyadministrative adjudicative proceeding in whichlegal pleadings are filed or a record is establishedas the basis for judicial review.

(5) Giving advice or counsel to any person, orrepresenting or purporting to represent the inter-est of any person, in a transaction in which aninterest in property is transferred where the adviceor counsel, or the representation or purported rep-resentation, involves (a) the preparation, evalua-tion, or interpretation of documents related to suchtransaction or to implement such transaction or(b) the evaluation or interpretation of proceduresto implement such transaction, where such trans-action, documents, or procedures affect the legalrights, obligations, liabilities or interests of suchperson, and

(6) Engaging in any other act which may indi-cate an occurrence of the authorized practice oflaw in the state of Connecticut as established bycase law, statute, ruling or other authority.

‘‘Documents’’ includes, but is not limited to, con-tracts, deeds, easements, mortgages, notes,releases, satisfactions, leases, options, articlesof incorporation and other corporate documents,articles of organization and other limited liabilitycompany documents, partnership agreements,affidavits, prenuptial agreements, wills, trusts,family settlement agreements, powers of attorney,

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notes and like or similar instruments; and plead-ings and any other papers incident to legal actionsand special proceedings.

The term ‘‘person’’ includes a natural person,corporation, company, partnership, firm, associa-tion, organization, society, labor union, businesstrust, trust, financial institution, governmental unitand any other group, organization or entity of anynature, unless the context otherwise dictates.

The term ‘‘Connecticut lawyer’’ means a naturalperson who has been duly admitted to practicelaw in this state and whose privilege to do so isthen current and in good standing as an activemember of the bar of this state.

(b) Exceptions. Whether or not it constitutesthe practice of law, the following activities by anyperson are permitted:

(1) Selling legal document forms previouslyapproved by a Connecticut lawyer in any format.

(2) Acting as a lay representative authorized byadministrative agencies or in administrative hear-ings solely before such agency or hearing where:

(A) Such services are confined to representa-tion before such forum or other conduct reason-ably ancillary to such representation; and

(B) Such conduct is authorized by statute, orthe special court, department or agency hasadopted a rule expressly permitting and regulatingsuch practice.

(3) Serving in a neutral capacity as a mediator,arbitrator, conciliator or facilitator.

(4) Participating in labor negotiations, arbitra-tions, or conciliations arising under collective bar-gaining rights or agreements.

(5) Providing clerical assistance to another tocomplete a form provided by a court for the protec-tion from abuse, harassment and violence whenno fee is charged to do so.

(6) Acting as a legislative lobbyist.(7) Serving in a neutral capacity as a clerk or

a court employee providing information to thepublic.

(8) Performing activities which are preemptedby federal law.

(9) Performing statutorily authorized servicesas a real estate agent or broker licensed by thestate of Connecticut.

(10) Preparing tax returns and performing anyother statutorily authorized services as a certifiedpublic accountant, enrolled IRS agent, publicaccountant, public bookkeeper, or tax preparer.

(11) Performing such other activities as thecourts of Connecticut have determined do notconstitute the unlicensed or unauthorized practiceof law.

(12) Undertaking self-representation, or practic-ing law authorized by a limited license to practice.


(c) Nonlawyer Assistance: Nothing in this ruleshall affect the ability of nonlawyer assistants toact under the supervision of a lawyer in compli-ance with Rule 5.3 of the Rules of ProfessionalConduct.

(d) General Information: Nothing in this ruleshall affect the ability of a person or entity to pro-vide information of a general nature about the lawand legal procedures to members of the public.

(e) Governmental Agencies: Nothing in this ruleshall affect the ability of a governmental agencyto carry out its responsibilities as provided by law.

(f) Professional Standards: Nothing in this ruleshall be taken to define or affect standards forcivil liability or professional responsibility.

(g) Unauthorized Practice: If a person who isnot authorized to practice law is engaged in thepractice of law, that person shall be subject to thecivil and criminal penalties of this jurisdiction.


Sec. 2-45. —Cause Occurring in Presenceof CourtIf such cause occurs in the actual presence of

the court, the order may be summary, and withoutcomplaint or hearing; but a record shall be madeof such order, reciting the ground thereof. Withoutlimiting the inherent powers of the court, if attorneymisconduct occurs in the actual presence of thecourt, the statewide grievance committee and thegrievance panels shall defer to the court if thecourt chooses to exercise its jurisdiction.

(P.B. 1978-1997, Sec. 30.)

Sec. 2-46. Suspension of Attorneys WhoViolate Support Orders(a) Except as otherwise provided in this section,

the procedures of General Statutes §§ 46b-220through 46b-223 shall be followed with regard tothe suspension from the practice of law of attor-neys who are found to be delinquent child sup-port obligors.

(b) A judge, upon finding that an attorney admit-ted to the bar in this state is a delinquent childsupport obligor as defined in General Statutes§ 46b-220 (a), may, pursuant to General Statutes§ 46b-220 (b), issue a suspension order concern-ing that attorney.

(c) If the attorney obligor fails to comply withthe conditions of the suspension order within thirtydays of its issuance, the department of social ser-vices, a support enforcement officer, the attorneyfor the obligee or the obligee, as provided in thesuspension order, shall file with the clerk of thesuperior court which issued the suspension orderan affidavit stating that the conditions of the sus-pension order have not been met, and shall servethe attorney obligor with a copy of such affidavit

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in accordance with Sections 10-12 through 10-17. The affidavit shall be filed within forty-five daysof the expiration of the thirty day period.

(d) Upon receipt of the affidavit, the clerk shallforthwith bring the suspension order and the affi-davit to a judge of the superior court for review.If the judge determines that pursuant to the provi-sions of General Statutes § 46b-220 the attorneyobligor should be suspended, the judge shall sus-pend the attorney obligor from the practice of law,effective immediately.

(e) A suspended attorney who has compliedwith the conditions of the suspension order con-cerning reinstatement, shall file a motion with thecourt to vacate the suspension. Upon proof ofsuch compliance, the court shall vacate the orderof suspension and reinstate the attorney. The pro-visions of Section 2-53 shall not apply to suspen-sions under this section.

(f) The clerk shall notify the statewide bar coun-sel of any suspensions and reinstatementsordered pursuant to this section.

(P.B. 1978-1997, Sec. 30A.)

Sec. 2-47. Presentments and UnauthorizedPractice of Law Petitions(a) Presentment of attorneys for misconduct,

whether or not the misconduct occurred in theactual presence of the court, shall be made bywritten complaint of the disciplinary counsel. Ser-vice of the complaint shall be made as in civilactions. Any interim proceedings to the contrarynotwithstanding, a hearing on the merits of thecomplaint shall be held within sixty days of thedate the complaint was filed with the court. Atsuch hearing, the respondent shall have the rightto be heard in his or her own defense and bywitnesses and counsel. After such hearing thecourt shall render a judgment dismissing the com-plaint or imposing discipline as follows: reprimand,suspension for a period of time, disbarment orsuch other discipline as the court deems appro-priate. This may include conditions to be fulfilledby the attorney before he or she may apply forreadmission or reinstatement. Unless otherwiseordered by the court, such complaints shall beprosecuted by the disciplinary counsel or an attor-ney appointed pursuant to Section 2-48.

(b) The sole issue to be determined in a disci-plinary proceeding predicated upon conviction ofa felony, any larceny or crime for which the lawyeris sentenced to a term of incarceration or for whicha suspended period of incarceration is imposedshall be the extent of the final discipline to beimposed.

(c) A petition to restrain any person from engag-ing in the unauthorized practice of law not


occurring in the actual presence of the court maybe made by written complaint to the superior courtin the judicial district where such violation occurs.When offenses have been committed by the sameperson in more than one judicial district, present-ment for all offenses may be made in any oneof such judicial districts. Such complaint may beprosecuted by the state’s attorney, by the disci-plinary counsel, or by any member of the bar bydirection of the court. Upon the filing of such com-plaint, a rule to show cause shall issue to thedefendant, who may make any proper answerwithin twenty days from the return of the rule andwho shall have the right to be heard as soon aspracticable, and upon such hearing the court shallmake such lawful orders as it may deem just.Such complaints shall be proceeded with ascivil actions.

(d) (1) If a determination is made by the state-wide grievance committee or a reviewing commit-tee that a respondent is guilty of misconduct andsuch misconduct does not otherwise warrant apresentment to the superior court, but the respon-dent has been disciplined pursuant to these rulesby the statewide grievance committee, areviewing committee or the court at least threetimes pursuant to complaints filed within the fiveyear period preceding the date of the filing of thegrievance complaint that gave rise to such findingof misconduct in the instant case, the statewidegrievance committee or the reviewing committeeshall direct the disciplinary counsel to file a pre-sentment against the respondent in the superiorcourt. Service of the matter shall be made as incivil actions. The statewide grievance committeeor the reviewing committee shall file with the courtthe record in the matter and a copy of the priordiscipline issued against the respondent withinsuch five year period. The sole issue to be deter-mined by the court upon the presentment shallbe the appropriate action to take as a result ofthe nature of the misconduct in the instant caseand the cumulative discipline issued concerningthe respondent within such five year period. Suchaction shall be in the form of a judgment dismiss-ing the complaint or imposing discipline as follows:reprimand, suspension for a period of time, disbar-ment or such other discipline as the court deemsappropriate. This may include conditions to befulfilled by the respondent before he or she mayapply for readmission or reinstatement. This sub-section shall apply to all findings of misconductissued from the day of enactment forward and thedetermination of presentment shall consider alldiscipline pursuant to complaints filed within thefive year period preceding the date of the filing of

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the grievance complaint that gave rise to the find-ing of misconduct even if they predate the effec-tive date of these rules.

(2) If the respondent has appealed the issuanceof a finding of misconduct made by the statewidegrievance committee or the reviewing committee,the court shall first adjudicate and decide thatappeal in accordance with the procedures setforth in subsections (d) through (f) of Section 2-38. In the event the court denies the respondent’sappeal of the finding of misconduct, the court shallthen adjudicate the presentment brought underthis section. In no event shall the court review themerits of the matters for which the prior repri-mands were issued against the respondent.

(e) No entry fee shall be required for the filingof any complaint pursuant to this section.

(P.B. 1978-1997, Sec. 31.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004; amended June 21, 2004, to take effect Jan. 1, 2005;amended June 20, 2005, to take effect Jan. 1, 2006; amendedJune 26, 2006, to take effect Jan. 1, 2007.)

Sec. 2-47A. Disbarment of Attorney for Mis-appropriation of FundsIn any disciplinary proceeding where there has

been a finding by a judge of the superior courtthat a lawyer has knowingly misappropriated aclient’s funds or other property held in trust, thediscipline for such conduct shall be disbarmentfor a minimum of twelve years.


Sec. 2-47B. Restrictions on the Activities ofDeactivated Attorneys(a) As used in this section:(1) A ‘‘deactivated attorney’’ is an attorney who

is currently disbarred, suspended, resigned, or oninactive status.

(2) A ‘‘supervising attorney’’ is an attorney:(A) who has been approved by the court as a

supervising attorney for a deactivated attorney inaccordance with subsection (e) of this section;

(B) who is in good standing with the bar ofthis state;

(C) who was not affiliated with the deactivatedattorney as an employer, employee, partner, inde-pendent contractor or in any other employmentrelationship at the time of the deactivation; and

(D) who did not serve as an attorney pursuantto Section 2-64 in connection with the disbarment,suspension, resignation or placement on inactivestatus of the deactivated attorney.

(3) A ‘‘law-related activity’’ is:(A) engaging in the practice of law as defined

by Section 2-44A;


(B) representing a client in any legal matter,including discovery matters;

(C) negotiating or transacting any matter for, oron behalf of, a client with third parties, or havingany contact with third parties regarding suchnegotiation or transaction;

(D) receiving, disbursing or exercising any con-trol over clients’ funds or other property held intrust and related accounts;

(E) using the titles ‘‘attorney’’ or ‘‘lawyer,’’ orthe designations ‘‘Esq.,’’ or ‘‘J.D.’’ to describe one-self; or

(F) communicating with clients and third partiesregarding matters that are the subject of represen-tation by the supervising attorney or his or her firm.

(4) ‘‘Employ’’ means to engage the services ofanother, including employees, agents, indepen-dent contractors and consultants, regardless ofwhether any compensation is paid.

(b) (1) No deactivated attorney shall be permit-ted to engage in any law-related activities or tobe employed as a paralegal or legal assistantunless expressly permitted by the court as pro-vided in this section.

(2) The court may expressly permit, by writtenorder, a deactivated attorney to perform any ofthe following activities, under the supervision ofa supervising attorney, as provided herein:

(A) performing legal work of a preparatorynature, such as conducting legal research,assembling data and other necessary information,and drafting transactional documents, pleadings,briefs, and other similar documents; and

(B) providing clerical assistance to the supervis-ing attorney.

(c) No attorney who knows or should haveknown that an attorney’s license has been deacti-vated, shall employ the deactivated attorney toengage in any law-related activities or to act asa paralegal or legal assistant, without the permis-sion of the court, as provided in this section.

(d) A deactivated attorney shall not engage inlaw-related activities or be employed as a parale-gal or legal assistant on behalf of any client pre-viously represented by the deactivated attorney orfor whom the deactivated attorney had previouslyprovided any legal services in the ten year periodprior to deactivation. During the period of employ-ment of the deactivated attorney, the supervisingattorney or his or her firm shall not assume repre-sentation of any matter on behalf of any clientpreviously represented by the deactivated attor-ney or for whom the deactivated attorney hadpreviously provided any legal services in the tenyear period prior to deactivation.

(e) (1) An attorney desiring to become a super-vising attorney shall file a written application on

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a form approved by the office of the chief courtadministrator.

(2) The application shall be filed with the courtin the docket number of the matter in which thedeactivated attorney was suspended, disbarred,placed on inactive status or resigned. A copy ofthe application shall be served by the applicanton the office of the chief disciplinary counsel.

(3) An application filed under this section shallbe assigned to the same judge who presided overthe matter in which the deactivated attorneyresigned or was disbarred, suspended, or placedon inactive status. If that judge is no longer avail-able, the administrative judge in the judicial districtwhere the deactivation proceeding was held shallassign the matter to another judge.

(f) The court shall schedule the application fora hearing to determine the following:

(1) whether the deactivated attorney should bepermitted to perform the activities permittedherein;

(2) whether the attorney will be appointed toserve as the supervising attorney for the deacti-vated attorney; and

(3) whether any additional monitoring, condi-tions, or restrictions are necessary.

(g) If the relationship between the supervisingattorney and the deactivated attorney terminates,the supervising attorney shall send written noticeto the court within fifteen days of the terminationof the relationship. A copy of the written noticeshall be served on the office of the chief disciplin-ary counsel.

(h) Violation of this section by the deactivatedattorney or the supervising attorney shall consti-tute a violation of Rule 8.4 (4) of the Rules ofProfessional Conduct.

(i) In any application for reinstatement, thesupervising attorney and a deactivated attorneyunder the supervision of a supervising attorneypursuant to this section shall certify that he or shehas complied with the requirements of this sectionduring the period of suspension, disbarment, res-ignation, or inactive status.


Sec. 2-48. Designee to Prosecute Pre-sentmentsThe executive committee of the superior court

may choose one or more members of the bar ofthis state to prosecute presentments. The chiefcourt administrator may also contract with mem-bers of the bar of this state to prosecute present-ments, actions for reciprocal discipline, actions forinterim suspension and disciplinary proceedings


predicated on the conviction of an attorney of afelony or other crime set out in Section 2-40.

(P.B. 1978-1997, Sec. 31A.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004.)

Sec. 2-49. RestitutionWhenever restitution has been made the panel

or committee investigating the attorney’s conductshall nevertheless determine if further proceed-ings are necessary. If it is found that further pro-ceedings are deemed unnecessary, suchdecision shall be reviewed by the statewide griev-ance committee in accordance with the provisionsof this chapter.

(P.B. 1978-1997, Sec. 31B.)

Sec. 2-50. Records of Statewide GrievanceCommittee, Reviewing Committee andGrievance Panel(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) The statewide grievance committee shall

maintain the record of each grievance proceeding.The record in a grievance proceeding shall consistof the following:

(1) The grievance panel’s record as set forth inSection 2-32 (i);

(2) The reviewing committee’s record as setforth in Section 2-35 (e);

(3) The statewide grievance committee’srecord;

(4) Any probable cause determinations issuedby the statewide grievance committee or areviewing committee;

(5) Transcripts of hearings held before thestatewide grievance committee or a reviewingcommittee;

(6) The reviewing committee’s proposeddecision;

(7) Any statement submitted to the statewidegrievance committee concerning a proposeddecision;

(8) The statewide grievance committee’s finaldecision;

(9) The reviewing committee’s final decision;(10) Any request for review submitted to the

statewide grievance committee concerning areviewing committee’s decision; and

(11) The statewide grievance committee’s deci-sion on the request for review.

(b) The following records of the statewide griev-ance committee shall not be public:

(1) All records pertaining to grievance com-plaints that have been decided by a local griev-ance committee prior to July 1, 1986.

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(2) All records of pending grievance complaintsin which probable cause has not yet beendetermined.

(3) All records pertaining to grievance com-plaints that have been filed on or after July 1,1986, and that have been dismissed by a griev-ance panel, by the statewide grievance committeeor by a reviewing committee without a finding ofprobable cause that the attorney is guilty of mis-conduct.

(4) All records of complaints dismissed pursu-ant to Section 2-32 (a) (2) and (c).

(c) All records enumerated in subsection (a)pertaining to grievance complaints that have beenfiled on or after July 1, 1986, in which probablecause has been found that the attorney is guiltyof misconduct shall be public, whether or not thecomplaint is subsequently dismissed.

(d) Unless otherwise ordered by the court, allrecords that are not public shall be available onlyto the statewide grievance committee and itscounsel, the reviewing committees, the grievancepanels and their counsel, the bar examining com-mittee, the standing committee on recommenda-tions for admission to the bar, disciplinary counsel,the client security fund committee and its counsel,a judge of the superior court, a judge of the UnitedStates District Court for the District of Connecticut,any grievance committee or other disciplinaryauthority of the United States District Court for theDistrict of Connecticut or, with the consent of therespondent, to any other person. Such recordsmay be used or considered in any subsequentdisciplinary or client security fund proceeding per-taining to the respondent.

(e) Any respondent who was the subject of acomplaint in which the respondent was misidenti-fied and the complaint was dismissed shall bedeemed to have never been subject to disciplinaryproceedings with respect to that complaint andmay so swear under oath. Records of such griev-ance complaints shall not be public.

(f) For purposes of this section, all grievancecomplaints that were pending before a grievancepanel on July 1, 1986, shall be deemed to havebeen filed on that date.


Sec. 2-51. Costs and ExpensesCosts may be taxed against the respondent in

favor of the state, if the respondent be found guiltyof the offense charged in whole or in part, at thediscretion of the court. The court may also, upon


any such complaint by the state’s attorney or bythe statewide grievance committee, as the casemay be, audit and allow (whatever may be theresult of the proceeding) reasonable expenses tobe taxed as part of the expenses of the court.

(P.B. 1978-1997, Sec. 34.)

Sec. 2-52. Resignation and Waiver of Attor-ney Facing Disciplinary Investigation(Amended June 15, 2012, to take effect Jan. 1, 2013.)(a) The superior court may, under the procedure

provided herein, permit an attorney to submit hisor her resignation from the bar with or without thewaiver of right to apply for readmission to the barat any time in the future if the attorney’s conductis the subject of an investigation or proceedingby a grievance panel, a reviewing committee, thestatewide grievance committee, the disciplinarycounsel or the court.

(b) Concurrently with the written resignation,the attorney shall submit an affidavit stating thefollowing:

(1) that he or she desires to resign and that theresignation is knowingly and voluntarily submit-ted, the attorney is not being subjected to coercionor duress, and is fully aware of the consequencesof submitting the resignation;

(2) the attorney is aware that there is currentlypending an investigation or proceeding concern-ing allegations that he or she has been guilty ofmisconduct, the nature of which shall be specifi-cally set forth in the affidavit;

(3) either (A) that the material facts of the allega-tions of misconduct are true, or (B) if the attorneydenies some or all of the material facts of theallegations of misconduct, that the attorneyacknowledges that there is sufficient evidence toprove such material facts of the allegations ofmisconduct by clear and convincing evidence;

(4) the attorney waives the right to a hearingon the merits of the allegations of misconduct, asprovided by these rules, and acknowledges thatthe court will enter a finding that he or she hasengaged in the misconduct specified in the affida-vit concurrently with the acceptance of the resig-nation.

(c) If the written resignation is accompanied bya waiver of the right to apply for readmission tothe bar, the affidavit required in (b) shall also statethat the attorney desires to resign and waive hisor her right to apply for readmission to the bar atany time in the future.

(d) Any resignation submitted in accordancewith this section shall be in writing, signed by theattorney, and filed in sextuplicate with the clerkof the superior court in the judicial district in whichthe attorney resides, or if the attorney is not a

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resident of this state, with the clerk of the superiorcourt in Hartford. The clerk shall forthwith sendone copy to the grievance panel, one copy to thestatewide bar counsel, one copy to disciplinarycounsel, one copy to the state’s attorney, and onecopy to the standing committee on recommenda-tions for admission to the bar. Such resignationshall not become effective until accepted by thecourt after a hearing, at which the court hasaccepted a report by the statewide grievancecommittee, made a finding of misconduct basedupon the respondent’s affidavit, and made a find-ing that the resignation is knowingly and volunta-rily made.

(e) Acceptance by the court of an attorney’sresignation from the bar without the waiver of theright to apply for readmission to the bar at anytime in the future shall not be a bar to any otherdisciplinary proceedings based on conductoccurring before or after the acceptance of theattorney’s resignation.


Sec. 2-53. Reinstatement after Suspension,Disbarment or Resignation(a) An attorney who has been suspended from

the practice of law in this state for a period ofone year or more shall be required to apply forreinstatement in accordance with this section,unless the court that imposed the disciplineexpressly provided in its order that such applica-tion is not required. An attorney who has beensuspended for less than one year need not filean application for reinstatement pursuant to thissection, unless otherwise ordered by the court atthe time the discipline was imposed.

(b) An attorney who was disbarred or resignedshall be required to apply for reinstatement pursu-ant to this section, but shall not be eligible to doso until after five years from the effective dateof disbarment or acceptance by the court of theresignation, unless the court that imposed the dis-cipline expressly provided a shorter period of dis-barment or resignation in its order. No attorneywho has resigned from the bar and waived theprivilege of applying for readmission or reinstate-ment to the bar at any future time shall be eligibleto apply for readmission or reinstatement to thebar under this rule.

(c) In no event shall an application for reinstate-ment by an attorney disbarred pursuant to theprovisions of Section 2-47A be considered untilafter twelve years from the effective date of the


disbarment. No such application may be grantedunless the attorney provides satisfactory evidencethat full restitution has been made of all sumsfound to be knowingly misappropriated, including,but not limited to, restitution to the client securityfund for all claims paid resulting from the attor-ney’s dishonest misconduct.

(d) Unless otherwise ordered by the court, anapplication for reinstatement shall not be fileduntil:

(1) The applicant is in compliance with Sections2-27 (d), 2-70 and 2-80;

(2) The applicant is no longer the subject of anypending disciplinary proceedings or investi-gations;

(3) The applicant has passed the Multistate Pro-fessional Responsibility Examination (MPRE) notmore than six months prior to the filing of the appli-cation;

(4) The applicant has successfully completedany criminal sentence including, but not limitedto, a sentence of incarceration, probation, parole,supervised release, or period of sex offender reg-istration and has fully complied with any ordersregarding conditions, restitution, criminal penal-ties or fines;

(5) The applicant has fully complied with allconditions imposed pursuant to the order of disci-pline. If an applicant asserts that a certain disci-plinary condition is impossible to fulfill, he or shemust apply to the court that ordered the conditionfor relief from that condition prior to filing an appli-cation for reinstatement;

(6) The bar examining committee has receivedan application fee. The fee shall be establishedby the chief court administrator and shall beexpended in the manner provided by Section 2-22 of these rules.

(e) An application for reinstatement shall befiled with the clerk of the superior court in thejurisdiction that issued the discipline. The applica-tion shall be filed under oath and on a formapproved by the office of the chief court adminis-trator. The application shall be accompanied byproof of payment of the application fee to the barexamining committee.

(f) The application shall be referred by the clerkof the superior court where it is filed to the chiefjustice or designee, who shall refer the matter toa standing committee on recommendations foradmission to the bar whose members do not main-tain their primary office in the same judicial districtas the applicant.

(g) The clerk of the superior court shall givenotice of the pendency of the application to thestate’s attorney of that court’s judicial district, thegrievance counsel to the grievance panel whose

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jurisdiction includes that judicial district court loca-tion, the statewide grievance committee, the officeof the chief disciplinary counsel, the client securityfund committee, the attorney or attorneysappointed by the court pursuant to Section 2-64,and to all complainants whose complaints againstthe attorney resulted in the discipline for which theattorney was disbarred or suspended or resigned.The clerk shall also promptly publish notice onthe Judicial Branch website, in the ConnecticutLaw Journal, and in a newspaper with substantialdistribution in the judicial district where the appli-cation was filed.

(h) Within sixty days of the referral from thechief justice to a standing committee, the state-wide grievance committee and the office of thechief disciplinary counsel shall file a report withthe standing committee, which report may includeadditional relevant information, commentary in theinformation provided in the application and recom-mendations on whether the applicant should bereinstated. Both the statewide grievance commit-tee and the office of the chief disciplinary counselmay file an appearance and participate in anyinvestigation into the application and at any hear-ing before the standing committee, and at anycourt proceeding thereon. All filings by the state-wide grievance committee and the office of thechief disciplinary counsel and any other party shallbe served and certified to all other parties pursu-ant to Section 10-12.

(i) The standing committee shall investigate theapplication, hold hearings pertaining thereto andrender a report with its recommendations to thecourt. The standing committee shall give writtennotice of all hearings to the applicant, the state’sattorney of the court’s judicial district, the griev-ance counsel to the grievance panel whose juris-diction includes that judicial district location wherethe application was filed, the statewide grievancecommittee, the office of the chief disciplinarycounsel, the client security fund committee, theattorney or attorneys appointed by the court pur-suant to Section 2-64, and to all complainantswhose complaints against the attorney resultedin the discipline for which the attorney was dis-barred or suspended or resigned. The standingcommittee shall also publish all hearing noticeson the Judicial Branch website, in the ConnecticutLaw Journal and in a newspaper with substantialdistribution in the county where the applicationwas filed.

(j) The standing committee shall take all testi-mony at its hearings under oath and shall includein its report subordinate findings of facts and con-clusions as well as its recommendation. Thestanding committee shall have a record made of


its proceedings which shall include a copy of theapplication for reinstatement, any reports filed bythe statewide grievance committee and office ofthe chief disciplinary counsel, a copy of the recordof the applicant’s disciplinary history, a transcriptof its hearings thereon, any exhibits received bythe standing committee, any other documentsconsidered by the standing committee in makingits recommendations, and copies of all noticesprovided by the standing committee in accord-ance with this section. Record materials con-taining personal identifying information or medicalinformation may, in the discretion of the standingcommittee, be redacted, or open for inspectiononly to the applicant and other persons having aproper interest therein and upon order of the court.The standing committee shall complete work onthe application within 180 days of referral fromthe chief justice. It is the applicant’s burden todemonstrate by clear and convincing evidencethat he or she possesses good moral characterand fitness to practice law as defined by Section2-5A.

(k) Upon completion of its investigation, thestanding committee shall file its recommendationin writing together with a copy of the record withthe clerk of the superior court. The report shallrecommend that the application be granted,granted with conditions, or denied. The standingcommittee’s report shall be served and certifiedto all other parties pursuant to Section 10-12.

(l) The court shall thereupon inform the chiefjustice of the pending application and recommen-dation, and the chief justice shall designate twoother judges of the superior court to sit with thejudge presiding at the session. The applicant, thestatewide grievance committee, the office of thechief disciplinary counsel and the standing com-mittee shall have an opportunity to appear andbe heard at any hearing. The three judge panel,or a majority of them, shall determine whether theapplication should be granted.

(m) If the application for reinstatement isdenied, the reasons therefor shall be stated onthe record or put in writing. Unless otherwiseordered by the court, the attorney may not reapplyfor reinstatement for a period of at least one yearfollowing the denial.

(P.B. 1978-1997, Sec. 36.) (Amended Nov. 17, 1999, onan interim basis, to take effect Jan. 1, 2000, and amendmentadopted June 26, 2000, to take effect Jan. 1, 2001; amendedJune 24, 2002, to take effect July 1, 2003; May 14, 2003,effective date changed to Oct. 1, 2003; Sept. 30, 2003, effec-tive date changed to Jan. 1, 2004; amended June 26, 2006,to take effect Jan. 1, 2007; amended June 21, 2010, to takeeffect Jan. 1, 2011; amended June 15, 2012, to take effectJan. 1, 2013; amended June 14, 2013, to take effect Jan.1, 2014.)

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Sec. 2-54. Publication of Notice of Repri-mand, Suspension, Disbarment, Resigna-tion, Placement on Inactive Status orReinstatement(a) Notice of the final action transferring an

attorney to inactive status or reprimanding, sus-pending, or disbarring an attorney from practicein this state shall be published once in the Con-necticut Law Journal by the authority acceptingor approving such action. Notice of a reprimandby the statewide grievance committee or by areviewing committee shall not be published untilthe expiration of any stay pursuant to Sections 2-35 (e) and 2-38.

(b) Notice of the resignation or reinstatementafter suspension, disbarment, resignation orplacement on inactive status of an attorney shallbe published once in the Connecticut Law Journalby the authority accepting or approving suchaction.

(P.B. 1978-1997, Sec. 36A.) (Amended June 28, 1999, totake effect Jan. 1, 2000.)

Sec. 2-55. Retirement of Attorney—Rightof Revocation(Amended June 14, 2013, to take effect Jan. 1, 2014.)(a) An attorney who is admitted to the bar in

the state of Connecticut and is not the subject ofany pending disciplinary investigation may submita written request on a form approved by the officeof the chief court administrator to the statewidebar counsel for retirement under this section.Upon receipt of the request, the statewide barcounsel shall review it and, if it is found that theattorney is eligible for retirement under this sec-tion, shall grant the request and notify the attorneyand the clerk for the judicial district of Hartford.Retirement shall not constitute removal from thebar or the roll of attorneys, but it shall be notedon the roll of attorneys kept by the clerk for thejudicial district of Hartford. If the request isgranted, the attorney shall no longer be eligibleto practice law as an attorney admitted in the stateof Connecticut, except as provided in subsection(e) of this section.

(b) An attorney who has retired pursuant to thissection shall thereafter be exempt from paymentof the client security fund fee set forth in Section2-70 (a), but must continue to comply with theregistration requirements set forth in Sections 2-26 and 2-27 (d).

(c) An attorney who has retired pursuant to thissection and thereafter wishes to revoke the retire-ment and be eligible to practice law again in thestate of Connecticut may do so at any time bysending written notice to the clerk for the judicialdistrict of Hartford and the statewide bar counsel.


(d) Retirement pursuant to this section shall notbe a bar to the initiation, investigation and pursuitof disciplinary complaints filed on or subsequentto the date of retirement.

(e) An attorney who has retired pursuant to thissection may engage in uncompensated servicesto clients under the supervision of an organizedlegal aid society, a state or local bar associationproject, or a court-affiliated pro bono program.

(P.B. 1978-1997, Sec. 37.) (Amended Nov. 17, 1999, onan interim basis pursuant to Section 1-9 (c), to take effect Jan.1, 2000, and amendment adopted June 26, 2000, to take effectJan. 1, 2001; amended June 14, 2013, to take effect Jan.1, 2014.)

Sec. 2-55A. Retirement of Attorney—Per-manent(a) An attorney who is admitted to the bar in

the state of Connecticut and is not the subject ofany pending disciplinary investigation may submita written request on a form approved by the officeof the chief court administrator to the statewidebar counsel for permanent retirement under thissection. Upon receipt of the request, the statewidebar counsel shall review it and, if it is found thatthe attorney is eligible for retirement under thissection, shall grant the request and notify theattorney and the clerk for the judicial district ofHartford. Retirement shall not constitute removalfrom the bar or the roll of attorneys, but it shallbe noted on the roll of attorneys kept by the clerkfor the judicial district of Hartford. If granted, theattorney shall no longer be eligible to practice lawas an attorney admitted in the state of Con-necticut.

(b) An attorney who has retired pursuant to thissection shall thereafter be exempt from the regis-tration requirements set forth in Sections 2-26 and2-27 (d) and from payment of the client securityfund fee set forth in Section 2-70 (a).

(c) An attorney who has retired pursuant to thissection and thereafter wishes to be eligible topractice law again in the state of Connecticut mustapply for admission to the bar pursuant to Sec-tions 2-8 or 2-13.

(d) Retirement pursuant to this section shall notbe a bar to the initiation, investigation and pursuitof disciplinary complaints filed on or subsequentto the date of retirement.


Sec. 2-56. Inactive Status of AttorneyDuring the time an order placing an attorney on

inactive status is in effect, such attorney shall beprecluded from practicing law. No entry fee shallbe required for proceedings pursuant to this sec-tion and Sections 2-57 through 2-62. Any hearings

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necessitated by the proceedings may, in the dis-cretion of the court, be held in chambers, andrecords and papers filed in connection therewithshall be open for inspection only to persons havinga proper interest therein and upon order of thecourt. The court shall, in exercising discretion,weigh the public policy in favor of open proceed-ings, as well as the duty to protect the public,against the attorney’s right to medical and mentalhealth privacy and ability to pursue a livelihood.

(P.B. 1978-1997, Sec. 39.) (Amended June 24, 2002, totake effect July 1, 2003; May 14, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004.)

Sec. 2-57. —Prior Judicial Determination ofIncompetency or Involuntary CommitmentIn the event an attorney is by a court of compe-

tent jurisdiction (1) declared to be incapable ofmanaging his or her affairs or (2) committed invol-untarily to a mental hospital for drug dependency,mental illness, or the addictive, intemperate, orexcessive use of alcohol, the superior court, uponnotice from a grievance panel, a reviewing com-mittee, the statewide grievance committee or astate’s attorney and upon proof of the fact of inca-pacity to engage in the practice of law, shall enteran order placing such attorney upon inactive sta-tus, effective immediately, for an indefinite periodand until further order of the court. A copy of suchorder shall be served, in such manner as the courtshall direct, upon such attorney, the attorney’sconservator if any, and the director of any mentalhospital in which the attorney may reside.

(P.B. 1978-1997, Sec. 40.)

Sec. 2-58. —No Prior Determination ofIncompetency or Involuntary Commitment(a) Whenever a grievance panel, a reviewing

committee, the statewide grievance committee orthe disciplinary counsel shall have reason tobelieve that an attorney is incapacitated from con-tinuing to practice law by reason of mental infirmityor illness or because of drug dependency or addic-tion to alcohol, such panel, committee or counsel,shall petition the court to determine whether theattorney is so incapacitated and the court maytake or direct such action as it deems necessaryor proper for such determination, including exami-nation of the attorney by such qualified medicalexpert or experts as the court shall designate, atthe expense of the judicial branch. If, upon dueconsideration of the matter, the court is satisfiedand concludes that the attorney is incapacitatedfrom continuing to practice law, it shall enter anorder placing the attorney in an inactive status onthe ground of such disability for an indefiniteperiod and until the further order of the court, and


any pending disciplinary proceedings against theattorney shall be held in abeyance.

(b) The court may provide for such notice to therespondent attorney of proceedings in the matteras is deemed proper and advisable and shallappoint an attorney, at the expense of the judicialbranch, to represent any respondent who is with-out adequate representation.


Sec. 2-59. —Disability Claimed duringCourse of Disciplinary ProceedingIf, during the course of a disciplinary proceed-

ing, the respondent contends that he or she issuffering, by reason of mental infirmity or illness,or because of drug dependency or addiction toalcohol, from a disability which makes it impossi-ble for the respondent adequately to defend him-self or herself, the court thereupon shall, in aproceeding instituted in substantial accordancewith the provisions of Section 2-58, enter an orderplacing the respondent on inactive status until adetermination is made of the respondent’s capac-ity to defend himself or herself. Notice of the insti-tution of inactive status proceedings shall beprovided to the statewide bar counsel. If the courtdetermines that the respondent is not incapaci-tated from practicing law, it shall take such actionas it deems proper and advisable, including adirection for the resumption of the disciplinary pro-ceeding against the respondent.


Sec. 2-60. —Reinstatement upon Termina-tion of Disability(a) Any attorney placed upon inactive status

under the provisions of these rules shall be enti-tled to apply for reinstatement, without the pay-ment of an entry fee, at such intervals as the courtmay direct in the order placing the attorney oninactive status or any modification thereof. Suchapplication shall be granted by the court upon ashowing by clear and convincing evidence thatthe attorney’s disability has been removed andthe attorney is fit to resume the practice of law.Upon such application, the court may take ordirect such action as it deems necessary orproper, including the determination whether theattorney’s disability has been removed, andincluding direction of an examination of the attor-ney by such qualified medical expert or expertsas the court shall designate. The court shall direct

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that the expense of such an examination be paideither by the attorney or by the judicial branch.

(b) Where an attorney has been placed on inac-tive status by an order in accordance with theprovisions of Section 2-57 and thereafter, in pro-ceedings duly taken, has been judicially declaredto be competent, the court may dispense withfurther evidence that his or her disability has beenremoved and may direct his or her return to activestatus upon such terms as are deemed properand advisable.

(P.B. 1978-1997, Sec. 44.)

Sec. 2-61. —Burden of Proof in Inactive Sta-tus ProceedingsIn a proceeding seeking an order to place an

attorney on inactive status, the burden of proofshall rest with the petitioner. In a proceeding seek-ing an order terminating inactive status, the bur-den of proof shall rest with the inactive attorney.

(P.B. 1978-1997, Sec. 45.)

Sec. 2-62. —Waiver of Doctor-Patient Privi-lege upon Application for ReinstatementThe filing of an application for reinstatement by

an attorney on inactive status shall be deemed toconstitute a waiver of any doctor-patient privilegeexisting between the attorney and any psychia-trist, psychologist, physician or hospital who orwhich has examined or treated the attorney duringthe period of disability. The attorney shall berequired to disclose the name of every psychia-trist, psychologist, physician and hospital bywhom or at which the attorney has been examinedor treated since being placed on inactive statusand shall furnish to the court written consent toeach to divulge such information and records asare requested by court-appointed medical expertsor by the clerk of the court.

(P.B. 1978-1997, Sec. 46.)

Sec. 2-63. Definition of RespondentWhen used in Sections 2-29 through 2-62 the

word ‘‘respondent’’ shall mean the attorneyagainst whom a grievance complaint or present-ment has been filed or a person who is allegedto have been engaged in the unauthorized prac-tice of law pursuant to General Statutes § 51-88.

(P.B. 1978-1997, Sec. 46A.)

Sec. 2-64. Appointment of Attorney to Pro-tect Clients’ and Attorney’s Interests(a) Whenever an attorney is placed upon inac-

tive status, suspended, disbarred, or resigns, thecourt, upon such notice to him or her as the courtmay direct, shall appoint an attorney or attorneysto inventory the files of the inactive, suspended,disbarred or resigned attorney and to take such


action as seems indicated to protect the interestsof the attorney’s clients. The court may alsoappoint an attorney to protect the interests of theattorney placed on inactive status, suspended,disbarred or resigned with respect to such files,when the attorney is not otherwise representedand the court deems that such representation isnecessary. If the discipline imposed is not effec-tive immediately as a result of an appeal or stay,the court, after the hearing and consideration ofthe merits of the appeal or reason for the stay,may issue interim orders to protect the public dur-ing the pendency of the appeal period or stay, untilthe discipline order becomes effective. In case ofan attorney’s death, the court may appoint anattorney where no partner, executor or otherresponsible party capable of conducting thedeceased attorney’s affairs is known to exist orwilling to assume the responsibility.

(b) Any attorney so appointed by the court shallnot be permitted to disclose any information con-tained in any file so inventoried without the con-sent of the client to whom such file relates exceptas is necessary to carry out the order of the courtwhich appointed the attorney to make suchinventory.

(c) Not less frequently than once each year andat such time as the attorney may be returnedto active status, reinstated or readmitted to thepractice of law or when the attorney appointed toprotect clients’ interests has finished renderingservices to those clients, the appointed attorneyshall file with the court, for its examination andapproval, a report showing fees earned from theclients of the attorney, necessary disbursements,and the amount requested by the appointed attor-ney as a fee for services rendered, to be paid outof the funds received. Any attorney so appointedby the court for the inactive, suspended, dis-barred, resigned or deceased attorney may alsobe reimbursed for his or her services from anyamount found to be due to the inactive, sus-pended, disbarred, resigned or deceased attorneyfor services rendered to such clients. All attorney’sfees paid to any attorney appointed hereundershall be subject to court approval.

(d) Unless the attorney appointed to protect cli-ents’ interests is a partner or associate of theattorney, if the attorney is returned to active status,reinstated or readmitted, the appointed attorneyshall immediately cease representing the clientsof the attorney and shall return to the reinstatedor readmitted attorney, or to the attorney returnedto active status, such files as the appointed attor-ney may have received, and the appointed attor-ney and partners and associates shall notrepresent any person who was a client of the

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reinstated or readmitted attorney, or who was aclient of an attorney returned to active status, onor before the date when he or she was placedupon inactive status, suspended, disbarred orresigned, unless the court which entered the orderdirecting reinstatement, readmission, or return toactive status shall order otherwise after writtenrequest to the court by the client whose interestis involved.

(P.B. 1978-1997, Sec. 46B.) (Amended June 24, 2002, totake effect July 1, 2003; May 1, 2003, effective date changedto Oct. 1, 2003; Sept. 30, 2003, effective date changed to Jan.1, 2004.)

Sec. 2-65. Good Standing of AttorneyAn attorney is in good standing in this state if

the attorney has been admitted to the bar of thisstate, has registered with the statewide grievancecommittee in compliance with Section 2-27 (d),has complied with Section 2-70, and is not undersuspension, on inactive status, disbarred, orresigned from the bar.

(P.B. 1978-1997, Sec. 46C.) (Amended June 22, 2009, totake effect Jan. 1, 2010.)

Sec. 2-66. Practice by Court Officials(a) No lawyer who is a judge of the supreme

court, appellate court or superior court shall prac-tice law in any state or federal court.

(b) The chief public defender, the deputy chiefpublic defender, public defenders, assistant publicdefenders, deputy assistant public defenders, thechief state’s attorney, the deputy chief state’sattorney, state’s attorneys, assistant state’s attor-neys and deputy assistant state’s attorneys whohave been appointed on a full-time basis willdevote their full time to the duties of their offices,will not engage in the private practice of law, eithercivil or criminal, and will not be connected in anyway with any attorney or law firm engaged in theprivate practice of law.

(c) No state’s attorney or assistant state’s attor-ney, no partner or associate of a law firm of whichany of the aforementioned court officials is a part-ner or associate, shall appear as counsel in anycriminal case in behalf of any accused in any stateor federal court.

(d) No chief clerk, deputy chief clerk, clerk, dep-uty clerk or assistant clerk who has beenappointed on a full-time basis shall appear ascounsel in any civil or criminal case in any stateor federal court. Such persons may otherwiseengage in the practice of law as permitted byestablished judicial branch policy.

(e) No chief public defender, deputy chief publicdefender, public defender, assistant public


defender or deputy assistant public defender shallappear in behalf of the state in any criminal case.

(P.B. 1978-1997, Sec. 47.)

Sec. 2-67. Payment of Attorneys by Bankand Trust Companies(a) No attorney shall directly or indirectly receive

payment from any bank or trust company for legalservices rendered to others in the preparation ofwills, codicils or drafts of such instruments or foradvising others as to legal rights under existingor proposed instruments of that character.

(b) The violation of this section by an attorneymay be cause for grievance proceedings.

(P.B. 1978-1997, Sec. 48.)

Sec. 2-68. Client Security Fund Established(a) A client security fund is hereby established

to promote public confidence in the judicial systemand the integrity of the legal profession by reim-bursing clients, to the extent provided for by theserules, for losses resulting from the dishonest con-duct of attorneys practicing law in this state in thecourse of the attorney-client relationship and byproviding crisis intervention and referral assis-tance to attorneys admitted to the practice of lawin this state who suffer from alcohol or other sub-stance abuse problems or gambling problems, orwho have behavioral health problems.

(b) It is the obligation of all attorneys admittedto the practice of law in this state to participate inthe collective effort to reimburse clients who havelost money or property as the result of the unethi-cal and dishonest conduct of other attorneys andto provide crisis intervention and referral assis-tance to attorneys admitted to the practice of lawin this state who suffer from alcohol or other sub-stance abuse problems or gambling problems, orwho have behavioral health problems.

(c) The client security fund is provided as apublic service to persons using the legal servicesof attorneys practicing in this state and as a meansof providing crisis intervention and referral assis-tance to impaired attorneys. All moneys andassets of the fund shall constitute a trust.

(d) The establishment, administration and oper-ation of the fund shall not impose or create anyobligation, expectation of recovery from or liabilityof the fund to any claimant or attorney, and allreimbursements therefrom shall be a matter ofgrace and not of right.

(Adopted June 29, 1998, to take effect Jan. 1, 1999;amended May 3, 2005, to take effect May 17, 2005.)

Sec. 2-68A. —Crisis Intervention and Refer-ral Assistance(a) The chief court administrator may enter into

any contracts and take such other action as may

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be reasonably necessary to provide for crisis inter-vention and referral assistance to attorneys admit-ted to the practice of law in this state who sufferfrom alcohol or other substance abuse problemsor gambling problems, or who have behavioralhealth problems.

(b) The crisis intervention and referral assis-tance shall be provided with the assistance of anadvisory committee appointed by the chief courtadministrator that shall include one or morebehavioral health professionals.

(Adopted May 3, 2005, to take effect May 17, 2005.)

Sec. 2-69. —Definition of DishonestConduct(a) As used in Sections 2-68 through 2-81, inclu-

sive, ‘‘dishonest conduct’’ means wrongful actscommitted by an attorney, in an attorney-clientrelationship or in a fiduciary capacity arising outof an attorney-client relationship, in the nature oftheft or embezzlement of money or the wrongfultaking or conversion of money, property, or otherthings of value, including, but not limited to refusalto refund unearned fees received in advance asrequired by Rule 1.16 (d) of the Rules of Profes-sional Conduct.

(b) ‘‘Dishonest conduct’’ does not include suchwrongful acts committed in connection with theprovision of investment services to the claimantby the attorney.


Sec. 2-70. —Client Security Fund Fee(a) The judges of the superior court shall assess

an annual fee in an amount adequate for theproper payment of claims and the provision ofcrisis intervention and referral assistance underthese rules and the costs of administering theclient security fund. Such fee, which shall be $75,shall be paid by each attorney admitted to thepractice of law in this state and each judge, judgetrial referee, state referee, family support magis-trate, family support referee and workers’ com-pensation commissioner in this state.Notwithstanding the above, an attorney who isdisbarred, retired, resigned, or serving on activeduty with the armed forces of the United Statesfor more than six months in such year shall beexempt from payment of the fee, and an attorneywho does not engage in the practice of law as anoccupation and receives less than $450 in legalfees or other compensation for services involvingthe practice of law during the calendar year shallbe obligated to pay one-half of such fee. No attor-ney who is disbarred, retired or resigned shall bereinstated pursuant to Sections 2-53 or 2-55 untilsuch time as the attorney has paid the fee due


for the year in which the attorney retired, resignedor was disbarred.

(b) An attorney or family support referee whofails to pay the client security fund fee in accord-ance with this section shall be administrativelysuspended from the practice of law in this statepursuant to Section 2-79 of these rules until suchpayment, along with a reinstatement fee of $75,has been made. An attorney or family supportreferee who is under suspension for another rea-son at the time he or she fails to pay the fee, shallbe the subject of an additional suspension whichshall continue until the fee and reinstatement feeare paid.

(c) A judge, judge trial referee, state referee,family support magistrate or workers’ compensa-tion commissioner who fails to pay the client secu-rity fund fee in accordance with this section shallbe referred to the judicial review council.

(Adopted June 29, 1998, to take effect Jan. 1, 1999;amended June 28, 1999, to take effect Jan. 1, 2000; amendedNov. 17, 1999, on an interim basis pursuant to Section 1-9(c), to take effect Jan. 1, 2000, and amendment adopted June26, 2000, to take effect Jan. 1, 2001; amended June 21, 2004,to take effect July 13, 2004; amended May 3, 2005, to takeeffect May 17, 2005; amended June 20, 2005, to take effectJan. 1, 2006; amended June 15, 2012, to take effect Jan.1, 2013.)

Sec. 2-71. —Eligible Claims(a) A claim for reimbursement of a loss must be

based upon the dishonest conduct of an attorneywho, in connection with the defalcation uponwhich the claim is based, was a member of theConnecticut bar and engaged in the practice oflaw in this state.

(b) The claim shall not be eligible for reimburse-ment unless:

(1) the attorney was acting as an attorney orfiduciary in the matter in which the loss arose;

(2) the attorney has died, been adjudged inca-pable, not competent or insane, been disbarredor suspended from the practice of law in Connecti-cut, been placed on probation or inactive statusby a Connecticut court, resigned from the Con-necticut bar, or become the judgment debtor ofthe claimant with respect to such claim; and

(3) the claim is presented within four years ofthe time when the claimant discovered or firstreasonably should have discovered the dishonestacts and the resulting losses or the claim waspending before the Connecticut Bar Association’sclient security fund committee as of the effectivedate of this rule.

(c) Except as provided by subsection (d) of thissection, the following losses shall not be eligiblefor reimbursement:

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(1) losses incurred by spouses, children, par-ents, grandparents, siblings, partners, associatesand employees of the attorney causing the losses;

(2) losses covered by any bond, suretyagreement, or insurance contract to the extentcovered thereby, including any loss to which anybonding agent, surety or insurer is subrogated, tothe extent of that subrogated interest;

(3) losses incurred by any financial institutionwhich are recoverable under a ‘‘banker’s blanketbond’’ or similar commonly available insurance orsurety contract;

(4) losses incurred by any business entity con-trolled by the attorney, any person or entitydescribed in subdivisions (c) (1), (2), or (3) herein;

(5) losses incurred by any governmental entityor agency.

(d) In cases of extreme hardship or special andunusual circumstances, the client security fundcommittee may, in its discretion, consider a claimeligible for reimbursement which would otherwisebe excluded under these rules.

(e) In cases where it appears that there will beunjust enrichment, or the claimant unreasonablyor knowingly contributed to the loss, the clientsecurity fund committee may, in its discretion,deny the claim.


Sec. 2-72. —Client Security Fund Com-mittee(a) There is hereby established a client security

fund committee which shall consist of fifteen mem-bers who shall be appointed by the chief justice.Nine of the members shall be attorneys, threeshall not be attorneys and three shall be individu-als who serve in one of the following capacities:superior court judge, judge trial referee, appellatecourt judge, supreme court justice, family supportmagistrate, family support referee or workers’compensation commissioner. Members shall beappointed for terms of three years, provided, how-ever, that of the members first appointed, five shallserve for one year, five for two years and five forthree years. No person shall serve as a memberfor more than two consecutive three year terms,excluding any appointments for less than a fullterm, but a member may be reappointed after alapse of one year. The appointment of any mem-ber may be revoked or suspended by the chiefjustice. In connection with such revocation or sus-pension, the chief justice shall appoint a qualifiedindividual to fill the vacancy for the remainder ofthe term or for any other appropriate period. Inthe event that a vacancy arises in this positionbefore the end of a term by reason other thanrevocation or suspension, the chief justice shall


fill the vacancy for the balance of the term or forany other appropriate period.

(b) The client security fund committee shallelect from among its members a chair and a vice-chair who shall serve for a period of one year.

(c) Seven members of the client security fundcommittee shall constitute a quorum at its meet-ings. The chair may assign individual membersof the committee to investigate and report onclaims to the committee.

(d) Members shall serve without compensation,but shall be reimbursed for their necessary andreasonable expenses incurred in the discharge oftheir duties.

(e) The client security fund committee shalloperate under the supervision of the superiorcourt judges and report on its activities to theexecutive committee of the superior court on atleast a quarterly basis.


Sec. 2-73. —Powers and Duties of ClientSecurity Fund CommitteeIn addition to any other powers and duties set

forth in Sections 2-68 through 2-81, the clientsecurity fund committee shall:

(a) Publicize its activities to the public and bar,including filing with the chief justice and the execu-tive committee of the superior court an annualreport on the claims made and processed and theamounts disbursed.

(b) Receive, investigate and evaluate claimsfor reimbursement.

(c) Determine in its judgment whether reim-bursement should be made and the amount ofsuch reimbursement.

(d) Prosecute claims for restitution againstattorneys whose conduct has resulted in dis-bursements.

(e) Employ such persons and contract with anypublic or private entity as may be reasonably nec-essary to provide for its efficient and effectiveoperations, which shall include, but not be limitedto, the investigation of claims and the prosecutionof claims for restitution against attorneys.

(f) Pay to the chief court administrator for theprovision of crisis intervention and referral assis-tance to attorneys admitted to the practice of lawin this state who suffer from alcohol or other sub-stance abuse problems or gambling problems, orwho have behavioral health problems, anyamounts required pursuant to Section 2-77.

(g) Perform all other acts necessary or properfor the fulfillment of the purposes and effectiveadministration of the fund.


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Sec. 2-74. —Regulations of Client SecurityFund CommitteeThe client security fund committee shall have

the power and authority to implement these rulesby regulations relevant to and not inconsistentwith these rules. Such regulations may beadopted at any regular meeting of the client secu-rity fund committee or at any special meetingcalled for that purpose. The regulations shall beeffective sixty days after publication in one issueof the Connecticut Law Journal and shall at alltimes be subject to amendment or revision by thecommittee. A copy shall be provided to the chiefjustice, the chief court administrator, and the exec-utive committee of the superior court.


Sec. 2-75. —Processing Claims(a) Upon receipt of a claim the client security

fund committee shall cause an appropriate inves-tigation to be conducted and shall cause the attor-ney who is the subject of the claim or the attorney’srepresentative to be notified by certified mailwithin ten days of the filing of such claim. Theattorney or his or her representative shall havetwenty days from the date the notice was mailedto file a response with the client security fundcommittee. Before processing a claim, the clientsecurity fund committee may require the claimantto pursue other remedies he or she may have.

(b) The client security fund committee shallpromptly notify the statewide grievance commit-tee of each claim and shall request the grievancecommittee to furnish it with a report of its investiga-tion, if any, on the matter. The statewide grievancecommittee shall allow the client security fund com-mittee access to its records during an investiga-tion of a claim. The client security fund committeeshall evaluate whether the investigation is com-plete and determine whether it should conductadditional investigation or await the pendency ofany disciplinary investigation or proceedinginvolving the same act or conduct as is allegedin the claim.

(c) The client security fund committee may, tothe extent permitted by law, request and receivefrom the state’s attorneys and from the superiorcourt information relative to the client security fundcommittee’s investigation, processing and deter-mination of claims.

(d) A certified copy of an order disciplining anattorney for the same dishonest act or conductalleged in a claim, or a final trial court judgmentimposing civil or criminal liability therefor, shall beevidence that the attorney committed such dis-honest act or conduct.


(e) The client security fund committee mayrequire that a claimant, the subject attorney orany other person give testimony relative to a claimand may designate one or more members toreceive the testimony and render a report thereonto the committee.

(f) The client security fund committee shall, onthe basis of the record, make its determination inits sole and absolute discretion as to the validityof claims. A determination shall require an affirma-tive vote of at least seven members.

(g) Based upon the claims approved for reim-bursement, the claims being processed and theamounts available in the client security fund, theclient security fund committee shall determine inits sole and absolute discretion the amount, theorder and the manner of the payment to be madeon the approved claim.

(h) Reimbursements shall not include interest,expenses, or attorney’s fees in processing theclaim, and may be paid in a lump sum or ininstallments.

(i) The client security fund committee shall notifythe claimant and the subject attorney of its deter-mination, which shall be final and not be subjectto review by any court.

(j) The approval or disapproval of a claim shallnot be pertinent in any disciplinary proceeding.


Sec. 2-76. —Confidentiality(a) Claims, proceedings and reports involving

claims for reimbursement for losses caused bythe dishonest conduct of attorneys are confiden-tial until the client security fund committee autho-rizes a disbursement to the claimant, at whichtime the committee may disclose the name of theclaimant, the attorney whose conduct producedthe claim and the amount of the reimbursement.However, the client security fund committee mayprovide access to relevant information regardingsuch claims to the statewide grievance commit-tee, grievance panels, to law enforcement agen-cies, to the office of the chief disciplinary counsel,and to a judge of the superior court. The clientsecurity fund committee may also disclose suchinformation to any attorney retained or employedby the committee to protect the interests of theclient security fund or the committee in any stateor federal action in which the interests of the com-mittee or the fund may be at issue, and may dis-close such information as may be necessary toprotect the rights of the committee in any actionor proceeding in which the committee’s right toreceive restitution pursuant to Sections 2-80 or 2-81 is at issue. The client security fund committeemay also provide statistical information regarding

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claims which does not disclose the names ofclaimants and attorneys until a disbursement isauthorized.

(b) All information given or received in connec-tion with the provision of crisis intervention andreferral assistance under these rules shall be sub-ject to the provisions of General Statutes § 51-81d (f).

(Adopted June 29, 1998, to take effect Jan. 1, 1999;amended May 3, 2005, to take effect May 17, 2005; amendedJune 26, 2006, to take effect Jan. 1, 2007.)

Sec. 2-77. —Review of Status of FundThe client security fund committee shall periodi-

cally analyze the status of the fund, the approvedclaims and the pending claims, and the cost to thefund of providing crisis intervention and referralassistance to attorneys, to ensure the integrity ofthe fund for its intended purposes. Based uponthe analysis and recommendation of the clientsecurity fund committee, the judges of the supe-rior court may increase or decrease the amountof the client security fund fee and the superiorcourt executive committee may fix a maximumamount on reimbursements payable from thefund.

The amount paid from the fund in any calendaryear to the chief court administrator for the provi-sion of crisis intervention and referral assistanceto attorneys shall not exceed 15.9 percent of theamount received by the fund from payments ofthe client security fund fee in the prior calendaryear. If less than the 15.9 percent maximumamount is paid from the fund in any calendar yearfor the provision of crisis intervention and referralassistance to attorneys, the remaining amountmay not be carried over and added to the amountthat may be paid from the fund for that purposein any other year.


Sec. 2-78. —Attorney’s Fee for Prosecut-ing ClaimNo attorney shall accept any fee for prosecuting

a claim on behalf of a claimant, except wherespecifically approved by the client security fundcommittee for payment out of the award.


Sec. 2-79. —Enforcement of Payment of Fee(a) The client security fund committee shall

send a notice to each attorney who has not paidthe client security fund fee pursuant to Section 2-70 of these rules that the attorney’s license topractice law in this state may be administrativelysuspended unless within sixty days from the dateof such notice the client security fund committeereceives from such attorney proof that he or she


has either paid the fee or is exempt from suchpayment. If the client security fund committeedoes not receive such proof within the timerequired, it shall cause a second notice to be sentto the attorney advising the attorney that he orshe will be referred to the superior court for anadministrative suspension of the attorney’slicense to practice law in this state unless withinthirty days from the date of the notice proof of thepayment of the fee or exemption is received. Theclient security fund committee shall submit to theclerk of the superior court for the Hartford JudicialDistrict a list of attorneys who did not provide proofof payment or exemption within thirty days afterthe date of the second notice. Upon order of thecourt, the attorneys so listed and referred to theclerk shall be deemed administratively suspendedfrom the practice of law in this state until suchtime as payment of the fee and the reinstatementfee assessed pursuant to Section 2-70 is made,which suspension shall be effective upon publica-tion of the list in the Connecticut Law Journal.An administrative suspension of an attorney forfailure to pay the client security fund fee shall notbe considered discipline, but an attorney who isplaced on administrative suspension for such fail-ure shall be ineligible to practice law as an attor-ney admitted to practice in this state, and shallnot be considered in good standing pursuant toSection 2-65 of these rules until such time as thefee and reinstatement fee are paid. An attorneyaggrieved by an order placing the attorney onadministrative suspension for failing to pay theclient security fund fee may make an applicationto the superior court to have the order vacated,by filing the application with the superior court forthe Hartford Judicial District within thirty days ofthe date that the order is published, and mailinga copy of the same by certified mail, return receiptrequested, to the office of the client security fundcommittee. The application shall set forth the rea-sons why the application should be granted. Thecourt shall schedule a hearing on the application,which shall be limited to whether good causeexists to vacate the suspension order.

(b) If a judge, judge trial referee, state referee,family support magistrate or workers’ compensa-tion commissioner has not paid the client securityfund fee, the office of the chief court administratorshall send a notice to such person that he or shewill be referred to the judicial review council unlesswithin sixty days from the date of such noticethe office of the chief court administrator receivesfrom such person proof that he or she has eitherpaid the fee or is exempt from such payment. Ifthe office of the chief court administrator does not

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receive such proof within the time required, it shallrefer such person to the judicial review council.

(c) Family support referees shall be subject tothe provisions of subsection (a) herein until suchtime as they come within the jurisdiction of thejudicial review council, when they will be subjectto the provisions of subsection (b).

(d) The notices required by this section shallbe sent by certified mail, return receipt requestedor with electronic delivery confirmation to the lastaddress registered by the attorney pursuant toSection 2-26 and Section 2-27 (d), and to thehome address of the judge, judge trial referee,state referee, family support magistrate, familysupport referee or workers’ compensation com-missioner.

(Adopted June 29, 1998, to take effect Jan. 1, 1999;amended June 20, 2005, to take effect Jan. 1, 2006; amendedJune 15, 2012, to take effect Jan. 1, 2013.)

Sec. 2-80. —Restitution by AttorneyAn attorney whose dishonest conduct has

resulted in reimbursement to a claimant shallmake restitution to the fund including interest andthe expense incurred by the fund in processing theclaim. An attorney’s failure to make satisfactoryarrangements for restitution shall be cause forsuspension, disbarment, or denial of an applica-tion for reinstatement.


Sec. 2-81. —Restitution and Subrogation(a) An attorney whose dishonest conduct

results in reimbursement to a claimant shall beliable to the fund for restitution; and the clientsecurity fund committee may bring such action asit deems advisable to enforce such obligation.

(b) As a condition of reimbursement, a claimantshall be required to provide the fund with a protanto transfer of the claimant’s rights against theattorney, the attorney’s legal representative,estate or assigns; and of the claimant’s rightsagainst any third party or entity who may be liablefor the claimant’s loss.

(c) Upon commencement of an action by theclient security fund committee as subrogee orassignee of a claim, it shall advise the claimant,who may then join in such action to recover theclaimant’s unreimbursed losses.

(d) In the event that the claimant commencesan action to recover unreimbursed losses againstthe attorney or another entity who may be liablefor the claimant’s loss, the claimant shall berequired to notify the client security fund commit-tee of such action.

(e) The claimant shall be required to agree tocooperate in all efforts that the client security fund


committee undertakes to achieve restitution forthe fund.


Sec. 2-82. Admission of Misconduct; Disci-pline by Consent(a) The disciplinary counsel to whom a com-

plaint is forwarded after a finding that probablecause exists that the respondent is guilty of mis-conduct may negotiate a proposed disposition ofthe complaint with the respondent or, if therespondent is represented by an attorney, withthe respondent’s attorney. Such a proposed dis-position shall be based upon the respondent’sadmission of misconduct, which shall consist ofeither (1) an admission by the respondent that thematerial facts alleged in the complaint, or a portionthereof describing one or more acts of misconductto which the admission relates, are true, or (2) ifthe respondent denies some or all of such materialfacts, an acknowledgment by the respondent thatthere is sufficient evidence to prove such materialfacts by clear and convincing evidence.

(b) If disciplinary counsel and the respondentagree to a proposed disposition of the matter, theyshall place their agreement in writing and submitit, together with the complaint, the record in thematter, and the respondent’s underlying admis-sion of misconduct, for approval as follows: (i) bythe court, in all matters involving possible suspen-sion or disbarment, or possible imposition of aperiod of probation or other sanctions beyond theauthority of the statewide grievance committee,as set forth in Section 2-37; or (ii) by a reviewingcommittee of the statewide grievance committee,in all other matters. If, after a hearing, the admis-sion of misconduct is accepted and the proposeddisposition is approved by the court or thereviewing committee, the matter shall be disposedof in the manner agreed to. If any resulting admis-sion of misconduct or proposed disposition isrejected by the court or the reviewing committee,the admission of misconduct and proposed dispo-sition shall be withdrawn, shall not be made public,and shall not be used against the respondent inany subsequent proceedings. In that event, thematter shall be referred for further proceedings toa different judicial authority or reviewing commit-tee, as appropriate.

(c) If disciplinary counsel and the respondentare unable to agree to a proposed dispositionof the matter, the respondent may nonethelesstender an admission of misconduct, which shall bein accordance with subsection (a) of this section. Ifsuch an admission of misconduct without pro-posed disposition is tendered, disciplinary coun-sel shall cause it to be forwarded, together with

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the complaint and the record in the matter, forconsideration, possible acceptance and disposi-tion as follows: (i) by the court, in all matters involv-ing possible suspension or disbarment, orpossible imposition of a period of probation orother sanctions beyond the authority of the state-wide grievance committee, as set forth in Section2-37; or (ii) by a reviewing committee of the state-wide grievance committee, in all other matters. If,after a hearing, the admission of misconduct isaccepted by the court or the reviewing committee,the matter shall be disposed of and any resultingimposition of discipline shall be made public inthe manner prescribed by these rules. If theadmission of misconduct is rejected by the courtor the reviewing committee, it shall be withdrawn,shall not be made public, and shall not be usedagainst the respondent in any subsequent pro-ceedings. In that event, the matter shall bereferred for further proceedings to a different judi-cial authority or reviewing committee, as appro-priate.

(d) A respondent who tenders an admission ofmisconduct and, if applicable, enters with disci-plinary counsel into a proposed disposition of thematter, shall present to the court or the reviewingcommittee an affidavit stating the following:

(1) That the admission of misconduct and, ifapplicable, the proposed disposition are freelyand voluntarily submitted; that the respondent isnot making the admission of misconduct and, ifapplicable, the proposed disposition, as a resultof any threats or other coercion or duress, or anypromises or other inducements not set forth in theproposed disposition; that the respondent is fullyaware of the consequences of such submissions;

(2) That the respondent is aware that there ispresently pending a complaint, in connection withwhich probable cause has been found that therespondent committed the following acts of mis-conduct: (list specific acts); and

(3) Either (i) that the respondent admits that thematerial facts alleged in the complaint, or in thatportion thereof to which the respondent’s admis-sion relates, are true, or (ii) if the respondentdenies some or all of such material facts, that therespondent acknowledges that there is sufficientevidence to prove such material facts by clearand convincing evidence.

(e) The disciplinary counsel may recommenddismissal of acts of misconduct alleged in thecomplaint that are not admitted by the respondent.The respondent’s admission of some acts of mis-conduct shall not foreclose the disciplinary coun-sel from pursuing discipline based upon other actsof misconduct alleged in the complaint.


(f) Prior to acceptance by the court or thereviewing committee of the admission of miscon-duct, the proposed disposition of the matter, ifapplicable, and the imposition of any discipline,the complainant will be given the right to com-ment thereon.

(g) In any disciplinary proceeding where therespondent already has other disciplinary matterspending before a court, either pursuant to an orderof interim suspension under Section 2-42, or pur-suant to a presentment filed under Sections 2-35,2-40, 2-41 or 2-47, the respondent and disciplin-ary counsel may agree to a presentment. Therespondent and disciplinary counsel shall stipu-late that the order of presentment is requestedfor the purpose of consolidating all pending disci-plinary matters before the court.

(Adopted June 24, 2002, to take effect July 1, 2003; May14, 2003, effective date changed to Oct. 1, 2003; Sept. 30,

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2003, effective date changed to Jan. 1, 2004; amended June26, 2006, to take effect Jan. 1, 2007.)

Sec. 2-83. Effective Dates(a) The revisions to this chapter which are effec-

tive January 1, 2004, shall apply to all grievancecomplaints filed on or after that date, unless other-wise provided in these rules.

(b) The rules in effect on December 31, 2003,shall govern all grievance complaints filed on orbefore that date.

(Adopted June 24, 2002, to take effect July 1, 2003; May14, 2003, effective date changed to Oct. 1, 2003, and amendedon an interim basis, pursuant to the provisions of Section 1-9 (c), to take effect Oct. 1, 2003, and amendment adoptedJune 30, 2003, to take effect Oct. 1, 2003; Sept. 30, 2003,effective date changed to Jan. 1, 2004, and amended on aninterim basis, pursuant to the provisions of Section 1-9 (c), totake effect Jan. 1, 2004.)


CHAPTER 3

APPEARANCES

Sec. Sec.3-1. Appearance for Plaintiff on Writ or Complaint in Civil

and Family Cases3-2. Time to File Appearance3-3. Form and Signing of Appearance3-4. Filing Appearance3-5. Service of Appearances on Other Parties3-6. Appearances for Bail or Detention Hearing Only3-7. Consequence of Filing Appearance3-8. Appearance for Represented Party3-9. Withdrawal of Appearance; Duration of Appearance3-10. Motion to Withdraw Appearance


Sec. 3-1. Appearance for Plaintiff on Writ orComplaint in Civil and Family CasesWhen a writ has been signed by an attorney at

law admitted to practice in the courts of this state,such writ shall contain the attorney’s name, jurisnumber, mailing address, and telephone number,all of which shall be typed or printed on the writ,and the attorney’s appearance shall be enteredfor the plaintiff, unless such attorney by endorse-ment on the writ shall otherwise direct, or unlesssuch attorney shall type or print on the writ thename, address, juris number and telephone num-ber of the professional corporation or firm, ofwhich such attorney shall be a member, enteringits appearance for the plaintiff. The signature onthe complaint of any person proceeding withoutthe assistance of counsel pursuant to Section 8-1shall be deemed to constitute the self-representedappearance of such party.

(P.B. 1978-1997, Sec. 64 (a).)

Sec. 3-2. Time to File Appearance(a) After the writ has been filed the attorney for

any party to any action, or any party himself orherself, may enter his or her appearance in writingwith the clerk of the court location to which suchaction is returnable. Except where otherwise pre-scribed herein or by statute, an appearance for aparty in a civil or family case should be filed onor before the second day following the return day.Appearances filed thereafter in such cases shallbe accepted but an appearance for a party afterthe entry against such party of a nonsuit or judg-ment after default for failure to appear shall notaffect the entry of the nonsuit or any judgmentafter default.

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3-11. Appearance for Several Parties3-12. Change in Name, Composition or Membership of a

Firm or Professional Corporation3-13. When Creditor May Appear and Defend3-14. Legal Interns3-15. —Supervision of Legal Interns3-16. —Requirements and Limitations3-17. —Activities of Legal Intern3-18. —Certification of Intern3-19. —Legal Internship Committee3-20. —Unauthorized Practice3-21. —Out-of-State Interns

(b) An appearance in a criminal case or in ajuvenile matter should be filed promptly but maybe filed at any stage of the proceeding.

(P.B. 1978-1997, Sec. 64 (b); see also Secs. 66, 630,1056.1.)

Sec. 3-3. Form and Signing of Appearance(a) Except as otherwise provided in subsection

(b), each appearance shall: (1) be filed on judicialbranch form JD-CL-12, (2) include the name andnumber of the case, the name of the court locationto which it is returnable and the date, (3) be legiblysigned by the individual preparing the appearancewith the individual’s own name and (4) state theparty or parties for whom the appearance is beingentered and the official (with position or depart-ment, if desired), firm, professional corporation orindividual whose appearance is being entered,together with the juris number assigned thereto,if any, the mailing address and the telephonenumber.

(b) Each limited appearance pursuant to Sec-tion 3-8 (b) shall: (1) be filed on judicial branchform JD-CL-121; (2) include the name and num-ber of the case, the name of the court location towhich it is returnable and the date; (3) be legiblysigned by the individual preparing the appearancewith the individual’s own name; and (4) state theparty or parties for whom the appearance is beingentered and the official (with position or depart-ment, if desired), firm, professional corporation orindividual whose appearance is being entered,together with the juris number assigned thereto ifany, the mailing address and the telephone num-ber; (5) define the proceeding or event for whichthe lawyer is appearing; and (6) state that theattorney named on the limited appearance is


available for service of process only for those mat-ters described on the limited appearance. Allpleadings, motions, or other documents servedon the limited appearance attorney shall also beserved in the same manner on the party for whomthe limited appearance was filed. For all othermatters, service must be made on the partyinstead of the attorney who filed the limitedappearance, unless otherwise ordered by court.

(c) This section does not apply to appearancesentered pursuant to Section 3-1.

(P.B. 1978-1997, Sec. 64 (b).) (Amended June 22, 2009,to take effect Jan. 1, 2010; amended June 21, 2010, to takeeffect Jan. 1, 2011; amended June 20, 2011, to take effectJan. 1, 2012; amended June 14, 2013, to take effect Oct.1, 2013.)

Sec. 3-4. Filing Appearance(Amended June 20, 2011, to take effect Jan. 1, 2012.)Appearances shall be filed with the clerk of the

court location where the matter is pending.(a) Whenever an appearance is filed in any civil

or family action, including appearances filed inaddition to or in place of another appearance, acopy shall be mailed or delivered to all counseland self-represented parties of record.

(b) Whenever an appearance is filed in sum-mary process actions, including appearances filedin addition to or in place of another appearance,the attorney for the defendant, or, if there is nosuch attorney, the defendant himself or herself,shall mail or deliver a copy of the appearance tothe attorney for the plaintiff, or if there is no suchattorney, to the plaintiff himself or herself.

(c) Whenever an appearance is filed in delin-quency or family with service needs proceedings,including appearances filed in addition to or inplace of another appearance, the attorney orguardian ad litem for the respondent, or for anyother interested party, shall mail or deliver a copyof the appearance to the prosecutorial official andall other counsel and self-represented parties ofrecord; in child protection proceedings, the attor-ney or guardian ad litem for the child, respondent,or any other interested party, shall mail or delivera copy of the appearance to the attorney for thepetitioner and to all other counsel and self-repre-sented parties of record.

(d) Whenever an appearance is filed in criminalcases, including appearances filed in addition toor in place of another appearance, the attorneyfor the defendant shall mail or deliver a copy ofthe appearance to the prosecuting authority.

(P.B. 1978-1997, Sec. 64 (c); see also Secs. 630, 1056.1.)(P.B. 1998.) (Amended June 20, 2011, to take effect Jan. 1,2012; amended June 15, 2012, to take effect Jan. 1, 2013;amended June 13, 2014, to take effect Jan. 1, 2015.)

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Sec. 3-5. Service of Appearances on OtherParties(Amended June 20, 2011, to take effect Jan. 1, 2012.)Service of appearances shall be made in

accordance with Sections 10-12 through 10-17.Proof of service shall be endorsed on the appear-ance filed with the clerk. This section shall notapply to appearances entered pursuant to Section3-1.

(See Secs. 64 (c), 630, 1056.1, P.B.1978-1997.) (P.B.1998.) (Amended June 20, 2011, to take effect Jan. 1, 2012.)

Sec. 3-6. Appearances for Bail or DetentionHearing Only(a) An attorney, prior to the entering of an

appearance by any other attorney, may enter anappearance for the defendant in a criminal casefor the sole purpose of representing the defendantat a hearing for the fixing of bail. Such appearanceshall be in writing and shall be styled, ‘‘for thepurpose of the bail hearing only.’’ Upon enteringsuch an appearance, that attorney shall be enti-tled to confer with the prosecuting authority inconnection with the bail hearing.

(b) An attorney may enter an appearance in adelinquency proceeding for the sole purpose ofrepresenting the respondent at any detentionhearing; such appearance shall be in writing andstyled ‘‘for the purpose of detention hearing only.’’

(See Sec. 633, P.B.1978-1997.)(P.B. 1998.)

Sec. 3-7. Consequence of Filing Appear-ance(a) Except by leave of the judicial authority, no

attorney shall be permitted to appear in court orto be heard on behalf of a party until the attorney’sappearance has been entered. No attorney shallbe entitled to confer with the prosecuting authorityas counsel for the defendant in a criminal caseuntil the attorney’s appearance has been soentered.

(b) After the filing of an appearance, the attor-ney or self-represented party shall receive copiesof all notices required to be given to parties bystatute or by these rules.

(c) The filing of an appearance by itself shallnot waive the right to attack defects in jurisdictionor any claimed violation of constitutional rights.

(See also Secs. 630, 631, 1056.1, P.B.1978-1997.)(P.B.1998.)

Sec. 3-8. Appearance for Represented Party(a) Whenever an attorney files an appearance

for a party, or the party files an appearance forhimself or herself, and there is already an appear-ance of an attorney or party on file for that party,the attorney or party filing the new appearanceshall state thereon whether such appearance is


in place of or in addition to the appearance orappearances already on file.

(b) An attorney is permitted to file an appear-ance limited to a specific event or proceeding inany family or civil case. If an event or proceedingin a matter in which a limited appearance hasbeen filed has been continued to a later date, forany reason, it is not deemed completed unlessotherwise ordered by the court. Except with leaveof court, a limited appearance may not be filed toaddress a specific issue or to represent the clientat or for a portion of a hearing. A limited appear-ance may not be limited to a particular length oftime or the exhaustion of a fee. Whenever anattorney files a limited appearance for a party, thelimited appearance shall be filed in addition to anyself-represented appearance that the party mayhave already filed with the court. Upon the filingof the limited appearance, the client may not file orserve pleadings, discovery requests or otherwiserepresent himself or herself in connection withthe proceeding or event that is the subject of thelimited appearance. An attorney shall not file alimited appearance for a party when filing a newaction or during the pendency of an action if thereis no appearance on file for that party, unless theparty for whom the limited appearance is beingfiled files an appearance in addition to the attor-ney’s limited appearance at the same time. A lim-ited appearance may not be filed on behalf of afirm or corporation. A limited appearance may notbe filed in criminal or juvenile cases.

(c) The provisions of this section regarding par-ties filing appearances for themselves do notapply to criminal cases.

(P.B. 1978-1997, Sec. 65.) (Amended June 15, 2012, totake effect Jan. 1, 2013; amended June 14, 2013, to takeeffect Oct. 1, 2013; amended June 12, 2015, to take effectJan. 1, 2016.)

Sec. 3-9. Withdrawal of Appearance; Dura-tion of Appearance(a) An attorney or party whose appearance has

been filed shall be deemed to have withdrawnsuch appearance upon the filing of a new appear-ance that is stated to be in place of the appear-ance on file in accordance with Section 3-8.Appropriate entries shall be made in the courtfile. An attorney or party whose appearance isdeemed to have been withdrawn may file anappearance for the limited purpose of filing anobjection to the in place of appearance at anytime.

(b) An attorney may withdraw his or her appear-ance for a party or parties in any action after theappearance of other counsel representing the

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same party or parties has been entered. An appli-cation for withdrawal in accordance with this sub-section shall state that such an appearance hasbeen entered and that such party or parties arebeing represented by such other counsel at thetime of the application. Such an application maybe granted by the clerk as of course, if such anappearance by other counsel has been entered.

(c) In addition to the grounds set forth in subsec-tions (a), (b), and (d), a lawyer who represents aparty or parties on a limited basis in accordancewith Section 3-8 (b) and has completed his or herrepresentation as defined in the limited appear-ance, shall file a certificate of completion of limitedappearance on judicial branch form JD-CL-122.The certificate shall constitute a full withdrawal ofa limited appearance. Copies of the certificatemust be served in accordance with Sections 10-12 through 10-17 on the client, and all attorneysand self-represented parties of record.

(d) All appearances of counsel shall be deemedto have been withdrawn 180 days after the entryof judgment in any action seeking a dissolutionof marriage or civil union, annulment, or legal sep-aration, provided no appeal shall have beentaken. In the event of an appeal or the filing of amotion to open a judgment within such 180 days,all appearances of counsel shall be deemed tohave been withdrawn after final judgment on suchappeal or motion or within 180 days after the entryof the original judgment, whichever is later. Noth-ing herein shall preclude or prevent any attorneyfrom filing a motion to withdraw with leave of thecourt during that period subsequent to the entry ofjudgment. In the absence of a specific withdrawal,counsel will continue of record for all postjudg-ment purposes until 180 days have elapsed fromthe entry of judgment or, in the event an appealor a motion to open a judgment is filed within such180 day period, until final judgment on that appealor determination of that motion, whichever is later.

(e) Except as provided in subsections (a), (b),(c) and (d), no attorney shall withdraw his or herappearance after it has been entered upon therecord of the court without the leave of the court.

(f) All appearances in juvenile matters shall bedeemed to continue during the period of delin-quency probation, family with service needssupervision, or any commitment to the commis-sioner of the department of children and familiesor protective supervision. An attorney appointedby the chief public defender to represent a parentin a pending neglect or uncared for proceedingshall continue to represent the parent for any sub-sequent petition to terminate parental rights if theattorney remains under contract to the office ofthe chief public defender to represent parties in


child protection matters, the parent appears atthe first hearing on the termination petition andqualifies for appointed counsel, unless the attor-ney files a motion to withdraw pursuant to Section3-10 that is granted by the judicial authority or theparent requests a new attorney. The attorney shallrepresent the client in connection with appeals,subject to Section 35a-20, and with motions forreview of permanency plans, revocations or post-judgment motions and shall have access to anydocuments filed in court. The attorney for the childshall continue to represent the child in all proceed-ings relating to the child, including termination ofparental rights and during the period until finaladoption following termination of parental rights.

(P.B. 1978-1997, Sec. 77.) (Amended June 26, 2006, totake effect Jan. 1, 2007; amended June 30, 2008, to takeeffect Jan. 1, 2009; amended June 21, 2010, to take effectJan. 1, 2011; amended June 15, 2012, to take effect Jan. 1,2013; amended June 14, 2013, to take effect Oct. 1, 2013;amended June 24, 2016, to take effect Jan. 1, 2017.)

HISTORY—2017: Prior to 2017, subsection (a) read: ‘‘Anattorney or party whose appearance has been filed shall bedeemed to have withdrawn such appearance upon failure tofile a written objection within ten days after written notice hasbeen given or mailed to such attorney or party that a newappearance has been filed in place of the appearance of suchattorney or party in accordance with Section 3-8. An attorneyor party whose appearance is deemed to have been withdrawnmay file an appearance for the limited purpose of filing anobjection to the in lieu of appearance.’’

COMMENTARY—2017: Prior to 2013, the existing appear-ance in the file was deemed to be withdrawn only if no objectionto the in place of appearance was filed within ten days of thetime that written notice of the new appearance was given ormailed. Effective October 1, 2013, the time limit for filing anobjection was removed from Section 3-8 and an additionalprovision was added to permit an attorney or party to file anappearance for the limited purpose of objecting to an in placeof appearance. The revision to this section eliminates the tenday delay in the withdrawal of the existing appearance andprovides that the existing appearance is withdrawn upon thefiling of the in place of appearance. Maintaining two appear-ances in this situation is unnecessary, confusing to parties andcounsel, and potentially imposes legal or ethical obligationson an attorney who, in reality, should no longer have anyresponsibility for the client or the file. In the rare instance whenthe attorney or party does object to the in place of appearance,an appearance for the limited purpose of filing an objectionand an objection can be filed at any time.

Sec. 3-10. Motion to Withdraw Appearance(a) No motion for withdrawal of appearance

shall be granted unless good cause is shown anduntil the judicial authority is satisfied that reason-able notice has been given to other attorneys ofrecord and that the party represented by the attor-ney was served with the motion and the noticerequired by this section or that the attorney hasmade reasonable efforts to serve such party. Allmotions to withdraw appearance shall be setdown for argument and when the attorney files

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such motion, he or she shall obtain such argumentdate from the clerk.

(b) In civil and family cases, a motion to with-draw shall include the last known address of anyparty as to whom the attorney seeks to withdrawhis or her appearance and shall have attached toit a notice to such party advising of the following:(1) the attorney is filing a motion which seeks thecourt’s permission to no longer represent the partyin the case; (2) the date and time the motion willbe heard; (3) the party may appear in court onthat date and address the court concerning themotion; (4) if the motion to withdraw is granted,the party should either obtain another attorney orfile an appearance on his or her own behalf withthe court; and (5) if the party does neither, theparty will not receive notice of court proceedingsin the case and a nonsuit or default judgment maybe rendered against such party.

(c) In criminal and juvenile matters, the motionto withdraw shall comply with subsections (b)(1),(2) and (3) of this section and the client shall alsobe advised by the attorney that if the motion towithdraw is granted the client should request courtappointed counsel, obtain another attorney or filean appearance on his or her own behalf with thecourt and be further advised that if none is done,there may be no further notice of proceeding andthe court may act.

(d) In addition to the above, each motion towithdraw appearance and each notice to the partyor parties who are the subject of the motion shallstate whether the case has been assigned for pre-trial or trial and, if so, the date so assigned.

(e) The attorney’s appearance for the party shallbe deemed to have been withdrawn upon thegranting of the motion without the necessity offiling a withdrawal of appearance.

(P.B. 1978-1997, Sec. 77 (d).) (Amended June 26, 2000,to take effect Jan. 1, 2001; amended June 25, 2001, to takeeffect Jan. 1, 2002; amended June 21, 2004, to take effectJan. 1, 2005.)

Sec. 3-11. Appearance for Several PartiesWhere there are several plaintiffs or defend-

ants, the appearance shall state specifically eitherthat it is for all or that it is for certain specifiedparties; otherwise the appearance shall not beentered by the clerk.

(P.B. 1978-1997, Sec. 76.)

Sec. 3-12. Change in Name, Composition orMembership of a Firm or Professional Cor-poration(a) Whenever the appearance of a firm or pro-

fessional corporation (hereinafter collectivelyreferred to as ‘‘unit’’) has been entered upon therecord of the court and there is a change in the


name, composition or membership of such unit,it shall be the duty of such unit forthwith to notify,in writing, the director of court operations of thejudicial branch, giving the name, mailing addressand telephone number of the successor firm, pro-fessional corporation or individual who will con-tinue the major portion of such unit’s business. Incourt locations having access to the automatedroll of attorneys, upon receipt of such notice theappearance of such successor will be automati-cally entered in lieu of the appearance of the for-mer unit in all pending cases. In other courtlocations, unless such successor unit files a noticeto the clerks pursuant to Section 2-26 or withdrawsits appearance under the provisions of Section3-10, the former unit’s original appearance shallremain on file in each case in which it had beenentered and the clerk may rely on the informationcontained therein for the purpose of giving noticeto such unit regarding court activities involving thecases in which the unit remains active.

(b) In each case where such successor will nolonger represent the party or parties for whom theoriginal unit had entered an appearance, it is theduty of the new attorney who will represent suchparty or parties to enter an appearance, and it isthe duty of the successor firm, professional corpo-ration or individual to withdraw such unit’s appear-ance under the provisions of Section 3-10.

(P.B. 1978-1997, Sec. 78.)

Sec. 3-13. When Creditor May Appear andDefendIn any action in which property has been

attached, any person may appear and defend inthe name of the defendant, upon filing in the courtan affidavit that he or she is a creditor of thedefendant and has good reason to believe, anddoes believe, that the amount which the plaintiffclaims was not justly due at the commencementof the suit and that he or she is in danger of beingdefrauded by a recovery by the plaintiff, and upongiving bond with surety to the plaintiff, in suchamount as the judicial authority approves, for thepayment of such costs as the plaintiff may there-after recover. If the plaintiff recovers the wholeclaim, costs shall be taxed against the defendantto the time of the appearance of such creditor,and for the residue of the costs such creditor shallbe liable upon his or her bond; if only a part ofthe plaintiff’s claim is recovered, the whole costsshall be taxed against the defendant, and thecreditor shall not be liable for the same; if judg-ment is rendered in favor of the defendant, costsshall be taxed in his or her favor against the plain-tiff, but the judicial authority may order that thejudgment and execution therefor shall belong to

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such creditor. No creditor so appearing shall bepermitted to file a motion to dismiss, or to pleador give in evidence the statute of limitations, or toplead that the contract was not in writing accordingto the requirements of the statute, or to plead anyother statutory defense consistent with the justiceof the plaintiff’s claim. (See General Statutes § 52-86 and annotations.)

(P.B. 1978-1997, Sec. 79.)

Sec. 3-14. Legal InternsAn eligible legal intern may, under supervision

by a member of the Connecticut bar as providedin Section 3-15, appear in court with the approvalof the judicial authority or before an administrativetribunal, subject to its permission, on behalf of anyperson, if that person has indicated in writing hisor her consent to the intern’s appearance and thesupervising attorney has also indicated in writingapproval of that appearance.

(P.B. 1978-1997, Sec. 68.)

Sec. 3-15. —Supervision of Legal InternsThe member of the bar under whose supervi-

sion an eligible legal intern does any of the thingspermitted by these rules shall:

(1) be an attorney who has been admitted tothe Connecticut bar for at least three years, orone who is employed by an attorney of five years’standing, or one who is employed by an accred-ited law school in Connecticut, or one who isapproved as a supervising attorney by the presid-ing judge in the case at bar;

(2) assume personal professional responsibilityfor the intern’s work;

(3) assist the intern in his or her preparation tothe extent the supervising attorney considers nec-essary;

(4) be present in court with the intern.(P.B. 1978-1997, Sec. 69.)

Sec. 3-16. —Requirements and Limitations(a) In order to appear pursuant to these rules,

the legal intern must:(1) be certified by a law school approved by

the American Bar Association or by the state barexamining committee of the superior court;

(2) have completed legal studies amounting toat least two semesters of credit in a three or fouryear course of legal studies, or the equivalent ifthe school is on some basis other than a semesterbasis except that the dean may certify a studentunder this section who has completed less thantwo semesters of credit or the equivalent to enablethat student to participate in a faculty supervisedlaw school clinical program;


(3) be certified by the dean of his or her lawschool as being of good character and competentlegal ability;

(4) be introduced to the court in which he or sheis appearing by an attorney admitted to practice inthat court;

(5) comply with the provisions of Section 3-21 if enrolled in a law school outside the stateof Connecticut.

(b) A legal intern may not be employed or com-pensated directly by a client for services rendered.This section shall not prevent an attorney, legalaid bureau, law school, public defender agencyor the state from compensating an eligible intern.


Sec. 3-17. —Activities of Legal Intern(a) The legal intern, supervised in accordance

with these rules, may appear in court or at otherhearings in the following situations:

(1) where the client is financially unable to affordcounsel; or

(2) where the intern is assisting a privatelyretained attorney; or

(3) where the intern is assisting an establishedlegal aid bureau or organization, a public defenderor prosecutor’s office, or a state agency.

(b) In each case, the written consent andapproval referred to in Section 3-14 shall be filedin the record of the case and shall be brought tothe attention of the judicial authority or the presid-ing officer of the administrative tribunal.

(c) In addition, an intern may, under the supervi-sion of a member of the bar:

(1) prepare pleadings and other documents tobe filed in any matter;

(2) prepare briefs, abstracts and other doc-uments.

(d) Each document or pleading must containthe name of the intern who participated in draftingit and must be signed by the supervising attorney.

(P.B. 1978-1997, Sec. 71.)

Sec. 3-18. —Certification of InternThe certification of an intern by the law

school dean:(1) shall be filed with the clerk of the superior

court in Hartford and, unless it is sooner with-drawn, shall remain in effect until the announce-ment of the results of the second Connecticut barexamination following the intern’s graduation. For

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any intern who passes that examination, the certi-fication shall continue in effect until the date ofadmission to the bar.

(2) shall terminate if the intern, prior to gradua-tion, is no longer duly enrolled in an accreditedlaw school.

(3) may be terminated by the dean at any timeby mailing a notice to that effect to the clerk ofthe superior court in Hartford and to the intern. Itis not necessary that the notice to the superiorcourt state the cause for termination.

(4) may be terminated by the superior court atany time upon notice to the intern, to the deanand to the superior court in Hartford.

(P.B. 1978-1997, Sec. 72.)

Sec. 3-19. —Legal Internship CommitteeThere shall be established a legal internship

committee appointed by the chief justice and com-posed of four judges, four practicing attorneys,three law professors, and three law students. Thiscommittee shall consult with the deans of lawschools located in Connecticut, review the prog-ress of the legal internship program, and considerany complaints or suggestions regarding theprogram.

(P.B. 1978-1997, Sec. 73.)

Sec. 3-20. —Unauthorized PracticeNothing contained in these rules shall affect the

right of any person who is not admitted to thepractice of law to do anything that he or she mightlawfully do prior to their adoption, nor shall theyenlarge the rights of persons, not members of thebar or legal interns covered by these rules, toengage in activities customarily considered to bethe practice of law.

(P.B. 1978-1997, Sec. 74.)

Sec. 3-21. —Out-of-State InternsA legal intern who is certified under a legal

internship program or student practice rule inanother state or in the District of Columbia mayappear in a court or before an administrative tribu-nal of Connecticut under the same circumstancesand on the same conditions as those applicableto certified Connecticut legal interns, if the out-of-state intern files with the clerk of the superior courtin Hartford, with a copy to the legal internshipcommittee, a certification by the dean of his orher law school of his or her admission to internshipor student practice in that state or in the Districtof Columbia, together with the text of that state’sor the District of Columbia’s applicable statute orrule governing such admissions.

(P.B. 1978-1997, Sec. 75.)


CHAPTER 4

PLEADINGS

Sec. Sec.4-1. Form of Pleading4-2. Signing of Pleading4-3. Filing and Endorsing Pleadings4-4. Electronic Filing4-5. Notice Required for Ex Parte Temporary Injunctions


Sec. 4-1. Form of Pleading(a) All documents filed in paper format shall be

typed or printed on size 81/2 by 11 inch paper, shallhave no back or cover sheet, and shall include apage number on each page other than the firstpage. Those subsequent to the complaint shallbe headed with the title and number of the case,the name of the court, and the date and designa-tion of the particular pleading, in conformity withthe applicable form in the rules of practice whichis set forth in the Appendix of Forms in this volume.

(b) At the bottom of the first page of each paper,a blank space of approximately two inches shallbe reserved for notations of receipt or time offiling by the clerk and for statements by counselpursuant to Section 11-18 (a) (2). Papers shall bepunched with two holes, two and twelve-six-teenths inches apart, each centered seven-six-teenths of an inch from the upper edge, one beingtwo and fourteen-sixteenths inches from the left-hand edge and the other being the same distancefrom the right-hand edge, and each four-six-teenths of an inch in diameter.

(c) All documents filed electronically shall bein substantially the same format as required bysubsection (a) of this section.

(d) The clerk may require a party to correct anyfiled paper which is not in compliance with thissection by substituting a paper in proper form.

(e) This section shall not apply to forms suppliedby the Judicial Branch or generated by the elec-tronic filing system.

(P.B. 1978-1997, Sec. 118.) (Amended Aug. 24, 2001, totake effect Jan. 1, 2002; amended June 20, 2011, to takeeffect Jan. 1, 2012; amended June 13, 2014, to take effectJan. 1, 2015.)

Sec. 4-2. Signing of Pleading(a) Every pleading and other paper of a party

represented by an attorney shall be signed byat least one attorney of record in the attorney’sindividual name. A party who is not representedby an attorney shall sign his or her pleadings and

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4-6. Page Limitations for Briefs, Memoranda of Law andReply Memoranda

4-7. Personal Identifying Information to Be Omitted orRedacted from Court Records in Civil and FamilyMatters

other papers. The name of the attorney or partywho signs such document shall be legibly typedor printed beneath the signature.

(b) The signing of any pleading, motion, objec-tion or request shall constitute a certificate thatthe signer has read such document, that to thebest of the signer’s knowledge, information andbelief there is good ground to support it, that it isnot interposed for delay, and that the signer hascomplied with the requirements of Section 4-7regarding personal identifying information. Eachpleading and every other court-filed documentsigned by an attorney or party shall set forth thesigner’s telephone number and mailing address.

(c) An attorney may assist a client in preparinga pleading, motion or other document to be signedand filed in court by the client. In such cases, theattorney shall insert the notation ‘‘prepared withassistance of counsel’’ on any pleading, motionor document prepared by the attorney. The attor-ney is not required to sign the pleading, motionor document and the filing of such a pleading,motion or document shall not constitute anappearance by the attorney.

(P.B. 1978-1997, Sec. 119.) (Amended June 22, 2009, totake effect Jan. 1, 2010; amended June 14, 2013, to takeeffect Oct. 1, 2013.)

Sec. 4-3. Filing and Endorsing PleadingsAll pleadings, written motions, and papers in

pending cases shall be filed with and kept by theclerk of the court, who shall endorse upon eachthe time when it is filed, and make a like entryupon the clerk’s docket and the file.

(P.B. 1978-1997, Sec. 127.)

Sec. 4-4. Electronic FilingPapers may be filed, signed or verified by elec-

tronic means that comply with procedures andtechnical standards established by the office ofthe chief court administrator, which may also setforth the manner in which such papers shall bekept by the clerk. A paper filed by electronic


means in compliance with such procedures andstandards constitutes a written paper for the pur-pose of applying these rules.


Sec. 4-5. Notice Required for Ex Parte Tem-porary Injunctions(a) No temporary injunction shall be granted

without notice to each opposing party unless theapplicant certifies one of the following to the courtin writing:

(1) facts showing that within a reasonable timeprior to presenting the application the applicantgave notice to each opposing party of the timewhen and the place where the application wouldbe presented and provided a copy of the applica-tion; or

(2) the applicant in good faith attempted butwas unable to give notice to an opposing party orparties, specifying the efforts made to contactsuch party or parties; or

(3) facts establishing good cause why the appli-cant should not be required to give notice to eachopposing party.

(b) When an application for a temporary injunc-tion is granted without notice or without a hearing,the court shall schedule an expeditious hearingas to whether the temporary injunction shouldremain in effect. Any temporary injunction whichwas granted without a hearing shall automaticallyexpire thirty days following its issuance, unlessthe court, following a hearing, determines that saidinjunction should remain in effect.

(c) For purposes of this rule, notice to theopposing party means notice to the opposing par-ty’s attorney if the applicant knows who the oppos-ing party’s attorney is; if the applicant does notknow who the opposing party’s attorney is, noticeshall be given to the opposing party. If the tempo-rary injunction is sought against the state of Con-necticut, a city or town, or an officer or agencythereof, notice shall be given to the attorney gen-eral or to the city or town attorney or corporationcounsel, as the case may be.

(d) This section shall not apply to applicationsfor relief from physical abuse filed pursuant toGeneral Statutes § 46b-15 or to motions for ordersof temporary custody in juvenile matters filed pur-suant to General Statutes § 46b-129.


Sec. 4-6. Page Limitations for Briefs, Memo-randa of Law and Reply Memoranda(Amended June 12, 2015, to take effect Jan. 1, 2016.)(a) The text of any trial brief or any other brief

concerning a motion in any case shall not exceed

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thirty-five pages without permission of the judicialauthority. The judicial authority may also permitthe filing of a supplemental brief of a particularnumber of pages. The text of any brief shall bedouble-spaced and the type font shall be nosmaller than 12 point. The judicial authority mayin its discretion limit the number of pages of anybrief to less than thirty-five.

(b) Any reply memorandum filed pursuant toSection 11-10 (b) shall not exceed ten pages with-out the permission of the judicial authority.


Sec. 4-7. Personal Identifying Information toBe Omitted or Redacted from Court Recordsin Civil and Family Matters(a) As used in this section, ‘‘personal identifying

information’’ means: an individual’s date of birth;mother’s maiden name; motor vehicle operator’slicense number; Social Security number; othergovernment issued identification number exceptfor juris, license, permit or other business relatedidentification numbers that are otherwise madeavailable to the public directly by any governmentagency or entity; health insurance identificationnumber; or any financial account number, securitycode or personal identification number (PIN). Forpurposes of this section, a person’s name is spe-cifically excluded from this definition of personalidentifying information unless the judicial authorityhas entered an order allowing the use of a pseud-onym in place of the name of a party. If such anorder has been entered, the person’s name isincluded in this definition of ‘‘personal identi-fying information.’’

(b) Persons who file documents with the courtshall not include personal identifying information,and if any such personal identifying informationis present, shall redact it from any documents filedwith the court, whether filed in electronic or paperformat, unless otherwise required by law orordered by the court. The party filing the redacteddocuments shall retain the original unredacteddocuments throughout the pendency of the action,any appeal period, and any applicable appellateprocess.

(c) The responsibility for omitting or redactingpersonal identifying information rests solely withthe person filing the document. The court or theclerk of the court need not review any filed docu-ment for compliance with this rule.



CHAPTER 5

TRIALS

Sec. Sec.5-1. Trial Briefs5-2. Raising Questions of Law Which May Be the Subject

of an Appeal5-3. Administering Oath5-4. Examination of Witnesses5-5. Objections to Evidence; Interlocutory Questions;

Exceptions Not Required5-6. Reception of Evidence Objected to5-7. Marking Exhibits5-8. Interlocutory Matters


Sec. 5-1. Trial BriefsThe parties shall, if the judicial authority so

orders, file, at such time as the judicial authorityshall determine, written trial briefs discussing theissues in the case and the factual or legal basisupon which they ought to be resolved.

(P.B. 1978-1997, Sec. 285A.) (Amended June 14, 2013,to take effect Jan. 1, 2014.)

Sec. 5-2. Raising Questions of Law WhichMay Be the Subject of an AppealAny party intending to raise any question of law

which may be the subject of an appeal must eitherstate the question distinctly to the judicial authorityin a written trial brief under Section 5-1 or statethe question distinctly to the judicial authority onthe record before such party’s closing argumentand within sufficient time to give the opposingcounsel an opportunity to discuss the question. Ifthe party fails to do this, the judicial authority willbe under no obligation to decide the question.

(See Secs. 877, 285A, P.B.1978-1997.)(P.B. 1998.)

Sec. 5-3. Administering OathThe oath or affirmation shall be administered

deliberately and with due solemnity, as the wit-ness takes the stand. The reporter shall note bywhom it was administered.

(P.B. 1978-1997, Sec. 286.)

Sec. 5-4. Examination of WitnessesThe counsel who commences the examination

of a witness, either in chief or on cross-examina-tion, must alone conduct it; and no associatecounsel will be permitted to interrogate the wit-ness, except by permission of the judicialauthority.

(P.B. 1978-1997, Secs. 287, 875.)

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5-9. Citation of Opinion Not Officially Published[Repealed]

5-10. Sanctions for Counsel’s Failure to Appear5-11. Testimony of Party or Child in Family Relations Matter

When Protective Order, Restraining Order, Stand-ing Criminal Protective Order or Standing CriminalRestraining Order Issued on Behalf of Party orChild

Sec. 5-5. Objections to Evidence; Interlocu-tory Questions; Exceptions Not RequiredWhenever an objection to the admission of evi-

dence is made, counsel shall state the groundsupon which it is claimed or upon which objectionis made, succinctly and in such form as he orshe desires it to go upon the record, before anydiscussion or argument is had. Argument uponsuch objection or upon any interlocutory questionarising during the trial of a case shall not be madeby either party unless the judicial authorityrequests it and, if made, must be brief and tothe point.

(P.B. 1978-1997, Secs. 288, 850A.)

Sec. 5-6. Reception of Evidence Objected toWhenever evidence offered upon trial is

objected to as inadmissible, the judicial authorityor committee trying such case shall not admit suchevidence subject to the objection, unless both par-ties agree that it be so admitted; but, if either partyrequests a decision, such judicial authority orcommittee shall pass upon such objection andadmit or reject the testimony. (See General Stat-utes § 52-208 and annotations.)

(P.B. 1978-1997, Sec. 289.)

Sec. 5-7. Marking ExhibitsUnless otherwise ordered by the judicial author-

ity, the clerk shall mark all exhibits not marked inadvance of trial and shall keep a list of all exhibitsmarked for identification or received in evidenceduring the course of the trial.

(P.B. 1978-1997, Sec. 291.)

Sec. 5-8. Interlocutory MattersNo more than one counsel on each side shall

be heard on any question of evidence, or upon any


interlocutory motion or motion to dismiss, withoutpermission of the judicial authority.

(P.B. 1978-1997, Sec. 293.)

Sec. 5-9. Citation of Opinion Not OfficiallyPublished[Repealed as of Jan. 1, 2014.]

Sec. 5-10. Sanctions for Counsel’s Failureto AppearCounsel who fails to appear on a scheduled

date for any hearing or trial or who requests acontinuance without cause or in any other waydelays a case unnecessarily will be subject tosanctions pursuant to General Statutes § 51-84.

(P.B. 1978-1997, Sec. 983.)

Sec. 5-11. Testimony of Party or Child inFamily Relations Matter When ProtectiveOrder, Restraining Order, Standing CriminalProtective Order or Standing CriminalRestraining Order Issued on Behalf of Partyor Child(Amended June 20, 2011, to take effect Jan. 1, 2012.)(a) In any court proceeding in a family relations

matter, as defined in General Statutes § 46b-1,or in any proceeding pursuant to General Statutes§ 46b-38c, the court may, except as otherwise

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required by law and within available resources,upon motion of any party, order that the testimonyof a party or a child who is a subject of the pro-ceeding be taken outside the physical presenceof any other party if a protective order, restrainingorder, standing criminal protective order or stand-ing criminal restraining order has been issued onbehalf of the party or child, and the other party issubject to the protective order or restraining order.Such order may provide for the use of alternativemeans to obtain the testimony of any party orchild, including, but not limited to, the use of asecure video connection for the purpose of con-ducting hearings by videoconference. Such testi-mony may be taken outside the courtroom or atanother location inside or outside the state. Thecourt shall provide for the administration of anoath to such party or child prior to the taking ofsuch testimony as required by law.

(b) Nothing in this section shall be construed tolimit any party’s right to cross-examine a witnesswhose testimony is taken pursuant to an orderunder subsection (a) hereof.

(c) An order under this section may remain ineffect during the pendency of the proceedings inthe family relations matter.



CHAPTER 6

JUDGMENTS

Sec. Sec.6-1. Statement of Decision; When Required6-2. Judgment Files; Captions and Contents6-3. —Preparation; When; By Whom; Filing


Sec. 6-1. Statement of Decision; WhenRequired(a) The judicial authority shall state its decision

either orally or in writing, in all of the following:(1) in rendering judgments in trials to the court incivil and criminal matters, including rulings regard-ing motions for stay of execution, (2) in rulingon aggravating and mitigating factors in capitalpenalty hearings conducted to the court, (3) inruling on motions to dismiss under Sections 41-8through 41-11, (4) in ruling on motions to suppressunder Sections 41-12 through 41-17, (5) in grant-ing a motion to set aside a verdict under Sections16-35 through 16-38, and (6) in making any otherrulings that constitute a final judgment for pur-poses of appeal under General Statutes § 52-263,including those that do not terminate the proceed-ings. The judicial authority’s decision shall encom-pass its conclusion as to each claim of law raisedby the parties and the factual basis therefor. Iforal, the decision shall be recorded by a courtreporter and, if there is an appeal, the trial judgeshall create a memorandum of decision for usein the appeal by ordering a transcript of the portionof the proceedings in which it stated its oral deci-sion. The transcript of the decision shall be signedby the trial judge and filed in the trial courtclerk’s office.

This section does not apply in small claimsactions and to matters listed in subsection (b).

(b) In any uncontested matter where no aspectof the matter is in dispute, in a pendente lite familyrelations matter whether contested or uncon-tested, or in any dismissal under Section 14-3,the oral or written decision as provided in subsec-tion (a) is not required, except as provided in sub-section (c). The clerk of the trial court shall,however, promptly notify the trial judge of the filingof the appeal.

(c) Within twenty days from the filing of anappeal from a contested pendente lite order orfrom a dismissal under Section 14-3 in which anoral or written decision has not been made pursu-ant to subsection (b), each party to the appeal

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6-4. —Signing of Judgment File6-5. —Notation of Satisfaction

shall file a brief with the trial court discussing thelegal and factual issues in the matter. Withintwenty days after the briefs have been filed bythe parties, the judicial authority shall file a writtenmemorandum of decision stating the factual basisfor its decision on the issues in the matter andits conclusion as to each claim of law raised bythe parties.


Sec. 6-2. Judgment Files; Captions andContentsThe name and residence of every party to the

action, at the date of judgment, must be given inthe caption of every judgment file. In the captionsof pleas, answers, etc., the parties may bedescribed as John Doe v. Richard Roe et al., butthis will not be sufficient in a judgment file, whichmust give all the data necessary for use in drawingany execution that may be necessary. All judg-ment files in actions for dissolution of marriage orcivil union, legal separation and annulment shallstate the date and place, including the city or town,of the marriage and the jurisdictional facts asfound by the judicial authority upon the hearing.


Sec. 6-3. —Preparation; When; By Whom;Filing(a) Judgment files in civil, criminal, family and

juvenile cases shall be prepared when: (1) anappeal is taken; (2) a party requests in writing thatthe judgment be incorporated into a judgment file;(3) a judgment has been entered involving thegranting of a dissolution of marriage or civil union,a legal separation, an annulment, injunctive relief,or title to property (including actions to quiet titlebut excluding actions of foreclosure), except inthose instances where judgment is entered insuch cases pursuant to Section 14-3 and noappeal has been taken from the judicial authority’sjudgment; (4) a judgment has been entered in ajuvenile matter involving allegations that a child


has been neglected, abused, or uncared for, orinvolving termination of parental rights, commit-ment of a delinquent child or commitment of achild from a family with service needs; (5) in crimi-nal cases, sentence review is requested; or (6)ordered by the judicial authority.

(b) Unless otherwise ordered by the judicialauthority, the judgment file in juvenile cases shallbe prepared by the clerk and in all other cases,in the clerk’s discretion, by counsel or the clerk.As to judgments of foreclosure, the clerk’s officeshall prepare a certificate of judgment in accord-ance with a form prescribed by the chief courtadministrator only when requested in the eventof a redemption. In those cases in which a plaintiffhas secured a judgment of foreclosure underauthority of General Statutes § 49-17, whenrequested, the clerk shall prepare a decree offoreclosure in accordance with a form prescribedby the chief court administrator.

(c) Judgment files in family cases shall be filedwithin sixty days of judgment.

(P.B. 1978-1997, Sec. 337.) (Amended June 26, 2006, totake effect Jan. 1, 2007; amended June 15, 2012, to takeeffect Jan. 1, 2013; amended June 13, 2014, to take effectJan. 1, 2015.)

Sec. 6-4. —Signing of Judgment File(a) Except as hereinafter provided, the judg-

ment file, where it is necessary that it be preparedpursuant to Section 6-3, shall be signed by theclerk or assistant clerk unless otherwise orderedby the judicial authority.

(b) In all actions involving dissolution of mar-riage or civil union where counsel have appearedfor both the plaintiff and the defendant, unless thejudicial authority shall order otherwise, counselfor the parties shall endorse their approval of thejudgment file immediately below the line for thesubscribing authority in the following words: "I

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hereby certify that the foregoing judgment file con-forms to the judgment entered by the court"; theclerk or assistant clerk, after ascertaining that theterms of the judgment have been correctly incor-porated into the judgment file, may sign any judg-ment file so endorsed.

(c) In those cases in which there is no provisionin this section for a clerk to sign a judgment fileand in which a case has been tried and judgmenthas been directed in open court or by memoran-dum of decision and the trial judge shall die orbecome incapacitated before the judgment file issigned, any judge holding such court may exam-ine the docket and file and, if it appears therefromthat the issues have been definitely decided andthat the only thing remaining to be done is thesigning of the judgment file, the judgment file maybe drawn up by that judge or under that judge’sdirection and signed by him or her.

(d) Whenever a clerk or assistant clerk signs ajudgment file, the signer’s name shall be legiblytyped or printed beneath such signature.


Sec. 6-5. —Notation of SatisfactionWhen the judgment is satisfied in a civil action,

the party recovering the judgment shall file writtennotice thereof with the clerk, who shall endorsejudgment satisfied on the judgment file, if there isone, and make a similar notation on the file anddocket sheet, giving the name of the party andthe date. An execution returned fully satisfied shallbe deemed a satisfaction of judgment and thenotice required in this section shall not be filed.The judicial authority may, upon motion, make adetermination that the judgment has been sat-isfied.



CHAPTER 7

CLERKS; FILES AND RECORDS

Sec. Sec.7-1. Dockets; Clerk’s Records7-2. General Duties of Clerk7-3. Financial Accounts7-4. Daybook7-4A. Identification of Cases7-4B. Motion to File Record under Seal7-4C. Lodging a Record7-5. Notice to Attorneys and Self-Represented Parties7-6. Filing of Papers7-7. Custody of Files7-8. Lost File or Pleading7-9. Completing Records7-10. Retention and Destruction of Files and Records;

Withdrawals, Dismissals, Satisfactions ofJudgment


Sec. 7-1. Dockets; Clerk’s RecordsThe clerk shall keep a record of all pending

cases, including applications and petitions madeto the court, together with a record of each paperfiled and order made or judgment renderedtherein, with the date of such filing, making orrendition. Duplicates of these records shall bekept with the original file in the case.

(P.B. 1978-1997, Sec. 250.)

Sec. 7-2. General Duties of ClerkThe clerk at each court location shall receive

files, processes and documents, make records ofall proceedings required to be recorded, have thecustody of the files and records of the court loca-tion except those sent to the records center, makeand certify true copies of the files and records atthe court location of which each is the clerk, makeand keep dockets of causes therein, issue execu-tions on judgments and perform all other dutiesimposed on such clerks by law. Each such clerkshall collect and receive all fines and forfeituresimposed or decreed by the court, including finespaid after commitment. (See General Statutes§ 51-52 and annotations.)

(P.B. 1978-1997, Sec. 395.)

Sec. 7-3. Financial AccountsThe clerk shall make and keep adequate

accounts showing all receipts and disbursements.Records of such accounts shall be retained forsuch period as determined by the chief courtadministrator.

(P.B. 1978-1997, Sec. 396.)

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7-11. —Judgments on the Merits—Stripping and Retention7-12. —Actions Affecting the Title to Land7-13. —Criminal/Motor Vehicle Files and Records7-14. —Reports from Adult Probation and Family Division7-15. —Retention Ordered by Chief Court Administrator;

Transfer to State Library7-16. —Motion to Prevent Destruction of File7-17. Clerks’ Offices7-18. Hospital, Psychiatric and Medical Records7-19. Issuing Subpoenas for Witnesses on Behalf of Self-

Represented Litigants7-20. Records of Short Calendar Matters7-21. Removing Exhibits and Other Papers

Sec. 7-4. DaybookThe clerk shall keep daybooks in which to enter

each case on the date upon which the matter isfiled on a docket of the court location. Each entryshall state the first named plaintiff and the firstnamed defendant, unless otherwise prohibited bystatute or ordered by the judicial authority, thedate of filing and the number assigned to the case.Daybooks shall be retained for a period deter-mined by the chief court administrator.

(P.B. 1978-1997, Sec. 397.)

Sec. 7-4A. Identification of CasesExcept as otherwise required by statute, every

case filed in the superior court shall be identifiedas existing in the records of the court by docketnumber and by the names of the parties, and thisinformation shall be available to the public.

(Adopted May 14, 2003, to take effect July 1, 2003.)COMMENTARY—2003: In all cases brought, the records

of the clerk’s office shall reflect a docket number and namesof the parties involved. This information shall be available toany member of the public who shall request such information.The names of the parties reflected in the records of the clerk’soffice shall reflect the true identity of the parties unless permis-sion has been granted for use of a pseudonym pursuant toSection 11-20A. If a motion for use of a pseudonym is granted,then the records of the clerk’s office shall reflect thatpseudonym.

Sec. 7-4B. Motion to File Record under Seal(a) As used in this section, ‘‘record’’ means any

affidavit, document, or other material.(b) A party filing a motion requesting that a

record be filed under seal or that its disclosurebe limited shall lodge the record with the court


pursuant to Section 7-4C when the motion is filed,unless the judicial authority, for good causeshown, orders that the record need not be lodged.The motion must be accompanied by an appro-priate memorandum of law to justify the sealingor limited disclosure.

(c) If necessary to prevent disclosure, themotion, any objection thereto, and any supportingrecords must be filed in a public redacted versionand lodged in a nonredacted version conditionallyunder seal.

(d) If the judicial authority denies the motion toseal or to limit disclosure, the clerk shall either (1)return the lodged record to the submitting partyand shall not place it in the court file or (2) uponwritten request of the submitting party retain therecord as a lodged record so that in the event thesubmitting party appeals the denial of the motion,the lodged record can be part of the record onappeal of the final judgment in the case. In thelatter event or if the judicial authority grants themotion, the clerk shall follow the procedure setforth in Section 7-4C (e). If the lodged record isretained pursuant to (2) above, the clerk shallreturn it to the submitting party or destroy it uponthe expiration of the appeal period if no appealhas been filed.

(Adopted May 14, 2003, to take effect July 1, 2003;amended June 21, 2004, to take effect Jan. 1, 2005.)

COMMENTARY—2003: Sections 7-4B and 7-4C are nec-essary to provide a uniform procedure for the filing of motionsto seal records and the processing of such motions by theclerks. These rules are based on Rule 243.2 of the CaliforniaRules of Court.

HISTORY—2005: In 2005, the words ‘‘or limited disclosure’’were added to the end of subsection (b).

COMMENTARY—2005: The above change made the ruleinternally consistent.

Sec. 7-4C. Lodging a Record(a) A ‘‘lodged’’ record is a record that is tempo-

rarily placed or deposited with the court but notfiled.

(b) A party who moves to file a record underseal or to limit its disclosure shall put the record ina manila envelope or other appropriate container,seal the envelope or container, and lodge it withthe court.

(c) The party submitting the lodged record mustaffix to the envelope or container a cover sheetthat contains the case caption and docket number,the words ‘‘Conditionally Under Seal,’’ the nameof the party submitting the record and a statementthat the enclosed record is subject to a motion tofile the record under seal.

(d) Upon receipt of a record lodged under thissection, the clerk shall note on the affixed coversheet the date of its receipt and shall retain butnot file the record unless the court orders it filed.

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(e) If the judicial authority grants the motion toseal the record or to limit its disclosure, the clerkshall prominently place on the envelope or con-tainer in bold letters the words ‘‘Sealed by Orderof the Court on (Date)’’ or ‘‘Disclosure Limitedby Order of the Court on (Date),’’ as appro-priate, and shall affix to the envelope or containera copy of the court’s order and the public redactedversion of the motion. If the judicial authoritydenies the motion and the submitting partyrequests in writing that the record be retained asa lodged record, the clerk shall prominently placeon the envelope or container in bold letters thewords ‘‘Motion Denied, Retain as LodgedRecord’’ and shall affix to the envelope or con-tainer a copy of the court’s order and the publicredacted version of the motion.

(Adopted May 14, 2003, to take effect July 1, 2003.)

Sec. 7-5. Notice to Attorneys and Self-Rep-resented PartiesThe clerk shall give notice, by mail or by elec-

tronic delivery, to the attorneys of record and self-represented parties unless otherwise provided bystatute or these rules, of all judgments, nonsuits,defaults, decisions, orders and rulings unlessmade in their presence. The clerk shall record inthe court file the date of the issuance of the notice.


Sec. 7-6. Filing of PapersNo document in any case shall be filed by the

clerk unless it has been signed by counsel or aself-represented party and contains the title ofthe case to which it belongs, the docket numberassigned to it by the clerk and the nature of thedocument. The document shall contain a certifica-tion of service in accordance with Sections 10-12through 10-17, and, if required by Section 11-1,a proper order and order of notice if one or bothare necessary.

(P.B. 1978-1997, Sec. 399.)

Sec. 7-7. Custody of FilesClerks will not permit files, records, transcripts,

or exhibits to be taken from their offices, exceptfor use in the courtroom or upon order of a judicialauthority. No person shall take any file from thecustody of the clerk or from the courtroom withoutthe express authority of a judicial authority or aclerk of the court and unless a proper receipt isgiven to the clerk on a form prescribed by theoffice of the chief court administrator.

(P.B. 1978-1997, Sec. 400.)


Sec. 7-8. Lost File or PleadingIf any file or pleading be mislaid, lost or

destroyed the clerk may permit the original dupli-cate or a sworn copy to be substituted therefor inthe files, and such substitution shall be certifiedby the clerk thereon.

(P.B. 1978-1997, Sec. 402.)

Sec. 7-9. Completing RecordsThe clerk may, when so directed by a judicial

authority, make up, amend and complete anyimperfect or unfinished record in such manneras the judicial authority may direct. (See GeneralStatutes § 51-52a (b).)

(P.B. 1978-1997, Sec. 403.)

Sec. 7-10. Retention and Destruction ofFiles and Records; Withdrawals, Dismiss-als, Satisfactions of JudgmentThe files in all civil, family and juvenile actions,

including summary process and small claims,which, before a final judgment has been renderedon the issues, have been terminated by the filingof a withdrawal or by a judgment of dismissal ornonsuit when the issues have not been resolvedon the merits or upon motion by any party or thecourt, or in which judgment for money damagesonly has been rendered and a full satisfaction ofsuch judgment has been filed, may be destroyedupon the expiration of one year after such termina-tion or the rendition of such judgment.

(P.B. 1978-1997, Sec. 403B.) (Amended June 29, 1998,to take effect Jan. 1, 1999.)

Sec. 7-11. —Judgments on the Merits—Stripping and Retention(a) With the exception of actions which affect

the title to land and actions which have been dis-posed of pursuant to Section 7-10, the files in civil,family and juvenile actions in which judgment hasbeen rendered may be stripped and destroyedpursuant to the schedule set forth in subsection(d) below, except that requests relating to discov-ery, responses and objections thereto may bestripped after the expiration of the appeal period.

(b) When a file is to be stripped, all papers inthe file shall be destroyed except:

(1) The complaint, including any amendmentthereto, substituted complaint or amended com-plaint;

(2) All orders of notice, appearances and offi-cers’ returns;

(3) All military or other affidavits;(4) Any cross complaint, third-party complaint,

or amendment thereto;(5) All responsive pleadings;(6) Any memorandum of decision;

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(7) The judgment file or notation of the entry ofjudgment, and all modifications of judgment;

(8) All executions issued and returned.(c) Upon the expiration of the stripping date, or

at any time if facilities are not available for localretention, the file in any action set forth in subsec-tion (d) may be transferred to the records centeror other proper designated storage area, whereit shall be retained for the balance of the retentionperiod. Files in actions concerning dissolution ofmarriage or civil union, legal separation, or annul-ment may, upon agreement with officials of thestate library, be transferred to the state library atthe expiration of their retention period.

(d) The following is a schedule which sets forthwhen a file may be stripped and the length oftime the file shall be retained. The time periodsindicated below shall run from the date judgmentis rendered, except receivership actions or actionsfor injunctive relief, which shall run from the dateof the termination of the receivership or injunction.

Type of Case Stripping RetentionDate Date

(1) Administrative appeals 3 years

(2) Contracts (where money dam- 1 year 20 yearsages are not awarded)

(3) Eminent domain (except as 10 yearsprovided in Section 7-12)

(4) Family-Dissolution of marriage or civil 5 years 75 yearsunion, legal separation, annul-ment and change of name-Delinquency Until subject is 25

years of age-Family with service needs Until subject is 25

years of age-Termination of parental rights Permanent-Neglect and uncared for 75 years-Emancipation of minor 5 years-Orders in relief from physical 5 yearsabuse (General Statutes§ 46b-15)-Other 75 years

(5) Family support magistrate 75 yearsmatters-Uniform reciprocal enforce- 6 years afterment of support youngest child

reaches majorityage or after activ-ity ceases, which-ever is shorter,subject to federallaw on filing anamended taxreturn

-Uniform Interstate Family Sup- 6 years afterport Act youngest child

reaches majorityage or after activ-ity ceases, which-ever is shorter,


subject to federallaw on filing anamended taxreturn

(6) Landlord/Tenant-Summary process 3 years-Housing code enforcement 5 years(General Statutes § 47a-14h)-Contracts/Leases (where 1 year 20 yearsmoney damages are notawarded)-Money damages (except 1 year 26 yearswhere a satisfaction of judg-ment has been filed)

(7) Miscellaneous-Bar discipline 50 years-Money damages (except 1 year 26 yearswhere a satisfaction of judg-ment has been filed)-Mandamus, habeas corpus, 10 yearsarbitration, petition for new trial,action for an accounting, inter-pleader-Injunctive relief (where no 5 yearsother relief is requested)

(8) Property (except as provided 5 years 26 yearsin Section 7-12)

(9) Receivership 10 years

(10) Small Claims 15 years

(11) Torts (except as noted below) 1 year 26 years-Money damages if the judg- Permanentment was rendered in an actionto recover damages for per-sonal injury caused by sexualassault where the party at faultwas convicted under GeneralStatutes § 53a-70 or § 53a-70a(except where a satisfaction ofjudgment has been filed)

(12) Wills and estates 10 years

(13) Asset forfeiture (General Stat- 10 yearsutes § 54-36h)

(14) Alcohol and drug commitment 10 years(General Statutes § 17a-685)

(15) All other civil actions (except as 75 yearsprovided in Section 7-12)

(P.B. 1978-1997, Sec. 403C.) (Amended June 29, 1998, totake effect Jan. 1, 1999; amended June 28, 1999, to takeeffect Jan. 1, 2000; amended June 30, 2003, to take effectJan. 1, 2004; amended June 26, 2006, to take effect Jan. 1,2007; amended June 15, 2012, to take effect Jan. 1, 2013.)

TECHNICAL CHANGE: References to statutes weredeleted from subsection (d) (5).

Sec. 7-12. —Actions Affecting the Title toLandFiles in any actions concerning title to land

which are terminated by a final judgment affectingany right, title or interest in real property shall beretained for forty years in the office of the clerkof the court location in which the judgment is ren-dered and thereafter may be transferred to the

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state library pursuant to Section 7-15 (b) or to thejudicial branch record center.

(P.B. 1978-1997, Sec. 403D.)

Sec. 7-13. —Criminal/Motor Vehicle Filesand Records(Amended June 29, 1998, to take effect Jan. 1, 1999.)(a) Upon the disposition of any criminal case,

except a case in which a felony or a capital felonyconviction resulted, or any motor vehicle case,including any matter brought pursuant to the com-mission of an infraction or a violation, the file maybe stripped of all papers except (1) the executedarrest warrant and original affidavit in support ofprobable cause, the misdemeanor/motor vehiclesummons, prosecutorial summons or the com-plaint ticket, (2) the uniform arrest report, (3) theinformation or indictment and any substitute infor-mation, (4) a written plea of nolo contendere, (5)documents relating to programs for adjudicationand treatment as a youthful offender, programsrelating to family violence education, communityservice labor, accelerated pretrial rehabilitation,pretrial drug education, pretrial alcohol educationand treatment, determination of competency tostand trial or suspension of prosecution or anyother programs for adjudication or treatmentwhich may be created from time to time, (6) anyofficial receipts, (7) the judgment mittimus, (8) anywritten notices of rights, (9) orders regarding pro-bation, (10) any exhibits on file, (11) any tran-scripts on file of proceedings held in the matter,and (12) the transaction sheet.

(b) Unless otherwise ordered by the court, thecopy of the application for a search warrant andaffidavits filed pursuant to General Statutes § 54-33c shall be destroyed upon the expiration of threeyears from the filing of the copy of the applicationand affidavits with the clerk.

(c) Except as otherwise provided, the papersstripped from the court file may be destroyed uponthe expiration of ninety days from the date of dis-position of the case.

(d) Upon the disposition of any criminal or motorvehicle case in which the defendant has beenreleased pursuant to a bond, the clerk shallremove the bond form from the file and maintainit in the clerk’s office for such periods as deter-mined by the chief court administrator.

(e) Upon the disposition of any criminal or motorvehicle case in which property is seized, whetherpursuant to a search warrant, an arrest, an in remproceeding or otherwise, the clerk shall removethe executed search warrant, if any, papers relat-ing to any in rem proceedings, if any, and theinventory of the seized property from the court fileand maintain them in the clerk’s office during the


pendency of proceedings to dispose of the prop-erty and for such further periods as determinedby the chief court administrator.

(f) In cases in which there has been neither aconviction nor the payment of a fine on anycharge, the file shall be destroyed upon the expira-tion of three years from the date of disposition.

(g) In cases in which a fine has been paid pursu-ant to an infraction or a violation, the file shall bedestroyed upon the expiration of five years fromthe date of disposition.

(h) In cases in which there has been a convic-tion of a misdemeanor charge but not a convictionof a felony charge, the file shall be destroyedupon the expiration of ten years from the dateof disposition.

(i) In cases in which there has been a convictionof a felony charge but not a conviction of a capitalfelony charge, the file, all exhibits and the tran-scripts of all proceedings held in the matter shallbe destroyed upon the expiration of twenty yearsfrom the date of disposition or upon the expirationof the sentence, whichever is later.

(j) In cases in which there has been a convictionof a capital felony charge, the file, all exhibits andthe transcripts of all proceedings held in the mattershall be destroyed upon the expiration of seventy-five years from such conviction.

(k) The file and records in any case in whichan individual is adjudged a youthful offender shallbe retained for ten years.

(l) The file in any case in which the dispositionis not guilty by reason of mental disease or defectshall be retained for seventy-five years.

(m) Investigatory grand jury records shall beretained permanently.

(P.B. 1978-1997, Sec. 403E.) (Amended June 29, 1998,to take effect Jan. 1, 1999; amended June 30, 2003, to takeeffect Jan. 1, 2004; amended June 29, 2007, to take effectJan. 1, 2008; amended June 22, 2009, to take effect Jan.1, 2010.)

Sec. 7-14. —Reports from Adult Probationand Family Division(a) The office of adult probation shall maintain

one copy of each presentence investigation reportfor twenty-five years. Copies of such reports inthe custody of the clerk pursuant to Section 43-8 may be destroyed upon the expiration of oneyear from the date of final disposition of the case.

(b) Except as provided in General Statutes§ 45a-757, the family division of the superior courtshall maintain one copy of each case study reportprepared pursuant to Section 25-60 for two yearsbeyond the youngest child’s eighteenth birthdayand copies of such reports in the custody of the

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clerk may be destroyed upon the expiration of oneyear from the date of final disposition of the case.

(P.B. 1978-1997, Sec. 403F.)

Sec. 7-15. —Retention Ordered by ChiefCourt Administrator; Transfer to StateLibrary(a) The chief court administrator may require

that any files and records of the judicial branch,the retention of which is not otherwise provided forby rule or statute, be retained either for a specificperiod or permanently, and may authorize thetransfer of any such files and records to therecords center or other proper facility for retention.Such files and records may be destroyed uponthe expiration of the specific period required fortheir retention.

(b) Except where prohibited by rule or statute,any files and records of the judicial branch may,with the written consent of the chief court adminis-trator and upon agreement with the appropriateofficials of the state library, be transferred to thestate library for retention.

(P.B. 1978-1997, Sec. 403G.)

Sec. 7-16. —Motion to Prevent Destructionof FileUpon the motion of any interested party, the

judicial authority may, for good cause shown,exempt from destruction for a specified period thefile in any case which has gone to judgment forreasons other than dismissal.

(P.B. 1978-1997, Sec. 403H.)

Sec. 7-17. Clerks’ OfficesThe chief court administrator shall, from time

to time, determine for each clerk’s office the hoursthat it shall be open, provided that each clerk’soffice shall be open at least five days a weekexcept during weeks which include a legal holiday.The chief court administrator may increase thehours of the clerk’s office for the purpose of theacceptance of bonds or for other limited purposesfor one or more court locations. If the last day forfiling any matter in the clerk’s office falls on a dayon which such office is not open as thus providedor is closed pursuant to authorization by theadministrative judge in consultation with the chiefcourt administrator or the chief court administratordue to the existence of special circumstances,then the last day for filing shall be the next busi-ness day upon which such office is open. Exceptas provided below, a document that is electroni-cally received by the clerk’s office for filing after5 o’clock in the afternoon on a day on which theclerk’s office is open or that is electronicallyreceived by the clerk’s office for filing at any timeon a day on which the clerk’s office is closed, shall


be deemed filed on the next business day uponwhich such office is open. If a party is unable toelectronically file a document because the court’selectronic filing system is nonoperational for thirtyconsecutive minutes from 9 o’clock in the fore-noon to 3 o’clock in the afternoon or for any periodof time from 3 o’clock to 5 o’clock in the afternoonof the day on which the electronic filing isattempted, and such day is the last day for filingthe document, the document shall be deemed tobe timely filed if received by the clerk’s office onthe next business day the electronic system isoperational.

(P.B. 1978-1997, Sec. 405.) (Amended June 24, 2002, totake effect Jan. 1, 2003; amended June 21, 2004, to takeeffect July 13, 2004; amended June 21, 2010, to take effectJan. 1, 2011; amended June 24, 2016, to take effect July12, 2016.)

HISTORY—July, 2016: Prior to July 12, 2016, the first sen-tence of this section read: ‘‘Clerks’ offices shall be open eachweekday from Monday to Friday inclusive, between 9 o’clockin the forenoon and 5 o’clock in the afternoon, but they shallnot be open on legal holidays.’’

COMMENTARY—July, 2016: The change to this sectionauthorizes the chief court administrator to establish, for eachclerk’s office, the hours of its operation, provided that eachoffice is open at least five days per week unless the weekcontains a legal holiday. See General Statutes § 51-59. Thisprovision was effective upon publication in the ConnecticutLaw Journal pursuant to Practice Book § 1-9.

Sec. 7-18. Hospital, Psychiatric and Medi-cal RecordsHospital, psychiatric and medical records shall

not be filed with the clerk unless such records aresubmitted in a sealed envelope clearly identifiedwith the case caption, the subject’s name andthe health care provider, institution or facility fromwhich said records were issued. Such recordsshall be opened only pursuant to court order.

(P.B. 1978-1997, Secs. 397B, 1011E.)

Sec. 7-19. Issuing Subpoenas for Witnesseson Behalf of Self-Represented LitigantsSelf-represented litigants seeking to compel the

attendance of necessary witnesses in connectionwith the hearing of any matter shall file an applica-tion to have the clerk of the court issue subpoenasfor that purpose. The application shall include a

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summary of the expected testimony of each pro-posed witness so that the court may determinethe relevance of the testimony. The clerk, afterverifying the scheduling of the matter, shall pre-sent the application to the judge before whom thematter is scheduled for hearing, or the administra-tive judge or any judge designated by the adminis-trative judge if the matter has not been scheduledbefore a specific judge, which judge shall conductan ex parte review of the application and maydirect or deny the issuance of subpoenas as suchjudge deems warranted under the circumstances,keeping in mind the nature of the scheduled hear-ing and future opportunities for examination ofwitnesses, as may be appropriate. If an applica-tion is denied in whole or in part, the applicantmay request a hearing which shall be scheduledby the court.

(P.B. 1978-1997, Sec. 395A.) (Amended June 12, 2015,to take effect Jan. 1, 2016; amended June 24, 2016, to takeeffect Jan. 1, 2017.)

HISTORY—2017: In 2017, what is now the second sen-tence was added to this section.

COMMENTARY—2017: The change to this section willassist the court in determining the relevance of the expectedtestimony of each proposed witness.

Sec. 7-20. Records of Short CalendarMattersThe clerk shall keep a record of all matters

assigned for hearing on the civil short calendartogether with the disposition made of them. Suchrecords shall be retained for such period and insuch format as determined by the chief courtadministrator.


Sec. 7-21. Removing Exhibits and OtherPapersUnless otherwise ordered by the judicial author-

ity, it is the duty of attorneys and self-representedparties, upon the final determination of any civilcase, to remove from the courthouse all exhibitsthat have been entered into evidence, briefs,depositions, and memoranda and, if not soremoved, such items may be destroyed by theclerk four months after the final determination ofthe case, without notice.

(P.B. 1978-1997, Sec. 401.)

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 8-2

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSCHAPTER 8

COMMENCEMENT OF ACTION

Sec. Sec.8-1. Process8-2. Waiver of Court Fees and Costs8-3. Bond for Prosecution [Repealed]8-3A. Bond for Prosecution or Recognizance8-4. Certification of Financial Responsibility [Repealed]8-5. Remedy for Failure to Give Bond [Repealed]8-6. Bond Ordered by Judicial Authority [Repealed]


Sec. 8-1. Process(Amended June 14, 2013, to take effect Jan. 1, 2014.)(a) Process in civil actions shall be a writ of

summons or attachment, describing the parties,the court to which it is returnable and the timeand place of appearance, and shall be accompa-nied by the plaintiff’s complaint. Such writ mayrun into any judicial district or geographical areaand shall be signed by a commissioner of thesuperior court or a judge or clerk of the court towhich it is returnable. Except in those actions andproceedings indicated below, the writ of summonsshall be on a form substantially in compliance withthe following judicial branch forms prescribed bythe chief court administrator: Form JD-FM-3 infamily actions, Form JD-HM-32 in summary pro-cess actions, and Form JD-CV-1 in other civilactions, as such forms shall from time to timebe amended. Any person proceeding without theassistance of counsel shall sign the complaint andpresent the complaint and proposed writ of sum-mons to the clerk; the clerk shall review the pro-posed writ of summons and, unless it is defectiveas to form, shall sign it.

(b) For administrative appeals brought pursuantto General Statutes § 4-183 et seq., process andservice of process shall be made in accordancewith General Statutes § 4-183 (c) and PracticeBook Section 14-7A (a).

(c) Form JD-FM-3, Form JD-HM-32, and FormJD-CV-1 shall not be used in the following actionsand proceedings:

(1) Applications for change of name.(2) Proceedings pertaining to arbitration.(3) Probate appeals.(4) Administrative appeals.(5) Verified petitions for paternity.(6) Verified petitions for support orders.

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8-7. Request to Furnish Bond [Repealed]8-8. Member of Community Defending to Give Bond

[Repealed]8-9. Bond by Nonresident in Realty Action [Repealed]8-10. Surety Company Bond Acceptable8-11. Action on Probate Bond; Endorsement of Writ

[Repealed]8-12. Renewal of Bond

(7) Any actions or proceedings in which anattachment, garnishment or replevy is sought.

(8) Applications for custody.(9) Applications for visitation.(d) A plaintiff may, before service on a defend-

ant, alter printed forms JD-FM-3, JD-HM-32, andJD-CV-1 in order to make them conform to anyrelevant amendments to the rules of practice orstatutes.


Sec. 8-2. Waiver of Court Fees and Costs(a) Prior to the commencement of an action, or

at any time during its pendency, a party may filewith the clerk of the court in which the action ispending, or in which the party intends to return awrit, summons and complaint, an application forwaiver of fees payable to the court and for pay-ment by the state of the costs of service of pro-cess. The application shall set forth the factswhich are the basis of the claim for waiver andfor payment by the state of any costs of serviceof process; a statement of the applicant’s currentincome, expenses, assets and liabilities; pertinentrecords of employment, gross earnings, grosswages and all other income; and the specific feesand costs of service of process sought to bewaived or paid by the state and the amount ofeach. The application and any representationsshall be supported by an affidavit of the applicantto the truth of the facts recited.

(b) The clerk with whom such an application isfiled shall refer it to the court of which he or sheis clerk. If the court finds that a party is indigentand unable to pay a fee or fees payable to thecourt or to pay the cost of service of process, the

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 8-2

court shall waive such fee or fees and the cost ofservice of process shall be paid by the state.

(c) There shall be a rebuttable presumption thata person is indigent and unable to pay a fee orfees or the cost of service of process if (1) suchperson receives public assistance or (2) such per-son’s income after taxes, mandatory wage deduc-tions and child care expenses is one hundredtwenty-five per cent or less of the federal povertylevel. For purposes of this subsection, ‘‘publicassistance’’ includes, but is not limited to, stateadministered general assistance, temporary fam-ily assistance, aid to the aged, blind and disabled,food stamps and supplemental security income.

(d) Nothing in this section shall preclude thecourt from (1) finding that a person whose incomedoes not meet the criteria of subsection (c) of thissection is indigent and unable to pay a fee or feesor the cost of service of process, or (2) denyingan application for the waiver of the payment of afee or fees or the cost of service of process whenthe court finds that (A) the applicant has repeat-edly filed actions with respect to the same or simi-lar matters, (B) such filings establish an extendedpattern of frivolous filings that have been withoutmerit, (C) the application sought is in connectionwith an action before the court that is consistentwith the applicant’s previous pattern of frivolousfilings, and (D) the granting of such applicationwould constitute a flagrant misuse of JudicialBranch resources.

If an application for the waiver of the paymentof a fee or fees or the cost of service of processis denied, the court clerk shall, upon the requestof the applicant, schedule a hearing on the appli-cation. Nothing in this section shall affect theinherent authority of the court to manage itsdocket.


Sec. 8-3. Bond for Prosecution[Repealed as of Jan. 1, 2017.]HISTORY—2017: At the time of its repeal, this section read:

‘‘(a) Except as provided below, if the plaintiff in any civil actionis not an inhabitant of this state, or if it does not appear to theauthority signing the process that the plaintiff is able to paythe costs of the action should judgment be rendered againstthe plaintiff, he or she shall, before such process is signed,enter into a recognizance to the adverse party with somesubstantial inhabitant of this state as surety, or some substan-tial inhabitant of this state shall enter into a recognizance tothe adverse party, that the plaintiff shall prosecute the actionto effect, and answer all damages in case the plaintiff doesnot make his or her plea good; and no such recognizanceshall be discharged by any amendment or alteration of theprocess between the time of signing and of serving it. (SeeGeneral Statutes § 52-185 and annotations.)

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‘‘(b) No recognizance shall be required of a self-representedcomplainant in a summary process action.

‘‘(P.B. 1978-1997, Sec. 51.)’’COMMENTARY—2017: This section has been repealed to

reflect 2015 legislative changes regarding bonds for prosecu-tion and recognizance. See also commentary to Section 8-3A.

Sec. 8-3A. Bond for Prosecution or Recog-nizanceNo bond for prosecution or recognizance for

prosecution shall be required of a party in anycivil action unless ordered by the judicial authorityupon motion and for good cause shown. If thejudicial authority finds that a party is not able topay the costs of the action, the judicial authorityshall order the party to give a sufficient bond topay taxable costs. In determining the sufficiencyof the bond to be given, the judicial authority shallconsider only the taxable costs for which a partymay be responsible under General Statutes § 52-257, except that in no event shall the judicialauthority consider the fees or charges of expertwitnesses notwithstanding that such fees orcharges may be allowable under that section. Anyparty failing to comply with such order may benonsuited or defaulted, as the case may be.

(Adopted June 24, 2016, to take effect Jan. 1, 2017.)COMMENTARY—2017: Sections 8-3 through 8-12, 14-7A,

23-45 through 23-47, the sections of the rules concerned withbonds for prosecution and recognizance, have been repealedor revised to reflect legislative changes to General Statutes§§ 52-185, 52-186, 52-187, 52-188, 52-190 and 47a-23. Abond for prosecution and a recognizance unnecessarilyincrease the burden on a self-represented party filing a lawsuitand do not provide any realistic security for costs on an action.Failure to provide a bond or include a recognizance in anaction is no longer a basis for dismissing the action. Thechanges provide the option that a bond or recognizance berequired if there is good cause to believe that a party will beunable to pay the costs of an action, but it eliminates therequirement for a bond or a recognizance in all actions.

Sec. 8-4. Certification of Financial Respon-sibility[Repealed as of Jan. 1, 2017.]HISTORY—2017: At the time of its repeal, this section read:

‘‘(a) Except as provided below, in all actions wherein costsmay be taxed against the plaintiff, no mesne process shall beissued until the recognizance of a third party for costs hasbeen taken, unless the authority signing the writ shall certifythereon that he or she has personal knowledge as to thefinancial responsibility of the plaintiff and deems it sufficient.

‘‘(b) No recognizance shall be required of a self-representedcomplainant in a summary process action.

‘‘(c) No attorney shall enter into a recognizance upon a writwhich such attorney signs.

‘‘(P.B. 1978-1997, Sec. 52.)’’COMMENTARY: This section has been repealed to reflect

2015 legislative changes regarding bonds for prosecution andrecognizance. See also commentary to Section 8-3A.


Sec. 8-5. Remedy for Failure to Give Bond[Repealed as of Jan. 1, 2017.]HISTORY—2017: At the time of its repeal, this section

read: ‘‘(a) When there has been a failure to comply with theprovisions of Sections 8-3 and 8-4; the validity of the writ andservice shall not be affected unless the neglect is made aground of a motion to dismiss.

‘‘(b) If the judicial authority, upon the hearing of the motionto dismiss, directs the plaintiff to file a bond to prosecute inan amount deemed sufficient by the judicial authority, theaction shall be dismissed unless the plaintiff complies with theorder of the judicial authority within two weeks of such order.

‘‘(c) Upon the filing of such bond, the case shall proceedin the same manner and to the same effect as to rights ofattachment and in all other respects as though the neglecthad not occurred. The judicial authority may, in its discretion,order, as a condition to the acceptance of the bond, that theplaintiff pay to the defendant costs not to exceed the costs infull to the date of the order. (See General Statutes § 52-185and annotations.)



Sec. 8-6. Bond Ordered by JudicialAuthority[Repealed as of Jan. 1, 2017.]HISTORY—2017: At the time of its repeal, this section read:

‘‘If the judicial authority in which any action is pending findsthat any bond taken therein for prosecution, or on appeal, isinsufficient, or that the plaintiff has given no bond for prosecu-tion and is not able to pay the costs, it shall order a sufficientbond to be given before trial, unless the trial will thereby neces-sarily be delayed. In determining the sufficiency of the bondto be given, the judicial authority shall consider only the taxablecosts which the plaintiff may be responsible for under GeneralStatutes § 52-257, except that in no event shall the judicialauthority consider the fees or charges of expert witnessesnotwithstanding that such fees or charges may be allowableunder that section. Any party failing to comply with such ordermay be nonsuited or defaulted, as the case may be. Bondsfor the prosecution of any civil action or appeal, pending inany court, may be taken in vacation by its clerk. (See GeneralStatutes § 52-186 and annotations.)’’



Sec. 8-7. Request to Furnish Bond[Repealed as of Jan. 1, 2017.]HISTORY—2017: At the time of its repeal, this section read:

‘‘No order for a bond for prosecution will be made by thejudicial authority unless it be shown that the adverse partyhas been requested in writing to furnish the same and hasrefused such request or has failed to file a satisfactory bondwithin a reasonable time after the request was made.



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Sec. 8-8. Member of Community Defendingto Give Bond[Repealed as of Jan. 1, 2017.]HISTORY—2017: At the time of its repeal, this section read:

‘‘If, in any action against a community, any individual memberof such community appears to defend, he or she shall procurebond with surety to the acceptance of the court in which theaction is pending, to save such community harmless from allcosts which may arise by reason of such appearance, whichbond shall be payable to such community and be filed in suchcourt. Any such individual member who successfully defendsagainst such action shall be entitled to the costs recoverablefrom the plaintiff unless the community likewise appeared andincurred the costs of such defense. (See General Statutes§ 52-187 and annotations.)



Sec. 8-9. Bond by Nonresident in RealtyAction[Repealed as of Jan. 1, 2017.]HISTORY—2017: At the time of its repeal, this section read:

‘‘Each nonresident defendant in any civil action relating to realestate or any interest therein, if any relief other than moneydamages is claimed, may be ordered by the judicial authority,during the pendency of such action, to give such bond to suchother party or parties to such action as the judicial authoritymay direct, conditioned for the payment of costs. Judgmentas on default may be rendered against any defendant who failsto comply with such order. (See General Statutes § 52-188.)


reflect legislative changes regarding bonds for prosecutionand recognizance. See also commentary to Section 8-3A.

Sec. 8-10. Surety Company Bond Ac-ceptableAny surety company chartered by this state or

authorized to do business herein may be acceptedas surety or recognizor upon any bond or recogni-zance required by law in any civil action or in anyproceeding instituted under the statutes of thisstate and, in any case where a bond or recogni-zance is required by law, the bond of such com-pany, duly executed and conditioned for theperformance of the obligations expressed in suchbond or recognizance, may be accepted by theperson having authority thereto, who shall file itwith the court where the action or proceeding isreturnable or pending. (See General Statutes§ 52-189 and annotations.)


HISTORY—2017: Prior to 2017, this section read: ‘‘Anysurety company chartered by this state or authorized to dobusiness herein may be accepted as surety or recognizor uponany bond or recognizance required by law in any civil actionor in any proceeding instituted under the statutes of this stateand, in any case where a bond or recognizance is by lawrequired, the bond of such company, duly executed and condi-tioned for the performance of the obligations expressed in


such bond or recognizance, may be accepted by the personhaving authority thereto, and shall be filed by him or her inthe court to which such action or proceeding is returnable orpending. (See General Statutes § 52-189 and annotations.)’’

COMMENTARY—2017: The changes to this section reflect2015 legislative changes regarding bonds for prosecution andrecognizance. See also commentary to Section 8-3A.

Sec. 8-11. Action on Probate Bond;Endorsement of Writ[Repealed as of Jan. 1, 2017.]HISTORY—2017: At the time of its repeal, this section read:

‘‘The writ in any action brought upon a probate bond, or bondtaken to a judge of probate and such judge’s successors inoffice, shall be dismissed unless, before its issue, someresponsible inhabitant of the state signs a written endorsementupon it, agreeing to be responsible for the costs of suit. If theendorser dies or removes from this state, a new endorser onsuch writ shall be substituted; and the court before which thesuit is pending may at any time order the substitution of a newendorser to be approved by it. For any failure to comply with

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such an order the plaintiff may be nonsuited. (See GeneralStatutes § 52-190 and annotations.)



Sec. 8-12. Renewal of BondBonds given in the course of any judicial pro-

ceedings may, for reasonable cause and upondue notice, be renewed, or other bonds taken inlieu of them, by the judicial authority.


HISTORY—2017: Prior to 2017, this section read: ‘‘Bondsgiven in the course of any judicial proceedings may, for reason-able cause and upon due notice, be renewed, or other bondstaken in lieu of them, by the court, or by the judge beforewhom the matter is pending.’’



CHAPTER 9

PARTIES

Sec. Sec.9-1. Continuance for Absent or Nonresident Defendant9-2. Defense by Garnishee; Continuance9-3. Joinder of Parties and Actions; Interested Persons

as Plaintiffs9-4. —Joinder of Plaintiffs in One Action9-5. —Consolidation of Actions9-6. —Interested Persons as Defendants9-7. Class Actions; Prerequisites to Class Actions9-8. —Class Actions Maintainable9-9. —Procedure for Class Certification and Management

of Class9-10. —Orders to Ensure Adequate Representation9-11. Executor, Administrator or Trustee of Express Trust9-12. Personal Representatives of Cocontractor


Sec. 9-1. Continuance for Absent or Nonres-ident DefendantEvery civil action in which the defendant is an

inhabitant of this state but is absent therefrom atthe commencement of the suit and continues tobe absent until after the return day, without havingentered any appearance therein, shall be contin-ued or postponed for thirty days by order of thejudicial authority. If the defendant does not thenappear and no special reason is shown for furtherdelay, judgment by default may be renderedagainst the defendant. If the defendant is not aninhabitant or resident of this state at the com-mencement of the action and does not appeartherein, the judicial authority shall continue orpostpone it for a period of three months and may,if it deems further notice advisable, direct suchfurther notice of the pendency of the action to begiven to the defendant by publication in somenewspaper, or otherwise, as it deems expedient,or may authorize any person empowered to serveprocess by the laws of the foreign jurisdiction inwhich such defendant resides to serve upon suchdefendant a copy of the summons and complaintand of the order of notice and such person shallmake affidavit of his or her doings thereon on theoriginal order of notice. If, upon the expiration ofsuch three months, the defendant does not thenappear and no special reason is shown for furtherdelay, judgment may be rendered against suchdefendant by default. Upon the expiration of anysuch continuance, it shall be presumed primafacie that no special reason for further delayexists. In actions of foreclosure, including prayers

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9-13. Persons Liable on Same Instrument9-14. Defendants Alternately Liable9-15. Assignee of Part Interest9-16. Assignment Pending Suit9-17. Unsatisfied Judgment against One Defendant9-18. Addition or Substitution of Parties; Additional Parties

Summoned in by Court9-19. —Nonjoinder and Misjoinder of Parties9-20. —Substituted Plaintiff9-21. —Counterclaim; Third Parties9-22. —Motion to Cite in New Parties9-23. Suit by Real Party in Interest9-24. Change of Name by Minor Child9-25. Action on Bond to Municipal Officer

for relief incident thereto and part thereof, judg-ment may then be rendered upon the plaintiff’smotion for judgment of foreclosure. The provisionsof this section shall not apply in the case of anycivil action brought under and pursuant to GeneralStatutes § 47-33 or § 52-69 and no continuanceor postponement of any such action or additionalnotice of the pendency thereof shall be requiredunless the judicial authority so orders. (See Gen-eral Statutes § 52-87 and annotations.)

(P.B. 1978-1997, Sec. 80.)

Sec. 9-2. Defense by Garnishee; Con-tinuanceIn any action by foreign attachment, if the

defendant does not appear, any garnishee maybe admitted to defend his or her principal; but, ifthe defendant is not in this state and does notappear, personally or by attorney, and the gar-nishee does not appear to defend, the action shallbe continued, postponed or adjourned for a periodof three months from the return day of the writ.Any continuance, postponement or adjournment,prescribed in this or Section 9-1, shall not begranted or, if granted, shall terminate wheneverthe judicial authority finds that the absent or non-resident defendant, or authorized agent or attor-ney, has received actual notice of the pendencyof the case at least twelve days prior to suchfinding, and thereupon, unless some special rea-son is shown for further delay, the cause may bebrought to trial. (See General Statutes § 52-88and annotations.)

(P.B. 1978-1997, Sec. 81.)


Sec. 9-3. Joinder of Parties and Actions;Interested Persons as PlaintiffsAll persons having an interest in the subject of

the action, and in obtaining the judgmentdemanded, may be joined as plaintiffs, exceptas otherwise expressly provided; and, if one whoought to be joined as plaintiff declines to join, suchperson may be made a defendant, the reasontherefor being stated in the complaint. (See Gen-eral Statutes § 52-101 and annotations.)

(P.B. 1978-1997, Sec. 83.)

Sec. 9-4. —Joinder of Plaintiffs in OneActionAll persons may be joined in one action as plain-

tiffs in whom any right of relief in respect to orarising out of the same transaction or series oftransactions is alleged to exist either jointly orseverally when, if such persons brought separateactions, any common question of law or fact wouldarise; provided, if, upon the motion of any party,it would appear that such joinder might embarrassor delay the trial of the action, the judicial authoritymay order separate trials, or make such otherorder as may be expedient, and judgment maybe given for such one or more of the plaintiffs asmay be found to be entitled to relief, for the reliefto which he, she or they may be entitled; and thereshall be but one entry fee, one jury fee, if claimedfor jury trial, and such other costs as may by rulebe prescribed.

(P.B. 1978-1997, Sec. 84.)

Sec. 9-5. —Consolidation of Actions(a) Whenever there are two or more separate

actions which should be tried together, the judicialauthority may, upon the motion of any party orupon its own motion, order that the actions beconsolidated for trial.

(b) If a party seeks consolidation, the motion toconsolidate shall be filed in all of the court filesproposed to be consolidated, shall include thedocket number and judicial district of each of thecases, and shall contain a certification specificallystating that the motion was served in accordancewith Sections 10-12 through 10-17 on all partiesto such actions. The certification shall specificallyrecite the name and address of each counsel andself-represented party served, the date of suchservice and the name and docket number of thecase in which that person has appeared. The mov-ing party shall give reasonable notice to all suchparties of the date on which the motion will beheard on short calendar. The judicial authorityshall not consider the motion unless it is satisfiedthat such notice was given.

(c) The court files in any actions consolidatedpursuant to this section shall be maintained as

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separate files and all documents submitted bycounsel or the parties shall bear only the docketnumber and case title of the file in which it is tobe filed.

(P.B. 1978-1997, Sec. 84A.) (Amended June 29, 1998, totake effect Jan. 1, 1999.)

Sec. 9-6. —Interested Persons as De-fendantsAny person may be made a defendant who has

or claims an interest in the controversy, or anypart thereof, adverse to the plaintiff, or whom it isnecessary, for a complete determination or settle-ment of any question involved therein, to make aparty. (See General Statutes § 52-102 and anno-tations.)

(P.B. 1978-1997, Sec. 85.)

Sec. 9-7. Class Actions; Prerequisites toClass ActionsOne or more members of a class may sue or

be sued as representative parties on behalf of allonly if (1) the class is so numerous that joinderof all members is impracticable, (2) there arequestions of law or fact common to the class,(3) the claims or defenses of the representativeparties are typical of the claims or defenses of theclass, and (4) the representative parties will fairlyand adequately protect the interests of the class.

(P.B. 1978-1997, Sec. 87.)

Sec. 9-8. —Class Actions MaintainableAn action may be maintained as a class action

if the prerequisites of Section 9-7 are satisfied,and in addition:

(1) the prosecution of separate actions by oragainst individual members of the class wouldcreate a risk of: (A) inconsistent or varying adjudi-cations with respect to individual members of theclass which would establish incompatible stan-dards of conduct for the party opposing the class;or (B) adjudications with respect to individualmembers of the class which would, as a practicalmatter, be dispositive of the interests of the othermembers who are not parties to the adjudicationsor substantially impair or impede their ability toprotect their interests, or

(2) the party opposing the class has acted orrefused to act on grounds generally applicable tothe class, thereby making appropriate final injunc-tive relief or corresponding declaratory relief withrespect to the class as a whole; or

(3) the court finds that the questions of law orfact common to the members of the class predom-inate over any questions affecting only individualmembers and that a class action is superior toother available methods for the fair and efficient


adjudication of the controversy. The matters perti-nent to the findings include: (A) the interest ofmembers of the class in individually controllingthe prosecution or defense of separate actions;(B) the extent and nature of any litigation concern-ing the controversy already commenced by oragainst members of the class; (C) the desirabilityor undesirability of concentrating the litigation ofthe claims in the particular forum; (D) the difficul-ties likely to be encountered in the managementof class action.


Sec. 9-9. —Procedure for Class Certificationand Management of Class(Amended June 22, 2009, to take effect Jan. 1, 2010.)(a) (1) (A) When a person sues or is sued as

a representative of a class, the court must, at anearly practicable time, determine by order whetherto certify the action as a class action.

(B) An order certifying a class action mustdefine the class and the class claims, issues ordefenses, and must appoint class counsel.

(C) An order under Section 9-9 (a) (1) (A) maybe altered or amended before final judgment.

(2) (A) For any class certified under Section 9-8(1) or (2), the court must direct notice to the class.

(B) For any class certified under Section 9-8(3), the court must direct to class members thebest notice practicable under the circumstances,including individual notice to all members who canbe identified through reasonable effort. The noticemust concisely and clearly state in plain, easilyunderstood language:

(i) the nature of the action;(ii) the definition of the class certified;(iii) the class claims, issues or defenses;(iv) that a class member may enter an appear-

ance through counsel if the member so desires;(v) that the court will exclude from the class any

member who requests exclusion, stating whenand how members may elect to be excluded; and

(vi) the binding effect of a class judgment onclass members under Section 9-8 (3).

(3) The judgment in an action maintained as aclass action under Section 9-8 (1) or (2), whetheror not favorable to the class, shall include anddescribe those whom the court finds to be mem-bers of the class. The judgment in an action main-tained as a class action under Section 9-8 (3),whether or not favorable to the class, shall includeand specify or describe those to whom the noticeprovided in Section 9-9 (a) (2) (B) was directed,and who have not requested exclusion, and whomthe court finds to be members of the class.

(4) When appropriate, (A) an action may bebrought or maintained as a class action with

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respect to particular issues, or (B) a class may bedivided into subclasses and each subclass treatedas a class, and the provisions of Sections 9-7 and9-8 shall then be construed and appliedaccordingly.

(b) In the conduct of actions to which Section9-7 et seq. apply, the court may make appro-priate orders:

(1) determining the course of proceedings orprescribing measures to prevent undue repetitionor complication in the presentation of evidenceor argument;

(2) requiring, for the protection of the membersof the class or otherwise for the fair conduct ofthe action, that notice be given in such manneras the court may direct to some or all of the mem-bers of:

(i) any step in the action;(ii) the proposed extent of the judgment; or(iii) the opportunity of members to signify

whether they consider the representation fair andadequate, to intervene and to present claims ordefenses, or otherwise to come into the action;

(3) imposing conditions on the representativeparties or on intervenors;

(4) requiring that the pleadings be amended toeliminate therefrom allegations as to representa-tion of absent persons, and that the action pro-ceed accordingly;

(5) dealing with similar procedural matters.The orders may be altered or amended as may

be desirable from time to time.(c) (1) (A) The court must approve any settle-

ment, withdrawal, or compromise of the claims,issues, or defense of a certified class. Courtapproval is not required for settlement, withdrawalor compromise of a claim in which a class hasbeen alleged but no class has been certified.

(B) The court must direct notice in a reasonablemanner to all class members who would be boundby a proposed settlement, withdrawal or com-promise.

(C) The court may approve a settlement, with-drawal, or compromise that would bind classmembers only after a hearing and on finding thatthe settlement, withdrawal, or compromise is fair,reasonable, and adequate.

(2) The parties seeking approval of a settle-ment, withdrawal, or compromise of an action inwhich a class has been certified must file a state-ment identifying any agreement made in connec-tion with the proposed settlement, withdrawal orcompromise.

(3) In an action previously certified as a classaction under Section 9-8 (3), the court may refuseto approve a settlement unless it affords a newopportunity to request exclusion to individual class


members who had an earlier opportunity torequest exclusion but did not do so.

(4) (A) Any class member may object to a pro-posed settlement, withdrawal or compromise thatrequires court approval under (c) (1) (A).

(B) An objection made under (c) (4) (A) may bewithdrawn only with the court’s approval.

(d) Unless a statute provides otherwise, a courtthat certifies a class must appoint class counsel.An attorney appointed to serve as class counselmust fairly and adequately represent the interestsof the class.

(1) In appointing class counsel, the courtmust consider:

(i) the work counsel has done in identifying orinvestigating potential claims in the action;

(ii) counsel’s experience in handling classactions, other complex litigation, and claims of thetype asserted in the action;

(iii) counsel’s knowledge of the applicablelaw; and

(iv) the resources counsel will commit to repre-senting the class.

(2) The court may:(i) consider any other matter pertinent to coun-

sel’s ability to represent the interests of the classfairly and adequately;

(ii) direct potential class counsel to provideinformation on any subject pertinent to theappointment and to propose terms for attorney’sfees and nontaxable costs; and

(iii) make further orders in connection withthe appointment.

(e) The court may designate interim counsel toact on behalf of the putative class before determin-ing whether to certify the action as a class action.When there is one applicant for appointment asclass counsel, the court may appoint that appli-cant only if the applicant is adequate under sub-section (d). If more than one adequate applicantseeks appointment as class counsel, the courtmust appoint the applicant best able to representthe interests of the class. The order appointingclass counsel may include provisions about theaward of attorney’s fees or nontaxable costsunder subsection (f).

(f) In an action certified as a class action, thecourt may award reasonable attorney’s fees andnontaxable costs authorized by law or by consentof the parties as follows:

(1) a request for an award of attorney’s feesand nontaxable costs must be made by motionsubject to the provisions of this subdivision, at atime set by the court. Notice of the motion mustbe served on all parties and, for motions by classcounsel, directed to class members in a reason-able manner.

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(2) A class member or a party from whom pay-ment is sought, may object to the motion.

(3) The court may hold a hearing and mustfind the facts and state its conclusions of law onsuch motion.

(g) (1) ‘‘Residual funds’’ are funds that remainafter the payment of approved class memberclaims, expenses, litigation costs, attorney’s fees,and other court-approved disbursements made toimplement the relief granted. Nothing in this ruleis intended to limit the parties to a class actionfrom recommending, or the trial court from approv-ing, a settlement that does not create residualfunds.

(2) Any order, judgment or approved settlementin a class action that establishes a process foridentifying and compensating members of theclass may designate the recipient or recipients ofany such residual funds that may remain after theclaims payment process has been completed. Inthe absence of such designation, the residualfunds shall be disbursed to the organizationadministering the program for the use of intereston lawyers’ client funds pursuant to General Stat-utes § 51-81c for the purpose of funding thoseorganizations that provide legal services for thepoor in Connecticut.


Sec. 9-10. —Orders to Ensure AdequateRepresentationThe judicial authority at any stage of an action

under this section may require such security andimpose such terms as shall fairly and adequatelyprotect the interests of the class in whose behalfthe action is brought or defended. It may orderthat notice be given, in such manner as it maydirect, of the pendency of the action, of a proposedsettlement, of entry of judgment, or of any otherproceedings in the action, including notice to theabsent persons that they may come in and presentclaims and defenses if they so desire. Wheneverthe representation appears to the judicial authorityinadequate fairly to protect the interests of absentparties who may be bound by the judgment, itmay at any time prior to judgment order an amend-ment of the pleadings, eliminating therefrom allreference to representation of absent persons,and it shall order entry of judgment in such formas to affect only the parties to the action and thoseadequately represented.

(P.B. 1978-1997, Sec. 90.)

Sec. 9-11. Executor, Administrator orTrustee of Express TrustAn executor, administrator, or trustee of an

express trust may sue or be sued without joining


the persons represented by him or her and benefi-cially interested in the suit. The term ‘‘trustee ofan express trust’’ shall be construed to include anyperson with whom, or in whose name, a contract ismade for the benefit of another. (See GeneralStatutes § 52-106 and annotations.)

(P.B. 1978-1997, Sec. 91.)

Sec. 9-12. Personal Representatives of Co-contractorIn suits on a joint contract, whether partnership

or otherwise, the personal representatives of adeceased cocontractor may join, as plaintiffs, andbe joined, as defendants, with the survivor; pro-vided, where the estate of the decedent is in set-tlement in this state as an insolvent estate, his orher personal representatives cannot be joined asdefendants. (See General Statutes § 52-78.)

(P.B. 1978-1997, Sec. 92.)

Sec. 9-13. Persons Liable on SameInstrumentPersons severally and immediately liable on the

same obligation or instrument, including partiesto bills of exchange and promissory notes, andendorsers, guarantors, and sureties, whether onthe same or by separate instruments, may all, orany of them, be joined as defendants, and a jointjudgment may be rendered against those sojoined.

(P.B. 1978-1997, Sec. 93.)

Sec. 9-14. Defendants Alternately LiablePersons may be joined as defendants against

whom the right to relief is alleged to exist in thealternative, although a right to relief against onemay be inconsistent with a right to relief againstthe other.

(P.B. 1978-1997, Sec. 94.)

Sec. 9-15. Assignee of Part InterestIf a part interest in a contract obligation be

assigned, the assignor retaining the remaininginterest and the assignee may join as plaintiffs.

(P.B. 1978-1997, Sec. 95.)

Sec. 9-16. Assignment Pending SuitIf, pending the action, the plaintiff assigns the

cause of action, the assignee, upon writtenmotion, may either be joined as a coplaintiff orbe substituted as a sole plaintiff, as the judicialauthority may order; provided that it shall in nomanner prejudice the defense of the action as itstood before such change of parties.

(P.B. 1978-1997, Sec. 96.)

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Sec. 9-17. Unsatisfied Judgment againstOne DefendantWhere the plaintiff may at his or her option join

several persons as defendants, or sue them sepa-rately, judgment without satisfaction against oneshall not bar a suit against another.

(P.B. 1978-1997, Sec. 97.)

Sec. 9-18. Addition or Substitution of Par-ties; Additional Parties Summoned in byCourtThe judicial authority may determine the contro-

versy as between the parties before it, if it can doso without prejudice to the rights of others; but, ifa complete determination cannot be had withoutthe presence of other parties, the judicial authoritymay direct that they be brought in. If a person nota party has an interest or title which the judgmentwill affect, the judicial authority, on its motion, shalldirect that person to be made a party. (See Gen-eral Statutes § 52-107 and annotations.)

(P.B. 1978-1997, Sec. 99.)

Sec. 9-19. —Nonjoinder and Misjoinder ofPartiesExcept as provided in Sections 10-44 and 11-

3 no action shall be defeated by the nonjoinderor misjoinder of parties. New parties may beadded and summoned in, and parties misjoinedmay be dropped, by order of the judicial authority,at any stage of the cause, as it deems the interestsof justice require. (See General Statutes § 52-108and annotations.)

(P.B. 1978-1997, Sec. 100.)

Sec. 9-20. —Substituted PlaintiffWhen any action has been commenced in the

name of the wrong person as plaintiff, the judicialauthority may, if satisfied that it was so com-menced through mistake and that it is necessaryfor the determination of the real matter in disputeso to do, allow any other person to be substitutedor added as plaintiff. (See General Statutes § 52-109 and annotations.)

(P.B. 1978-1997, Sec. 101.)

Sec. 9-21. —Counterclaim; Third PartiesWhen a counterclaim raises questions affecting

the interests of third parties, the defendant may,and if required by the judicial authority shall, causesuch parties to be summoned in as parties to suchsuit. (See General Statutes § 52-110 and anno-tations.)

(P.B. 1978-1997, Sec. 102.)

Sec. 9-22. —Motion to Cite in New PartiesAny motion to cite in or admit new parties must

comply with Section 11-1 and state briefly thegrounds upon which it is made.

(P.B. 1978-1997, Sec. 103.)


Sec. 9-23. Suit by Real Party in InterestAn action may be brought in all cases in the

name of the real party in interest, but any claimor defense may be set up which would have beenavailable had the plaintiff sued in the name of thenominal party in interest.

(P.B. 1978-1997, Sec. 104.)

Sec. 9-24. Change of Name by Minor ChildIn all proceedings for change of name under

General Statutes § 52-11, brought by a minorchild through his or her next friend, the parentsof such child, not named as next friends, shall benecessary parties and shall be cited in, in such

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manner as shall be ordered by the court or ajudge thereof.

(P.B. 1978-1997, Sec. 105.)

Sec. 9-25. Action on Bond to MunicipalOfficerWhen any bond, note or other security is taken

to any officer of a community or corporation inthis state, wherein the beneficial interest belongs,or on the face of such security appears to belong,to such community or corporation, any action torecover or enforce the same may be maintainedby such community or corporation in its own cor-porate name. (See General Statutes § 52-73a.)

(P.B. 1978-1997, Sec. 106.)


CHAPTER 10

PLEADINGS

Sec. Sec.10-1. Fact Pleading10-2. Pleading Legal Effect10-3. Allegations Based on Statutory Grounds; Foreign

Law10-4. Implied Duty10-5. Untrue Allegations or Denials10-6. Pleadings Allowed and Their Order10-7. Waiving Right to Plead10-8. Time to Plead10-9. Common Counts10-10. Supplemental Pleadings; Counterclaims10-11. Impleading of Third Party by Defendant in Civil

Action10-12. Service of the Pleading and Other Papers; Respon-

sibility of Counsel or Self-Represented Party:Documents and Persons to Be Served

10-13. —Method of Service10-14. —Proof of Service10-15. —Numerous Defendants10-16. —Several Parties Represented by One Attorney10-17. —Service by Indifferent Person10-18. Penalty for Failing to Plead10-19. Implied Admissions10-20. Contents of Complaint10-21. Joinder of Causes of Action10-22. —Transactions Connected with Same Subject10-23. —Joinder of Torts10-24. —Legal and Equitable Relief10-25. Alternative Relief10-26. Separate Counts10-27. Claim for Equitable Relief10-28. Interest and Costs Need Not Be Claimed10-29. Exhibits as Part of Pleading10-30. Motion to Dismiss; Grounds10-31. —Opposition; Date for Hearing Motion to Dismiss10-32. —Waiver Based on Certain Grounds10-33. —Waiver and Subject Matter Jurisdiction10-34. —Further Pleading by Defendant10-35. Request to Revise10-36. —Reasons in Request to Revise10-37. —Granting of and Objection to Request to Revise10-38. —Waiver of Pleading Revisions10-39. Motion to Strike; Grounds10-40. —Opposition; Date for Hearing Motion to Strike10-41. —Reasons in Motion to Strike [Repealed]


Sec. 10-1. Fact PleadingEach pleading shall contain a plain and concise

statement of the material facts on which thepleader relies, but not of the evidence by whichthey are to be proved, such statement to bedivided into paragraphs numbered consecutively,

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10-42. —Memorandum of Law—Motion and Objection[Repealed]

10-43. —When Memorandum of Decision Required onMotion to Strike

10-44. —Substitute Pleading; Judgment10-45. —Stricken Pleading Part of Another Cause or

Defense10-46. The Answer; General and Special Denial10-47. —Evasive Denials10-48. —Express Admissions and Denials to Be Direct

and Specific10-49. —Suit by Corporation; Admission by General

Denial10-50. —Denials; Special Defenses10-51. —Several Special Defenses10-52. —Admissions and Denials in Special Defense10-53. —Pleading Contributory Negligence10-54. —Pleading of Counterclaim and Setoff10-55. —Withdrawal of Action after Counterclaim10-56. Subsequent Pleadings; Plaintiff’s Response to

Answer10-57. —Matter in Avoidance of Answer10-58. —Pleadings Subsequent to Reply10-59. Amendments; Amendment as of Right by Plaintiff10-60. —Amendment by Consent, Order of Judicial

Authority, or Failure to Object10-61. —Pleading after Amendment10-62. —Variance; Amendment10-63. —Amendment; Legal or Equitable Relief10-64. —Amendment Calling for Legal Relief; Jury Trial10-65. —Amending Contract to Tort and Vice Versa10-66. —Amendment of Amount in Demand10-67. —Amendment of Claim against Insolvent Estate10-68. Pleading Special Matters; Pleading Notice10-69. —Foreclosure Complaint; Pleading Encumbrances10-70. —Foreclosure of Municipal Liens10-71. —Action on Probate Bond10-72. —Action by Assignee of Chose in Action10-73. —Pleading Charters10-74. —Wrongful Sale; Wrongful Conversion10-75. —Goods Sold; Variance10-76. —Probate Appeals; Reasons of Appeal10-77. —Appeals from Commissioners10-78. —Pleading Collateral Source Payments10-79. —Pleading Issues of Policy Limitations

each containing as nearly as may be a separateallegation. If any such pleading does not fully dis-close the ground of claim or defense, the judicialauthority may order a fuller and more particularstatement; and, if in the opinion of the judicialauthority the pleadings do not sufficiently define


the issues in dispute, it may direct the parties toprepare other issues, and such issues shall, if theparties differ, be settled by the judicial authority.

(P.B. 1978-1997, Sec. 108.)

Sec. 10-2. Pleading Legal EffectActs and contracts may be stated according to

their legal effect, but in so doing the pleadingshould be such as fairly to apprise the adverseparty of the state of facts which it is intended toprove. Thus an act or promise by a principal, otherthan a corporation, if in fact proceeding from anagent known to the pleader, should be so stated;and the obligation of a spouse to pay for necessar-ies furnished to his or her spouse, whom he orshe has driven from the marital house, should bestated according to the facts.

(P.B. 1978-1997, Sec. 109.)

Sec. 10-3. Allegations Based on StatutoryGrounds; Foreign Law(a) When any claim made in a complaint, cross

complaint, special defense, or other pleading isgrounded on a statute, the statute shall be specifi-cally identified by its number.

(b) A party to an action who intends to raise anissue concerning the law of any jurisdiction orgovernmental unit thereof outside this state shallgive notice in his or her pleadings or other reason-able written notice.

(P.B. 1978-1997, Sec. 109A.)

Sec. 10-4. Implied DutyIt is unnecessary to allege any promise or duty

which the law implies from the facts pleaded.(P.B. 1978-1997, Sec. 110.)

Sec. 10-5. Untrue Allegations or DenialsAny allegation or denial made without reason-

able cause and found untrue shall subject theparty pleading the same to the payment of suchreasonable expenses, to be taxed by the judicialauthority, as may have been necessarily incurredby the other party by reason of such untrue plead-ing; provided that no expenses for counsel feesshall be taxed exceeding $500 for any oneoffense. Such expenses shall be taxed againstthe offending party whether that party prevails inthe action or not. (See General Statutes § 52-99and annotations.)

(P.B. 1978-1997, Sec. 111.)

Sec. 10-6. Pleadings Allowed and TheirOrderThe order of pleading shall be as follows:(1) The plaintiff’s complaint.(2) The defendant’s motion to dismiss the com-

plaint.

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(3) The defendant’s request to revise the com-plaint.

(4) The defendant’s motion to strike the com-plaint.

(5) The defendant’s answer (including any spe-cial defenses) to the complaint.

(6) The plaintiff’s request to revise the defend-ant’s answer.

(7) The plaintiff’s motion to strike the defend-ant’s answer.

(8) The plaintiff’s reply to any special defenses.(P.B. 1978-1997, Sec. 112.)

Sec. 10-7. Waiving Right to PleadIn all cases, when the judicial authority does

not otherwise order, the filing of any pleading pro-vided for by the preceding section will waive theright to file any pleading which might have beenfiled in due order and which precedes it in theorder of pleading provided in that section.

(P.B. 1978-1997, Sec. 113.)

Sec. 10-8. Time to PleadCommencing on the return day of the writ, sum-

mons and complaint in civil actions, pleadings,including motions and requests addressed to thepleadings, shall advance within thirty days fromthe return day, and any subsequent pleadings,motions and requests shall advance at least onestep within each successive period of thirty daysfrom the preceding pleading or the filing of thedecision of the judicial authority thereon if one isrequired, except that in summary process actionsthe time period shall be three days and in actionsto foreclose a mortgage on real estate the timeperiod shall be fifteen days. The filing of interroga-tories or requests for discovery shall not suspendthe time requirements of this section unless uponmotion of either party the judicial authority shallfind that there is good cause to suspend suchtime requirements.


Sec. 10-9. Common CountsThe common counts writ and complaint is

hereby abolished.(P.B. 1978-1997, Sec. 115.)

Sec. 10-10. Supplemental Pleadings; Coun-terclaimsSupplemental pleadings showing matters aris-

ing since the original pleading may be filed inactions for equitable relief by either party. In anyaction for legal or equitable relief, any defendantmay file counterclaims against any plaintiff andcross claims against any codefendant providedthat each such counterclaim and cross claim


arises out of the transaction or one of the transac-tions which is the subject of the plaintiff’s com-plaint; and if necessary, additional parties may besummoned in to answer any such counterclaimor cross claim. A defendant may also file a coun-terclaim or cross claim under this section againstany other party to the action for the purpose ofestablishing that party’s liability to the defendantfor all or part of the plaintiff’s claim against thatdefendant.

(P.B. 1978-1997, Sec. 116.)

Sec. 10-11. Impleading of Third Party byDefendant in Civil Action(a) A defendant in any civil action may move

the court for permission as a third party plaintiffto serve a writ, summons and complaint upon aperson not a party to the action who is or maybe liable to such defendant for all or part of theplaintiff’s claim against him or her. Such a motionmay be filed at any time before trial and suchpermission may be granted by the judicial author-ity if, in its discretion, it deems that the grantingof the motion will not unduly delay the trial of theaction or work an injustice upon the plaintiff or theparty sought to be impleaded. The writ, summonsand complaint so served shall be equivalent in allrespects to an original writ, summons and com-plaint, and the person upon whom it is served,hereinafter called the third party defendant, shallhave available to him or her all remedies availableto an original defendant, including the right toassert setoffs or counterclaims against the thirdparty plaintiff, and shall be entitled to file crosscomplaints against any other third party defend-ant. The third party defendant may also assertagainst the plaintiff any defenses which the thirdparty plaintiff has to the plaintiff’s claim and mayassert any claim against the plaintiff arising out ofthe transaction or occurrence which is the subjectmatter of the plaintiff’s claim against the thirdparty plaintiff.

(b) The plaintiff, within twenty days after thethird party defendant appears in the action, mayassert any claim against the third party defendantarising out of the transaction or occurrence whichis the subject matter of the original complaint, andthe third party defendant, as against such claim,shall have available to him or her all remediesavailable to an original defendant, including theright to assert setoffs or counterclaims againstthe plaintiff.

(c) A third party defendant may proceed underthis section against any person not a party to theaction who is or may be liable to such defendantfor all or any part of the third party plaintiff’s claimagainst him or her.

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(d) When a counterclaim is asserted against aplaintiff, the plaintiff may cause a third party to bebrought in under circumstances which under thissection would entitle a defendant to do so.

(e) When any civil action in which such a thirdparty has been brought in is reached for trial,the judicial authority hearing the case may orderseparate trials of different parts of the action andmay make such other order respecting the trial ofthe action as will do justice to the parties andexpedite final disposition of the case.

(P.B. 1978-1997, Sec. 117.)

Sec. 10-12. Service of the Pleading andOther Papers; Responsibility of Counsel orSelf-Represented Party: Documents andPersons to Be Served(a) It is the responsibility of counsel or a self-

represented party filing the same to serve on eachother party who has appeared one copy of everypleading subsequent to the original complaint,every written motion other than one in which anorder is sought ex parte and every paper relatingto discovery, request, demand, claim, notice orsimilar paper, except a request for mediationunder General Statutes § 49-31l. When a party isrepresented by an attorney, the service shall bemade upon the attorney unless service upon theparty is ordered by the judicial authority.

(b) It shall be the responsibility of counsel or aself-represented party at the time of filing a motionfor default for failure to appear to serve the partysought to be defaulted with a copy of the motion.Upon good cause shown, the judicial authoritymay dispense with this requirement when judg-ment is rendered.

(c) Any pleading asserting new or additionalclaims for relief against parties who have notappeared or who have been defaulted shall beserved on such parties.


Sec. 10-13. —Method of ServiceService upon the attorney or upon a self-repre-

sented party, except service pursuant to Section10-12 (c), may be by delivering a copy or by mail-ing it to the last known address of the attorney orparty. Delivery of a copy within this section meanshanding it to the attorney or to the party; or leavingit at the attorney’s office with a person in chargethereof; or, if there is no one in charge, leaving itin a conspicuous place therein; or, if the office isclosed or the person to be served has no office,leaving it at the usual place of abode. Delivery ofa copy within this rule may also mean electronicdelivery to the last known electronic address of theattorney or party, provided that electronic delivery


was consented to in writing by the person served.An attorney or self-represented party who files adocument electronically with the court must serveit electronically on any attorney or self-repre-sented party who consented in writing to elec-tronic delivery under this section. Service by mailis complete upon mailing. Service by electronicdelivery is complete upon sending the electronicnotice unless the party making service learns thatthe attempted service did not reach the electronicaddress of the person to be served. Service pursu-ant to Section 10-12 (c) shall be made in the samemanner as an original writ and complaint is servedor as ordered by the judicial authority.

(P.B. 1978-1997, Sec. 122.) (Amended June 29, 1998, totake effect Jan. 1, 1999; amended June 21, 2004, to takeeffect Jan. 1, 2005; amended June 22, 2009, to take effectJan. 1, 2010; amended June 15, 2012, to take effect Jan.1, 2013.)

Sec. 10-14. —Proof of Service(a) Proof of service pursuant to Section 10-12

(a) and (b) may be made by written acknowledg-ment of service by the party served, by a certificateof counsel for the party filing the pleading or paperor by the self-represented party, or by affidavit ofthe person making the service, but these methodsof proof shall not be exclusive. Proof of serviceshall include the address at which such servicewas made. If proof of such service is made by acertificate of counsel or by the self-representedparty, it shall be in substantially the following form:

I certify that a copy of the above was or willimmediately be mailed or delivered electronicallyor nonelectronically on (Date) to all counsel andself-represented parties of record and that writtenconsent for electronic delivery was received fromall counsel and self-represented parties of recordwho were or will immediately be electronicallyserved. (Here list the name of each party servedor immediately to be served and the address atwhich service was made or will immediately bemade.)

Orto the party against whom the default for failureto appear is claimed. (Here list the name of eachnonappearing party served or immediately to beserved and the address at which service wasmade or will immediately be made.)

(Individual Signature ofCounsel or Self-Represented Party)

(b) Proof of service pursuant to Section 10-12(c) shall be made in the same manner as proof ofservice is made of an original writ and complaint,unless the judicial authority ordered service in

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some other manner, in which event service maybe proved as prescribed in subsection (a) above.


Sec. 10-15. —Numerous DefendantsIn any action in which there is an unusually

large number of defendants, the judicial authority,upon motion or of its own initiative, may order thatservice of the pleadings of the defendants andreplies thereto need not be made as between thedefendants and that any cross complaint, counter-claim, or matter constituting an avoidance or affir-mative defense contained therein shall bedeemed to be denied or avoided by all otherdefendants and that the filing of any such pleadingand service thereof upon the plaintiff shall bedeemed to constitute due notice of it to the parties.A copy of every such order shall be served uponthe parties in such manner and form as the judicialauthority directs.

(P.B. 1978-1997, Sec. 124.)

Sec. 10-16. —Several Parties Representedby One AttorneyWhen several parties have entered their

appearance by one attorney or one firm of attor-neys, such several parties shall be treated as asingle party under this section.

(P.B. 1978-1997, Sec. 125.)

Sec. 10-17. —Service by Indifferent PersonService of copies of any written pleading subse-

quent to the original complaint, motion, claim,notice or demand, when required by law or rule ofthe court, may be made by any indifferent person.

(P.B. 1978-1997, Sec. 126.)

Sec. 10-18. Penalty for Failing to PleadParties failing to plead according to the rules

and orders of the judicial authority may be non-suited or defaulted, as the case may be. (SeeGeneral Statutes § 52-119 and annotations.)

(P.B. 1978-1997, Sec. 128.)

Sec. 10-19. Implied AdmissionsEvery material allegation in any pleading which

is not denied by the adverse party shall bedeemed to be admitted, unless such party aversthat he or she has not any knowledge or informa-tion thereof sufficient to form a belief.

(P.B. 1978-1997, Sec. 129.)

Sec. 10-20. Contents of ComplaintThe first pleading on the part of the plaintiff

shall be known as the complaint. It shall containa concise statement of the facts constituting thecause of action and, on a separate page of the


complaint, a demand for relief which shall be astatement of the remedy or remedies sought.When money damages are sought in the demandfor relief, the demand for relief shall include theinformation required by General Statutes § 52-91.

(P.B. 1978-1997, Sec. 131.)

Sec. 10-21. Joinder of Causes of ActionIn any civil action the plaintiff may include in

the complaint both legal and equitable rights andcauses of action, and demand both legal and equi-table remedies; but, if several causes of actionare united in the same complaint, they shall allbe brought to recover, either (1) upon contract,express or implied, or (2) for injuries, with or with-out force, to person and property, or either, includ-ing a conversion of property to the defendant’suse, or (3) for injuries to character, or (4) uponclaims to recover real property, with or withoutdamages for the withholding thereof, and the rentsand profits of the same, or (5) upon claims torecover personal property specifically, with orwithout damages for the withholding thereof, or(6) claims arising by virtue of a contract or byoperation of law in favor of or against a party insome representative or fiduciary capacity, or (7)upon claims, whether in contract or tort or both,arising out of the same transaction or transactionsconnected with the same subject of action. Theseveral causes of action so united shall all belongto one of these classes, and, except in an actionfor the foreclosure of a mortgage or lien, shallaffect all the parties to the action, and not requiredifferent places of trial, and shall be separatelystated; and, in any case in which several causesof action are joined in the same complaint, or asmatter of counterclaim or setoff in the answer, ifit appears to the judicial authority that they cannotall be conveniently heard together, it may ordera separate trial of any such cause of action ormay direct that any one or more of them bedeleted from the complaint or answer. (See Gen-eral Statutes § 52-97 and annotations.)

(P.B. 1978-1997, Sec. 133.)

Sec. 10-22. —Transactions Connected withSame SubjectTransactions connected with the same subject

of action within the meaning of subdivision (7)of Section 10-21, may include any transactionswhich grew out of the subject matter in regard towhich the controversy has arisen; as, for instance,the failure of a bailee to use the goods bailed forthe purpose agreed, also an injury to them by hisor her fault or neglect; the breach of a covenantfor quiet enjoyment by the entry of the lessor, alsoa trespass to goods, committed in the course ofthe entry. Injuries to character, within the meaning

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of subdivision (3) of Section 10-21, may embracelibel, slander, and malicious prosecution.

(P.B. 1978-1997, Sec. 134.)

Sec. 10-23. —Joinder of TortsWhere several torts are committed simultane-

ously against the plaintiff, as a battery accompa-nied by slanderous words, they may be joined,within the meaning of subdivision (7) of Section10-21, as causes of action arising out of the sametransaction, although they may belong to differentclasses of torts.

(P.B. 1978-1997, Sec. 135.)

Sec. 10-24. —Legal and Equitable ReliefA cause of action for legal relief for breach of

contract may be joined with another cause ofaction for equitable relief growing out of anothercontract, although such contracts in no way relateto each other.

(P.B. 1978-1997, Sec. 136.)

Sec. 10-25. Alternative ReliefThe plaintiff may claim alternative relief, based

upon an alternative construction of the cause ofaction.

(P.B. 1978-1997, Sec. 137.)

Sec. 10-26. Separate CountsWhere separate and distinct causes of action,

as distinguished from separate and distinct claimsfor relief founded on the same cause of actionor transaction, are joined, the statement of thesecond shall be prefaced by the words SecondCount, and so on for the others; and the severalparagraphs of each count shall be numbered sep-arately beginning in each count with the num-ber one.

(P.B. 1978-1997, Sec. 138.)

Sec. 10-27. Claim for Equitable ReliefA party seeking equitable relief shall specifically

demand it as such, unless the nature of thedemand itself indicates that the relief sought isequitable relief.

(P.B. 1978-1997, Sec. 139.)

Sec. 10-28. Interest and Costs Need NotBe ClaimedInterest and costs need not be specially claimed

in the demand for relief, in order to recover them.(P.B. 1978-1997, Sec. 140.)

Sec. 10-29. Exhibits as Part of Pleading(a) Any plaintiff, except as otherwise provided

in subsection (b) in connection with a plaintiff inthe housing division as defined in Section 1-7,desiring to make a copy of any document a partof the complaint shall refer to it as Exhibit A, B,C, etc. No later than the return date, the plaintiff


shall file the original or a copy of such exhibit orexhibits in court. The plaintiff shall serve a copyof such exhibit or exhibits on each party no laterthan ten days after receipt of notice of the appear-ance of such party, in the manner provided inSections 10-12 through 10-17, and shall file proofof service on each appearing party with the court.Except as required by statute, the plaintiff shallnot annex the document or documents referredto as exhibits to the complaint, or incorporate themin the complaint, at full length, and if the plaintiffdoes so, the plaintiff shall not be allowed in costsfor such part of the fees of the officer for copiesof such complaint left in service, as are chargeablefor copying such document or documents referredto as exhibits.

(b) The provisions of subsection (a) shall applyto a plaintiff in the housing division, as definedin Section 1-7, desiring to make a copy of anydocument a part of the complaint, except that theplaintiff shall serve on each party who hasappeared a copy of such exhibit or exhibits at thefirst court session of the matter or no later thanseven days after receipt of notice of the appear-ance of such party, whichever is earlier.

(c) When either the plaintiff or the defendant inany pleading subsequent to the complaint desiresto make a copy of any document a part of his orher pleading, such party may, without reciting ittherein, either annex it thereto, or refer to it therein,and shall serve it and file it in court with proof ofservice in the manner provided in Sections 10-12through 10-17.


Sec. 10-30. Motion to Dismiss; Grounds(Amended June 30, 2003, to take effect Jan. 1, 2004;

amended June 14, 2013, to take effect Jan. 1, 2014.)

(a) A motion to dismiss shall be used to assert:(1) lack of jurisdiction over the subject matter; (2)lack of jurisdiction over the person; (3) insuffi-ciency of process; and (4) insufficiency of serviceof process.

(b) Any defendant, wishing to contest the court’sjurisdiction, shall do so by filing a motion to dismisswithin thirty days of the filing of an appearance.

(c) This motion shall always be filed with a sup-porting memorandum of law and, where appro-priate, with supporting affidavits as to facts notapparent on the record.


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Sec. 10-31. —Opposition; Date for HearingMotion to Dismiss(Amended June 14, 2013, to take effect Jan. 1, 2014.)(a) Any adverse party shall have thirty days

from the filing of the motion to dismiss to respondto the motion to dismiss by filing and serving inaccordance with Sections 10-12 through 10-17a memorandum of law in opposition and, whereappropriate, supporting affidavits as to facts notapparent on the record.

(b) Except in summary process matters, themotion shall be placed on the short calendar tobe held not less than forty-five days following thefiling of the motion, unless the judicial authorityotherwise orders. If an evidentiary hearing isrequired, any party shall file a request for suchhearing with the court.


Sec. 10-32. —Waiver Based on CertainGroundsAny claim of lack of jurisdiction over the person

or insufficiency of process or insufficiency of ser-vice of process is waived if not raised by a motionto dismiss filed in the sequence provided in Sec-tions 10-6 and 10-7 and within the time providedby Section 10-30.


HISTORY—2017: In 2017, ‘‘or improper venue’’ wasdeleted after ‘‘person.’’

COMMENTARY—2017: In 2015, ‘‘improper venue’’ wasremoved from Section 10-30 as one of the grounds for a motionto dismiss. The change to this section is consistent with theamendment to Section 10-30.

Sec. 10-33. —Waiver and Subject MatterJurisdictionAny claim of lack of jurisdiction over the subject

matter cannot be waived; and whenever it is foundafter suggestion of the parties or otherwise thatthe court lacks jurisdiction of the subject matter,the judicial authority shall dismiss the action.

(P.B. 1978-1997, Sec. 145.)

Sec. 10-34. —Further Pleading by Defend-antIf any motion to dismiss is denied with respect to

any jurisdictional issue, the defendant may pleadfurther without waiving the right to contest jurisdic-tion further.

(P.B. 1978-1997, Sec. 146.)

Sec. 10-35. Request to ReviseWhenever any party desires to obtain (1) a more

complete or particular statement of the allegationsof an adverse party’s pleading, or (2) the deletionof any unnecessary, repetitious, scandalous,impertinent, immaterial or otherwise improper


allegations in an adverse party’s pleading, or (3)separation of causes of action which may beunited in one complaint when they are improperlycombined in one count, or the separation of twoor more grounds of defense improperly combinedin one defense, or (4) any other appropriate cor-rection in an adverse party’s pleading, the partydesiring any such amendment in an adverse par-ty’s pleading may file a timely request to revisethat pleading.

(P.B. 1978-1997, Sec. 147.)

Sec. 10-36. —Reasons in Request to ReviseThe request to revise shall set forth, for each

requested revision, the portion of the pleadingsought to be revised, the requested revision, andthe reasons therefor, and, except where therequest is served electronically in accordance withSection 10-13, in a format that allows the recipientto insert electronically the objection and reasonstherefor, provide sufficient space in which theparty to whom the request is directed can insertan objection and reasons therefor.


Sec. 10-37. —Granting of and Objection toRequest to Revise(a) Any such request, after service upon each

party as provided by Sections 10-12 through 10-17 and with proof of service endorsed thereon,shall be filed with the clerk of the court in whichthe action is pending, and such request shall bedeemed to have been automatically granted bythe judicial authority on the date of filing and shallbe complied with by the party to whom it is directedwithin thirty days of the date of filing the same,unless within thirty days of such filing the party towhom it is directed shall file objection thereto.

(b) The objection and the reasons therefor shallbe inserted on the request to revise in the spaceprovided under the appropriate requested revi-sion. In the event that a reason for objectionrequires more space than that provided on therequest to revise, it shall be continued on a sepa-rate sheet of paper which shall be attached to thatdocument, except where the request is servedelectronically as provided in Section 10-13 and ina format that allows the recipient to electronicallyinsert the objection and reasons therefor. Therequest to revise on which objections have beeninserted shall be appended to a cover sheet whichshall comply with Sections 4-1 and 4-2 and theobjecting party shall specify thereon to which ofthe requested revisions objection is raised. Thecover sheet with the appended objections shallbe filed with the clerk within thirty days from thedate of the filing of the request for the next short

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calendar list. If the judicial authority overrules theobjection, a substitute pleading in compliance withthe order of the judicial authority shall be filedwithin fifteen days of such order.


Sec. 10-38. —Waiver of Pleading RevisionsWhenever any party files any request to revise

or any subsequent motion or pleading in thesequence provided in Sections 10-6 and 10-7,that party thereby waives any right to seek anyfurther pleading revisions which that party mightthen have requested.

(P.B. 1978-1997, Sec. 150.)

Sec. 10-39. Motion to Strike; Grounds(Amended June 14, 2013, to take effect Jan. 1, 2014.)(a) A motion to strike shall be used whenever

any party wishes to contest: (1) the legal suffi-ciency of the allegations of any complaint, coun-terclaim or cross claim, or of any one or morecounts thereof, to state a claim upon which reliefcan be granted; or (2) the legal sufficiency of anyprayer for relief in any such complaint, counter-claim or cross complaint; or (3) the legal suffi-ciency of any such complaint, counterclaim orcross complaint, or any count thereof, becauseof the absence of any necessary party or, pursu-ant to Section 17-56 (b), the failure to join or givenotice to any interested person; or (4) the joiningof two or more causes of action which cannotproperly be united in one complaint, whether thesame be stated in one or more counts; or (5) thelegal sufficiency of any answer to any complaint,counterclaim or cross complaint, or any part ofthat answer including any special defense con-tained therein.

(b) Each claim of legal insufficiency enumeratedin this section shall be separately set forth andshall specify the reason or reasons for suchclaimed insufficiency.

(c) Each motion to strike must be accompaniedby a memorandum of law citing the legal authori-ties upon which the motion relies.

(d) A motion to strike on the ground of the non-joinder of a necessary party or noncompliancewith Section 17-56 (b) must give the name andresidence of the missing party or interested per-son or such information as the moving party hasas to the identity and residence of the missingparty or interested person and must state themissing party’s or interested person’s interest inthe cause of action.



Sec. 10-40. —Opposition; Date for HearingMotion to Strike(Amended June 30, 2003, to take effect Jan. 1, 2004;


(a) Any adverse party shall have thirty daysfrom the filing of the motion to strike to respondto a motion to strike filed pursuant to Section 10-39 by filing and serving in accordance with Sec-tions 10-12 through 10-17 a memorandum of lawin opposition.

(b) Except in summary process matters, themotion to strike shall be placed on the short calen-dar to be held not less than forty-five days follow-ing the filing of the motion, unless the judicialauthority otherwise orders.


Sec. 10-41. —Reasons in Motion to Strike[Repealed as of Jan. 1, 2014.]

Sec. 10-42. —Memorandum of Law—Motionand Objection[Repealed as of Jan. 1, 2014.]

Sec. 10-43. —When Memorandum of Deci-sion Required on Motion to StrikeWhenever a motion to strike is filed and more

than one ground of decision is set up therein,the judicial authority, in rendering the decisionthereon, shall specify in writing the grounds uponwhich that decision is based.

(P.B. 1978-1997, Sec. 156.)

Sec. 10-44. —Substitute Pleading; Judg-mentWithin fifteen days after the granting of any

motion to strike, the party whose pleading hasbeen stricken may file a new pleading; providedthat in those instances where an entire complaint,counterclaim or cross complaint, or any count ina complaint, counterclaim or cross complaint hasbeen stricken, and the party whose pleading or acount thereof has been so stricken fails to file anew pleading within that fifteen day period, thejudicial authority may, upon motion, enter judg-ment against said party on said stricken com-plaint, counterclaim or cross complaint, or countthereof. Nothing in this section shall dispense withthe requirements of Sections 61-3 or 61-4 of theappellate rules.


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Sec. 10-45. —Stricken Pleading Part ofAnother Cause or DefenseWhenever the judicial authority grants a motion

to strike the whole or any portion of any pleadingor count which purports to state an entire causeof action or defense, and such pleading or portionthereof states or constitutes a part of anothercause of action or defense, the granting of thatmotion shall remove from the case only the causeof action or defense which was the subject of thegranting of that motion, and it shall not removesuch pleading or count or any portion thereof sofar as the same is applicable to any other causeof action or defense.

(P.B. 1978-1997, Sec. 158.)

Sec. 10-46. The Answer; General and Spe-cial DenialThe defendant in the answer shall specially

deny such allegations of the complaint as thedefendant intends to controvert, admitting thetruth of the other allegations, unless the defendantintends in good faith to controvert all the allega-tions, in which case he or she may deny themgenerally. Any defendant who intends to contro-vert the right of the plaintiff to sue as executor, oras trustee, or in any other representative capacity,or as a corporation, or to controvert the executionor delivery of any written instrument or recogni-zance sued upon, shall deny the same in theanswer specifically.

(P.B. 1978-1997, Sec. 160.)

Sec. 10-47. —Evasive DenialsDenials must fairly meet the substance of the

allegations denied. Thus, when the payment of acertain sum is alleged, and in fact a lesser sumwas paid, the defendant cannot simply deny thepayment generally, but must set forth how muchwas paid to the defendant; and where any matterof fact is alleged with divers circumstances, someof which are untruly stated, it shall not be sufficientto deny it as alleged, but so much as is true andmaterial should be stated or admitted, and therest only denied.

(P.B. 1978-1997, Sec. 161.)

Sec. 10-48. —Express Admissions andDenials to Be Direct and SpecificExpress admissions and denials must be direct,

precise and specific, and not argumentative,hypothetical or in the alternative. Accordingly, anypleader wishing expressly to admit or deny a por-tion only of a paragraph must recite that portion;except that where a recited portion of a paragraphhas been either admitted or denied, the remainderof the paragraph may be denied or admitted with-out recital. Admissions or denials of allegations


identified only by a summary or generalizationthereof, or by describing the facts alleged as ‘‘con-sistent’’ or ‘‘inconsistent’’ with other facts recitedor referred to, are improper.

(P.B. 1978-1997, Sec. 162.)

Sec. 10-49. —Suit by Corporation; Admis-sion by General DenialIn an action by a corporation, foreign or domes-

tic, founded upon any contract, express or implied,the defendant shall not, under a general denial,be permitted to dispute, but shall be deemed toadmit, the capacity of the plaintiff to make suchcontract.

(P.B. 1978-1997, Sec. 163.)

Sec. 10-50. —Denials; Special DefensesNo facts may be proved under either a general

or special denial except such as show that theplaintiff’s statements of fact are untrue. Factswhich are consistent with such statements butshow, notwithstanding, that the plaintiff has nocause of action, must be specially alleged. Thus,accord and satisfaction, arbitration and award,coverture, duress, fraud, illegality not apparenton the face of the pleadings, infancy, that thedefendant was non compos mentis, payment(even though nonpayment is alleged by the plain-tiff), release, the statute of limitations and res judi-cata must be specially pleaded, while advantagemay be taken, under a simple denial, of suchmatters as the statute of frauds, or title in a thirdperson to what the plaintiff sues upon or allegesto be the plaintiff’s own.

(P.B. 1978-1997, Sec. 164.)

Sec. 10-51. —Several Special DefensesWhere several matters of defense are pleaded,

each must refer to the cause of action which it isintended to answer, and be separately stated anddesignated as a separate defense, as, FirstDefense, Second Defense, etc. Where the com-plaint or counterclaim is for more than one causeof action, set forth in several counts, each sepa-rate matter of defense should be preceded bya designation of the cause of action which it isdesigned to meet, in this manner: First Defenseto First Count, Second Defense to First Count,First Defense to Second Count, and so on. Anystatement of a matter of defense resting in partupon facts pleaded in any preceding statement inthe same answer may refer to those facts as thusrecited, without otherwise repeating them.

(P.B. 1978-1997, Sec. 165.)

Sec. 10-52. —Admissions and Denials inSpecial DefenseNo special defense shall contain a denial of any

allegation of the complaint or counterclaim unless

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that denial is material to such defense. An admis-sion of any allegation of the complaint or counter-claim in a special defense will be deemed toincorporate such allegation in the defense.

(P.B. 1978-1997, Sec. 166.)

Sec. 10-53. —Pleading Contributory Neg-ligenceIf contributory negligence is relied upon as a

defense, it shall be affirmatively pleaded by thedefendant and the defendant shall specify thenegligent acts or omissions on which the defend-ant relies. (See General Statutes § 52-114 andannotations.)

(P.B. 1978-1997, Sec. 167.)

Sec. 10-54. —Pleading of Counterclaimand SetoffIn any case in which the defendant has either

in law or in equity or in both a counterclaim, orright of setoff, against the plaintiff’s demand, thedefendant may have the benefit of any such setoffor counterclaim by pleading the same as such inthe answer, and demanding judgment accord-ingly; and the same shall be pleaded and repliedto according to the rules governing complaintsand answers. (See General Statutes §§ 52-139to 52-142.)

(P.B. 1978-1997, Sec. 168.)

Sec. 10-55. —Withdrawal of Action afterCounterclaimThe withdrawal of an action after a counter-

claim, whether for legal or equitable relief, hasbeen filed therein shall not impair the right of thedefendant to prosecute such counterclaim as fullyas if said action had not been withdrawn, providedthat the defendant shall, if required by the judicialauthority, give bond to pay costs as in civil actions.

(P.B. 1978-1997, Sec. 169.)

Sec. 10-56. Subsequent Pleadings; Plain-tiff’s Response to AnswerThe plaintiff’s reply pleading to each of the

defendant’s special defenses may admit someand deny others of the allegations of that defense,or by a general denial of that defense put thedefendant upon proof of all the material factsalleged therein.

(P.B. 1978-1997, Sec. 171.)

Sec. 10-57. —Matter in Avoidance of AnswerMatter in avoidance of affirmative allegations

in an answer or counterclaim shall be speciallypleaded in the reply. Such a reply may containtwo or more distinct avoidances of the samedefense or counterclaim, but they must be sepa-rately stated.

(P.B. 1978-1997, Sec. 172.)


Sec. 10-58. —Pleadings Subsequent toReplyFurther pleadings, subsequent in their nature,

may be had if necessary by leave of the judicialauthority.

(P.B. 1978-1997, Sec. 173.)

Sec. 10-59. Amendments; Amendment as ofRight by PlaintiffThe plaintiff may amend any defect, mistake or

informality in the writ, complaint or petition andinsert new counts in the complaint, which mighthave been originally inserted therein, withoutcosts, during the first thirty days after the returnday. (See General Statutes § 52-128 and anno-tations.)

(P.B. 1978-1997, Sec. 175.)

Sec. 10-60. —Amendment by Consent,Order of Judicial Authority, or Failure toObject(a) Except as provided in Section 10-66, a party

may amend his or her pleadings or other parts ofthe record or proceedings at any time subsequentto that stated in the preceding section in the follow-ing manner:

(1) By order of judicial authority; or(2) By written consent of the adverse party; or(3) By filing a request for leave to file an amend-

ment together with: (A) the amended pleading orother parts of the record or proceedings, and (B)an additional document showing the portion orportions of the original pleading or other parts ofthe record or proceedings with the added lan-guage underlined and the deleted languagestricken through or bracketed. The party shall filethe request and accompanying documents afterservice upon each party as provided by Sections10-12 through 10-17, and with proof of serviceendorsed thereon. If no party files an objection tothe request within fifteen days from the date it isfiled, the amendment shall be deemed to havebeen filed by consent of the adverse party. If anopposing party shall have objection to any part ofsuch request or the amendment appendedthereto, such objection in writing specifying theparticular paragraph or paragraphs to which thereis objection and the reasons therefor, shall, afterservice upon each party as provided by Sections10-12 through 10-17 and with proof of serviceendorsed thereon, be filed with the clerk withinthe time specified above and placed upon the nextshort calendar list.

(b) The judicial authority may restrain suchamendments so far as may be necessary to com-pel the parties to join issue in a reasonable timefor trial. If the amendment occasions delay in the

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trial or inconvenience to the other party, the judi-cial authority may award costs in its discretion infavor of the other party. For the purposes of thisrule, a substituted pleading shall be consideredan amendment. (See General Statutes § 52-130and annotations.)


HISTORY—2017: Prior to 2017, subsection (a) (3) read:‘‘By filing a request for leave to file such amendment, withthe amendment appended, after service upon each party asprovided by Sections 10-12 through 10-17, and with proof ofservice endorsed thereon. If no objection thereto has beenfiled by any party within fifteen days from the date of the filingof said request, the amendment shall be deemed to have beenfiled by consent of the adverse party. If an opposing party shallhave objection to any part of such request or the amendmentappended thereto, such objection in writing specifying the par-ticular paragraph or paragraphs to which there is objectionand the reasons therefor, shall, after service upon each partyas provided by Sections 10-12 through 10- 17 and with proofof service endorsed thereon, be filed with the clerk within thetime specified above and placed upon the next short calen-dar list.’’

COMMENTARY—2017: The revision to this sectionrequires the person seeking to file the proposed amendedpleading or other part of the record or proceeding to, in additionto filing an entirely new amended pleading, file an additionaldocument showing the portion or portions of the original plead-ing or other parts of the record or proceedings and the addedor deleted language so that the reader does not have to exam-ine the entire new proposed pleading to discover or find thenew language. This change will make it easier for the courtand the opposing party to see what the proposed amendmentis and where it is located.

Sec. 10-61. —Pleading after AmendmentWhen any pleading is amended the adverse

party may plead thereto within the time providedby Section 10-8 or, if the adverse party hasalready pleaded, alter the pleading, if desired,within ten days after such amendment or suchother time as the rules of practice, or the judicialauthority, may prescribe, and thereafter pleadingsshall advance in the time provided by that section.If the adverse party fails to plead further, pleadingsalready filed by the adverse party shall beregarded as applicable so far as possible to theamended pleading.

(P.B. 1978-1997, Sec. 177.)

Sec. 10-62. —Variance; AmendmentIn all cases of any material variance between

allegation and proof, an amendment may be per-mitted at any stage of the trial. If such allegationwas made without reasonable excuse, or if theadverse party was actually misled thereby to his orher prejudice in maintaining the action or defenseupon the merits, or if such amendment requirespostponement of the trial or additional expenseto the adverse party and this is shown to the satis-faction of the judicial authority, such amendment


shall be made only upon payment of costs or uponsuch terms as the judicial authority may deemproper; but in any other case, without costs. Imma-terial variances shall be wholly disregarded.

(P.B. 1978-1997, Sec. 178.)

Sec. 10-63. —Amendment; Legal or Equita-ble ReliefIf, on the trial, whether upon an issue of fact

or of law, of a cause wherein equitable relief isdemanded, it appears that the plaintiff is not enti-tled to such relief but may be entitled to legal relief,the judicial authority may permit the complaint tobe amended so as to present a proper case forthe latter relief; and in like manner a complaintdemanding legal relief may be so amended as toentitle the plaintiff to equitable relief. (See GeneralStatutes § 52-137 and annotations.)

(P.B. 1978-1997, Sec. 179.)

Sec. 10-64. —Amendment Calling for LegalRelief; Jury TrialIf on the trial any complaint is so amended as to

call for legal instead of equitable relief, the judicialauthority shall not proceed to judgment until thedefendant has had a reasonable opportunity toput the issue or issues, on which the new claimfor relief may be based, on the jury docket. (SeeGeneral Statutes § 52-138 and annotations.)

(P.B. 1978-1997, Sec. 180.)

Sec. 10-65. —Amending Contract to Tortand Vice VersaA complaint for breach of contract may be

amended so as to set forth a cause of actionfounded on a tort arising from the same transac-tion or subject of action; and a complaint foundedon a tort may be amended so as to set forth acause of action for a breach of contract arisingout of the same transaction or subject of action.(See General Statutes § 52-136 and annotations.)

(P.B. 1978-1997, Sec. 181.)

Sec. 10-66. —Amendment of Amount inDemandA party may amend the party’s statement con-

cerning the amount in demand by order of thejudicial authority upon filing of a motion for leaveto file such amendment, with a copy of the amend-ment appended, after service upon each party asprovided by Sections 10-12 through 10-17, andwith proof of service endorsed thereon. Afterobtaining permission of the judicial authority, themoving party shall file the amended statement ofamount in demand with the clerk and shall payany entry fee prescribed by statute to the clerkwhen the amendment is filed.


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HISTORY—2017: Prior to 2017, what had been the secondand third sentences of this section read: ‘‘After obtaining per-mission of the judicial authority, the moving party shall file theoriginal amendment with the clerk. If the amount, legal interestor property in demand was alleged to be less than $2500 inaccordance with the provisions of Section 10-20, or, prior toOctober 1, 1979, was alleged to be less than $7500, and theparty has been given permission by a judicial authority toamend the demand to an amount in excess of either amount,the party shall pay any entry fee prescribed by statute to theclerk when the amendment is filed.’’

COMMENTARY—2017: The revision to this section deletesthe portion of the rule that references specific amounts, butretains the remainder of the rule.

Sec. 10-67. —Amendment of Claim againstInsolvent EstateIn any hearing on appeal from the doings of

commissioners on the estate of an insolventdebtor or a deceased person, the claimant mayamend any defect, mistake or informality in thestatement of the claim, not changing the groundof action; such amendment to be upon such termsas to costs as the judicial authority directs. (SeeGeneral Statutes § 52-131 and annotations.)

(P.B. 1978-1997, Sec. 183.)

Sec. 10-68. Pleading Special Matters; Plead-ing NoticeWhenever in an action of tort or upon a statute

the plaintiff is compelled to allege the giving of anotice required by statute, the plaintiff shall eitherrecite the same in the complaint or annex acopy thereto.

(P.B. 1978-1997, Sec. 185.)

Sec. 10-69. —ForeclosureComplaint;Plead-ing EncumbrancesThe complaint in all actions seeking the foreclo-

sure of a mortgage or other lien upon real estateshall set forth, in addition to the other essentialsof such complaint: All encumbrances of recordupon the property both prior and subsequent tothe encumbrance sought to be foreclosed, thedates of such encumbrances, the amount of eachand the date when such encumbrance wasrecorded; if such encumbrance be a mechanic’slien, the date of commencing to perform servicesor furnish materials as therein recited; and if suchencumbrance be a judgment lien, whether saidjudgment lien contains a reference to the previousattachment of the same premises in the sameaction, as provided by General Statutes § 52-380a.

(P.B. 1978-1997, Sec. 186.)

Sec. 10-70. —Foreclosure of MunicipalLiens(a) In any action to foreclose a municipal tax or

assessment lien the plaintiff need only allege and


prove: (1) the ownership of the liened premiseson the date when the same went into the taxlist, or when said assessment was made; (2) thatthereafter a tax in the amount specified in the list,or such assessment in the amount made, wasduly and properly assessed upon the property andbecame due and payable; (3) (to be used onlyin cases where the lien has been continued bycertificate) that thereafter a certificate of lien forthe amount thereof was duly and properly filedand recorded in the land records of the said townon the date stated; (4) that no part of the samehas been paid; and (5) other encumbrances asrequired by the preceding section.

(b) When the lien has been continued by certifi-cate, the production in court of the certificate oflien, or a certified copy thereof, shall be primafacie evidence that all requirements of law for theassessment and collection of the tax or assess-ment secured by it, and for the making and filingof the certificate, have been duly and properlycomplied with. Any claimed informality, irregularityor invalidity in the assessment or attempted col-lection of the tax, or in the lien filed, shall be amatter of affirmative defense to be alleged andproved by the defendant.

(P.B. 1978-1997, Sec. 187.)

Sec. 10-71. —Action on Probate BondIn any action upon a bond taken in a court of

probate, not brought by a representative of theestate in connection with which the bond wasgiven or by some person in that person’s ownbehalf and that of all other persons interested inthe estate, the plaintiff shall aver in the complaintor reply for whose special benefit the action isprosecuted, and how such persons are interestedin the same, and how the act or neglect of thedefendant has injured their rights or affected theirinterests and the judgment rendered in any suchcase shall not, in any future proceedings, by scirefacias or otherwise, bar or conclude the rights ofother persons interested in the bond. (See Gen-eral Statutes § 52-117 and annotations.)

(P.B. 1978-1997, Sec. 189.)

Sec. 10-72. —Action by Assignee of Chosein ActionWhere the assignee and equitable and bona

fide owner of any chose in action, not negotiable,sues thereon in his or her own name, such partyshall in the complaint allege that he or she is theactual bona fide owner thereof, and set forth whenand how such party acquired title thereto. (SeeGeneral Statutes § 52-118 and annotations.)

(P.B. 1978-1997, Sec. 190.)

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Sec. 10-73. —Pleading ChartersAll acts of incorporation passed by the General

Assembly may be declared on or pleaded as pub-lic acts. (See General Statutes § 52-115 andannotations.)

(P.B. 1978-1997, Sec. 191.)

Sec. 10-74. —Wrongful Sale; Wrongful Con-versionWhere the defendant has wrongfully sold per-

sonal property of the plaintiff, the latter may waivethe tort, affirm the sale, and sue for the proceeds;but in case of wrongful conversion of property,without a sale, the plaintiff cannot waive the tortand declare as on a contract.

(P.B. 1978-1997, Sec. 192.)

Sec. 10-75. —Goods Sold; VarianceIn an action for goods sold at a reasonable

price, if the proof is that they were sold at anagreed price, the plaintiff shall not be precluded,on the ground of a variance, from recovering suchagreed price; and in an action for goods sold at anagreed price the plaintiff may recover a different ora reasonable price, if the proof fails to establishthe price alleged; and the like rule shall prevail inactions for work done, materials furnished, or useand occupation of land.

(P.B. 1978-1997, Sec. 193.)

Sec. 10-76. —Probate Appeals; Reasons ofAppeal(a) Unless otherwise ordered, in all appeals

from probate the appellant shall file reasons ofappeal, which upon motion shall be made reason-ably specific, within ten days after the return day;and pleadings shall thereafter follow in analogyto civil actions.

(b) Appellees opposing the probate of a willshall specifically deny such of the reasons ofappeal as they intend to controvert and affirma-tively allege any other grounds upon which theypropose to rely.

(c) The appellant in appeals involving the pro-bate of a will shall file, with the reasons of appeal,a copy of the will. (See General Statutes §§ 45a-186 to 45a-193.)

(P.B. 1978-1997, Sec. 194.)

Sec. 10-77. —Appeals from CommissionersIn all appeals from the allowance or disallow-

ance of any claim by commissioners appointedby courts of probate, the party presenting theclaim shall, within ten days after the return day,unless otherwise ordered, file a statement of theamount and nature of the claim, and of the factsupon which it is based, which statement shall con-form, as far as may be, in form and substance,


to the requirements of a complaint brought torecover upon said claim in a civil action. To suchstatement the adverse party, unless otherwiseordered by the judicial authority, shall plead, andthereafter the pleadings shall continue until issuesare joined, as in civil actions.

(P.B. 1978-1997, Sec. 195.)

Sec. 10-78. —Pleading Collateral SourcePayments

No pleading shall contain any allegationsregarding receipt by a party of collateral source

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payments as described in General Statutes §§ 52-225a and 52-225b.

(P.B. 1978-1997, Sec. 195A.)

Sec. 10-79. —Pleading Issues of Policy Lim-itationsAn insurer should raise issues of monetary pol-

icy limits, or credits for payments by or on behalf ofthird party tortfeasors, by special defense. When ajury determination of the facts raised by specialdefense is not necessary, the special defenseshall not be submitted to the jury but, rather, shallbe resolved by the trial court prior to the renderingof judgment.

(P.B. 1978-1997, Sec. 195B.)


CHAPTER 11

MOTIONS, REQUESTS, ORDERS OF NOTICE, ANDSHORT CALENDAR

Sec. Sec.11-1. Form of Motion and Request11-2. Definition of ‘‘Motion’’ and ‘‘Request’’11-3. Motion for Misjoinder of Parties11-4. Applications for Orders of Notice11-5. Subsequent Orders of Notice; Continuance11-6. Notice by Publication11-7. Attestation; Publication; Proof of Compliance11-8. Orders of Notice Directed outside of the United

States of America11-9. Disclosure of Previous Applications11-10. Requirement That Memorandum of Law Be Filed

with Certain Motions11-11. Motions Which Delay the Commencement of the

Appeal Period or Cause the Appeal Period toStart Again


Sec. 11-1. Form of Motion and Request(a) Every motion, request, application or objec-

tion directed to pleading or procedure, unlessrelating to procedure in the course of a trial, shallbe in writing. A motion to extend time to plead,respond to written discovery, object to written dis-covery, or respond to requests for admissionsshall state the date of the certification of serviceof the document for which an extension is soughtand the date through which the moving party isseeking the extension.

(b) (1) For civil matters, with the exception ofhousing, family and small claims matters, whenany motion, application or objection is filed eitherelectronically or on paper, no order page shouldbe filed unless an order of notice and citationis necessary.

(2) For family, juvenile, housing and smallclaims matters, when any motion, application orobjection is filed in paper format, an order shallbe annexed to the filing until such cases are incor-porated into the Judicial Branch’s electronic filingsystem. Once these case types are incorporatedinto such electronic filing system, no order pageshould be filed unless an order of notice and cita-tion is necessary.

(c) Whether filed under subsection (b) (1) or (b)(2), such motion, request, application or objectionshall be served on all parties as provided in Sec-tions 10-12 through 10-17 and, when filed, thefact of such service shall be endorsed thereon.

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11-12. Motion to Reargue11-13. Short Calendar; Need for List; Case Assigned for

Trial; Reclaims11-14. —Short Calendar; Frequency; Time; Lists11-15. —Short Calendar; Assignments Automatic11-16. —Continuances when Counsel’s Presence or Oral

Argument Required11-17. —Transfers on Short Calendar11-18. —Oral Argument of Motions in Civil Matters11-19. —Time Limit for Deciding Short Calendar Matters11-20. Closure of Courtroom in Civil Cases11-20A. Sealing Files or Limiting Disclosure of Documents

in Civil Cases11-20B. —Documents Containing Personal Identifying

Information11-21. Motions for Attorney’s Fees

Any such motion, request, application or objec-tion, as well as any supporting brief or memoran-dum, shall include a page number on each pageother than the first page, except that this require-ment shall not apply to forms supplied by the Judi-cial Branch or generated by the electronic filingsystem.


HISTORY—2017: In the second sentence of what is nowsubsection (a), ‘‘the date of the certification of service of thedocument for which an extension is sought and’’ was addedafter ‘‘state.’’

COMMENTARY—2017: The purpose of this revision is toinform the court of the length of time being sought in thetotality. The party filing a standard disclosure request doesnot file any notice with the court as to the date of the filing ofthe request. See Sections 13-6 (d) and 13-9 (e). Unless themovant states the date of the certification of service of thedocument in its motion, the court does not know whether theextension sought in the motion is reasonable or if the motionshould be a request. See Sections 13-7 (a) (2) and 13-10(a) (2).

TECHNICAL CHANGE: What had been the first paragraphof this section has been designated subsection (a). What hadbeen subsections (a) and (b) have been designated subdivi-sions (1) and (2) of subsection (b), respectively. The refer-ences in the first clause of subsection (c) have been alteredto conform to these changes.

Sec. 11-2. Definition of ‘‘Motion’’ and‘‘Request’’As used in these rules, the term ‘‘motion’’

means any application to the court for an order,


which application is to be acted upon by the courtor any judge thereof; and the term ‘‘request’’means any application to the court which shall begranted by the clerk by operation of these rulesunless timely objection is filed.

(P.B. 1978-1997, Sec. 197.)

Sec. 11-3. Motion for Misjoinder of PartiesThe exclusive remedy for misjoinder of parties

is by motion to strike. As set forth in Section 10-39, the exclusive remedy for nonjoinder of partiesis by motion to strike.

(P.B. 1978-1997, Sec. 198.)

Sec. 11-4. Applications for Orders of NoticeApplications for orders of notice, whether made

to a court, a judge, a clerk, or an assistant clerk,shall be made in writing, shall state the residenceof the party whom the notice is sought to reachor that all reasonable efforts have been made toascertain the residence and have failed, and shallfurther state what notice is considered most likelyto come to the attention of such person, with thereasons therefor, unless they are evident; andsuch applications shall become a part of the fileof the case.

(P.B. 1978-1997, Sec. 199.)

Sec. 11-5. Subsequent Orders of Notice;ContinuanceMotions made to the court for a second or sub-

sequent order of notice shall be filed with the clerk,who shall call them to the attention of the judicialauthority at the earliest convenient time. The judi-cial authority may thereupon enter its order ordirect that the matter be placed on the next shortcalendar list. If a continuance of the case isdesired, it may also be requested in the motionfor the order of notice.

(P.B. 1978-1997, Sec. 200.)

Sec. 11-6. Notice by Publication(a) If an order of notice is by publication and it

states the nature of the action and the relief soughtsufficiently to inform the party to whom the noticeis addressed of the way in which the interests ofthe party may be affected, the authority issuing theorder may direct that only the order be published.

(b) Every notice by publication shall have thewords ‘‘State of Connecticut’’ in the caption of thecase, and following it, in bold type, the words‘‘Notice to (the person to whom it is addressed).’’

(P.B. 1978-1997, Sec. 201.)

Sec. 11-7. Attestation; Publication; Proofof ComplianceOrders of notice of legal or judicial proceedings

need not be directed to or attested by any officeror person, but all copies of complaints or other

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papers thereby ordered, served or mailed shallbe so attested as true copies of the original. Toprove publication of any legal notice, either thereturn of any officer authorized to serve processor the affidavit of any person showing that suchpublication was made as directed shall be suffi-cient. Such order shall not require publication ofany recital stating where the designated newspa-per is printed or recital of any other details in orpertinent to the application for such order whichare not essential parts of the notice to be given.A copy of the prescribed notice, instead of theoriginal order, may be left with the newspaperfor publication purposes, and each original ordershall be left with or returned to the clerk of the courtin which the proceeding is pending or returnable.When proof of compliance with the order is filedwith such clerk, he or she shall note such factupon the docket, and such proof and order shallbe preserved as part of the case file. (See GeneralStatutes § 52-52 and annotations.)

(P.B. 1978-1997, Sec. 202.)

Sec. 11-8. Orders of Notice Directed outsideof the United States of AmericaIf service of process cannot be made under the

applicable international treaty or convention withinsixty days from the issuance of the summons,then the judicial authority may issue, upon theapplication of any party, an order of notice. Indetermining what manner and form of notice shallbe ordered, the judicial authority shall considerthe following:

(1) other methods of service specified orallowed in any applicable international treaty orconvention, including any reservations;

(2) whether all applicable international treatiesand conventions prohibit substituted service;

(3) what method of service provides the great-est likelihood the party being served will receiveactual and timely notice of the suit so the partymay appear and defend;

(4) whether a particular method of service vio-lates the law, particularly the criminal law, of theforeign country involved;

(5) whether an actual agent of the party beingserved can be served within the United States.

(P.B. 1978-1997, Sec. 202A.)

Sec. 11-9. Disclosure of Previous Appli-cationsUpon making a motion or application to the

court, or to a judge thereof before the return dayof the action, (1) for an order appointing a receiveror an injunction, or (2) for a modification or dissolu-tion of any such order or injunction, or (3) forissuance of a prejudgment remedy, or (4) for areduction or dissolution of an attachment, if a


motion or application for the same order or injunc-tion has been previously made to the court or toany judge, such motion or application shall sorecite. Nothing in this section shall be so con-strued as to preclude the making of more thanone motion or application for the same or similarorder or injunction or affect in any way the rightof the applicant to have such motion or applicationpassed upon on its merits.

(P.B. 1978-1997, Sec. 203.)

Sec. 11-10. Requirement That Memorandumof Law Be Filed with Certain Motions(a) A memorandum of law briefly outlining the

claims of law and authority pertinent thereto shallbe filed and served by the movant with the follow-ing motions and requests: (1) motions regardingparties filed pursuant to Sections 9-18 through 9-22 and motions to implead a third party defendantfiled pursuant to Section 10-11; (2) motions todismiss except those filed pursuant to Section 14-3; (3) motions to strike; (4) motions to set asidejudgment filed pursuant to Section 17-4; and (5)motions for summary judgment. Memoranda oflaw may be filed by other parties on or before thetime the matter appears on the short calendar.

(b) A reply memorandum is not required andthe absence of such memoranda will not prejudiceany party. A reply memorandum shall be strictlyconfined to a discussion of matters raised by theresponsive memorandum and shall be filed withinfourteen days of the filing of the responsive memo-randum to which such reply memoranda isbeing made.

(c) Surreply memoranda cannot be filed withoutthe permission of the judicial authority.


Sec. 11-11. Motions Which Delay the Com-mencement of the Appeal Period or Causethe Appeal Period to Start AgainAny motions which would, pursuant to Section

63-1, delay the commencement of the appealperiod, and any motions which, pursuant to Sec-tion 63-1, would toll the appeal period and causeit to begin again, shall be filed simultaneouslyinsofar as such filing is possible, and shall beconsidered by the judge who rendered the under-lying judgment or decision. The party filing anysuch motion shall set forth the judgment or deci-sion which is the subject of the motion, the nameof the judge who rendered it, the specific groundsupon which the party relies, and shall indicate onthe bottom of the first page of the motion that suchmotion is a Section 11-11 motion. The foregoingapplies to motions to reargue decisions that arefinal judgments for purposes of appeal, but shall

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not apply to motions under Sections 16-35, 17-2A and 11-12.

(P.B. 1978-1997, Sec. 204A.)

Sec. 11-12. Motion to Reargue(a) A party who wishes to reargue a decision

or order rendered by the court shall, within twentydays from the issuance of notice of the renditionof the decision or order, file a motion to rearguesetting forth the decision or order which is thesubject of the motion, the name of the judge whorendered it, and the specific grounds for reargu-ment upon which the party relies.

(b) The judge who rendered the decision ororder may, upon motion of a party and a showingof good cause, extend the time for filing a motionto reargue. Such motion for extension must befiled before the expiration of the twenty day timeperiod in subsection (a).

(c) The motion to reargue shall be consideredby the judge who rendered the decision or order.Such judge shall decide, without a hearing,whether the motion to reargue should be granted.If the judge grants the motion, the judge shallschedule the matter for hearing on the reliefrequested.

(d) This section shall not apply to motions toreargue decisions which are final judgments forpurposes of appeal. Such motions shall be filedpursuant to Section 11-11.

(P.B. 1978-1997, Sec. 204B.)

Sec. 11-13. Short Calendar; Need for List;Case Assigned for Trial; Reclaims(a) Unless otherwise provided in these rules or

ordered by the judicial authority, questions as tothe terms or form of a decree or judgment to berendered on the report of a committee or of audi-tors, or on an award of arbitrators, foreclosureswhere the only question is as to the time to belimited for redemption, all motions and objectionsto requests when practicable, and all issues oflaw must be placed on the short calendar list. Nomotions will be heard which are not on said listand ought to have been placed thereon; providedthat any motion in a case on trial, or assigned fortrial, may be disposed of by the judicial authorityat its discretion, or ordered upon the short calen-dar list on terms, or otherwise.

(b) Unless it is filed electronically, whenever ashort calendar matter or reclaim slip is filed in acase which has been assigned for trial, the filingparty shall place the words ‘‘assigned for trial’’ onthe bottom of the first page of the document andon any short calendar reclaim slip. The movingparty at a short calendar hearing shall, when appli-cable, inform the judicial authority that the casehas been assigned for trial.


(c) If a motion has gone off the short calendarwithout being adjudicated, any party may claimthe motion for adjudication. If an objection to arequest has gone off the short calendar withoutbeing adjudicated, the party who filed the requestmay claim the objection to the request for adjudi-cation. If a case is on the docket managementlist, any party may claim any motion or objectionfor adjudication when the motion or objection mustbe resolved to close the pleadings.


Sec. 11-14. —Short Calendar; Frequency;Time; ListsShort calendar sessions shall be held in each

judicial district and geographical area at leastonce each month, the date, hour and place to befixed by the presiding judge upon due notice tothe clerk. The caseflow coordinator or clerk, inconsultation with the presiding judge, shall deter-mine the number of lists, such as whether thereshall be separate lists for family relations mattersand foreclosures, and whether various portions ofany one list shall be scheduled for different daysand for different hours of the same day. Notice ofthe assigned date and time of the motion shall beprovided to attorneys and self-represented partiesof record.


Sec. 11-15. —Short Calendar; AssignmentsAutomaticMatters to be placed on the short calendar shall

be assigned automatically by the clerk withoutwritten claim, except as provided in Section 17-31. No such matters shall be so assigned unlessfiled at least five days before the opening of courton the short calendar day. Motions to dismiss,motions to strike, and motions for summary judg-ment shall be assigned in accordance with Sec-tions 10-31, 10-40 and 17-45, respectively.

(P.B. 1978-1997, Sec. 208.)

Sec. 11-16. —Continuances when Coun-sel’s Presence or Oral Argument RequiredMatters upon the short calendar list requiring

oral argument or counsel’s presence shall not becontinued except for good cause shown; and nosuch matter in which adverse parties are inter-ested shall be continued unless the parties shallagree thereto before the day of the short calendarsession and notify the clerk, who shall make notethereof on the list of the presiding judge; in theabsence of such agreement, unless the judicialauthority shall otherwise order, any counsel

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appearing may argue the matter and submit it fordecision, or request that it be denied.

(P.B. 1978-1997, Sec. 209.)

Sec. 11-17. —Transfers on Short CalendarMatters on the short calendar list may, by writ-

ten stipulation of the parties and consent of thejudge, be heard and disposed of by any judge inany judicial district, who shall certify the decisionto the clerk of the court in which the action ispending, who shall thereupon enter the decisionas the order or judgment of the court.

(P.B. 1978-1997, Sec. 210.)

Sec. 11-18. —Oral Argument of Motions inCivil Matters(a) Oral argument is at the discretion of the

judicial authority except as to motions to dismiss,motions to strike, motions for summary judgment,motions for judgment of foreclosure, and motionsfor judgment on the report of an attorney trial ref-eree and/or hearing on any objections thereto.For those motions, oral argument shall be a matterof right, provided:

(1) the motion has been marked ready inaccordance with the procedure that appears onthe short calendar on which the motionappears, or

(2) a nonmoving party files and serves on allother parties pursuant to Sections 10-12 through10-17, with proof of service endorsed thereon, awritten notice stating the party’s intention to arguethe motion or present testimony. Such a noticeshall be filed on or before the third day before thedate of the short calendar date and shall contain(A) the name of the party filing the motion and(B) the date of the short calendar on which thematter appears.

(b) As to any motion for which oral argumentis of right and as to any other motion for which thejudicial authority grants or, in its own discretion,requires argument or testimony, the date for argu-ment or testimony shall be set by the judge towhom the motion is assigned.

(c) If a case has been designated for argumentas of right or by the judicial authority but a datefor argument or testimony has not been set withinthirty days of the date the motion was markedready, the movant may reclaim the motion.

(d) Failure to appear and present argument onthe date set by the judicial authority shall consti-tute a waiver of the right to argue unless the judi-cial authority orders otherwise.

(e) Notwithstanding the above, all motions towithdraw appearance, except those under Sec-tion 3-9 (b), and any other motions designatedby the chief court administrator in the civil short


calendar standing order shall be set down fororal argument.

(f) For those motions for which oral argumentis not a matter of right, oral argument may berequested in accordance with the procedure thatis printed on the short calendar on which themotion appears.


Sec. 11-19. —Time Limit for Deciding ShortCalendar Matters(a) Any judge of the superior court and any

judge trial referee to whom a short calendar matterhas been submitted for decision, with or withoutoral argument, shall issue a decision on such mat-ter not later than 120 days from the date of suchsubmission, unless such time limit is waived bythe parties. In the event that the judge or refereeconducts a hearing on the matter and/or the par-ties file briefs concerning it, the date of submissionfor purposes of this section shall be the date thematter is heard or the date the last brief orderedby the court is filed, whichever occurs later. If adecision is not rendered within this period the mat-ter may be claimed in accordance with subsection(b) for assignment to another judge or referee.

(b) A party seeking to invoke the provisions ofthis section shall not later than fourteen days afterthe expiration of the 120 day period file with theclerk a motion for reassignment of the undecidedshort calendar matter which shall set forth thedate of submission of the short calendar matter,the name of the judge or referee to whom it wassubmitted, that a timely decision on the matterhas not been rendered, and whether or not oralargument is requested or testimony is required.The failure of a party to file a timely motion forreassignment shall be deemed a waiver by thatparty of the 120 day time.

(P.B. 1978-1997, Sec. 211A.)

Sec. 11-20. Closure of Courtroom in CivilCases(Amended May 14, 2003, to take effect July 1, 2003.)(a) Except as otherwise provided by law, there

shall be a presumption that courtroom proceed-ings shall be open to the public.

(b) Except as provided in this section andexcept as otherwise provided by law, the judicialauthority shall not order that the public beexcluded from any portion of a courtroom pro-ceeding.

(c) Upon written motion of any party, or uponits own motion, the judicial authority may order

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that the public be excluded from any portion of acourtroom proceeding only if the judicial authorityconcludes that such order is necessary to pre-serve an interest which is determined to overridethe public’s interest in attending such proceeding.The judicial authority shall first consider reason-able alternatives to any such order and any suchorder shall be no broader than necessary to pro-tect such overriding interest. An agreement of theparties to close the courtroom shall not constitutea sufficient basis for the issuance of such an order.

(d) In connection with any order issued pursuantto subsection (c) of this section, the judicialauthority shall articulate the overriding interestbeing protected and shall specify its findingsunderlying such order. If any findings would revealinformation entitled to remain confidential, thosefindings may be set forth in a sealed portion ofthe record. The time, date and scope of any suchorder shall be set forth in a writing signed by thejudicial authority which upon issuance the courtclerk shall immediately enter in the court file andpublish by posting both on the Judicial Branchwebsite and on a bulletin board adjacent to theclerk’s office and accessible to the public. Thejudicial authority shall order that a transcript ofits decision be included in the file or prepare amemorandum setting forth the reasons for itsorder.

(e) A motion to close a courtroom proceedingshall be filed not less than fourteen days beforethe proceeding is scheduled to be heard. Suchmotion shall be placed on the short calendar sothat notice to the public is given of the time andplace of the hearing on the motion and to affordthe public an opportunity to be heard on the motionunder consideration. The motion itself may be filedunder seal, where appropriate, by leave of thejudicial authority. When placed on a short calen-dar, motions filed under this rule shall be listed ina separate section titled ‘‘Motions to Seal orClose’’ and shall also be listed with the time, dateand place of the hearing on the Judicial Branchwebsite. A notice of such motion being placed onthe short calendar shall, upon issuance of theshort calendar, be posted on a bulletin board adja-cent to the clerk’s office and accessible to thepublic.

(f) With the exception of any provision of theGeneral Statutes under which the judicial author-ity is authorized to close courtroom proceedings,whether at a pretrial or trial stage, no order exclud-ing the public from any portion of a courtroomproceeding shall be effective until seventy-twohours after it has been issued. Any personaffected by such order shall have the right to thereview of such order by the filing of a petition for

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 11-20A

review with the appellate court within seventy-twohours from the issuance of such order. The timelyfiling of any petition for review shall stay suchorder.

(P.B. 1978-1997, Sec. 211B.) (Amended June 28, 1999,to take effect Jan. 1, 2000; amended May 14, 2003, to takeeffect July 1, 2003; amended June 21, 2004, to take effectJan. 1, 2005; June 20, 2011, to take effect Jan. 1, 2012.)

HISTORY—2003: Prior to July 1, 2003, Sec. 11-20 read:‘‘Exclusion of the Public; Sealing Files Limiting Disclosureof Documents

‘‘(a) Except as provided in this section and except as other-wise provided by law, including Section 13-5, the judicialauthority shall not order that the public, which may includethe news media, be excluded from any portion of a proceedingand shall not order that any files, affidavits, documents, orother materials on file with the court or filed in connection witha court proceeding be sealed or their disclosure limited.

‘‘(b) Upon motion of any party, or upon its own motion, thejudicial authority may order that the public be excluded fromany portion of a proceeding and may order that files, affidavits,documents or other materials on file with the court or filed inconnection with a court proceeding be sealed or their disclo-sure limited if the judicial authority concludes that such orderis necessary to preserve an interest which is determined tooverride the public’s interest in attending such proceeding orin viewing such materials. Any such order shall be no broaderthan necessary to protect such overriding interest.

‘‘(c) In connection with any order issued pursuant to subsec-tion (b) of this section, the judicial authority shall, on the recordin open court, articulate the overriding interest being protectedand shall specify its findings underlying such order. The timeand date of any such order shall be entered by the court clerkin the court file together with such order.

‘‘(d) With the exception of orders concerning any sessionof court conducted pursuant to General Statutes §§ 46b-11,46b-49, 46b-122 or any other provision of the General Statutesunder which the judicial authority is authorized to close pro-ceedings, whether at a pretrial or trial stage, no order excludingthe public from any portion of a proceeding shall be effectiveuntil seventy-two hours after it has been issued. Any personaffected by such order shall have the right to the review ofsuch order by the filing of a petition for review with the appellatecourt within seventy-two hours from the issuance of such order.The timely filing of any petition for review shall stay such order.

‘‘(e) With the exception of orders concerning the confidenti-ality of records and other papers, issued pursuant to GeneralStatutes § 46b-11 or any other provision of the General Stat-utes under which the court is authorized to seal or limit thedisclosure of files, affidavits, documents or other materials,whether at a pretrial or trial stage, any person affected by acourt order that seals or limits the disclosure of any files,documents or other materials on file with the court or filed inconnection with a court proceeding, shall have the right to thereview of such order by the filing of a petition for review withthe appellate court within seventy-two hours from the issuanceof such order. Nothing under this subsection shall operate asa stay of such sealing order.

‘‘(f) The provisions of this section shall not apply to settle-ment agreements which have not been incorporated into ajudgment of the court.’’

COMMENTARY—2003: The public and press enjoy a rightof access to attend trials in civil as well as criminal cases.Westmoreland v. Columbia Broadcasting System, Inc., 752F.2d 16, 22 (2d Cir. 1984); Publicker Industries, Inc. v. Cohen,733 F.2d 1059, 1071 (3d Cir. 1984). This right is implicit in the

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first and fourteenth amendments. Westmoreland v. ColumbiaBroadcasting System, Inc., supra, 21. In civil cases, publicaccess to trials ‘‘enhances the quality and safeguards theintegrity of the factfinding process . . . fosters an appearanceof fairness . . . and heightens public respect for the judicialprocess . . . while permitting the public to participate in andserve as a check upon the judicial process—an essential com-ponent in our structure of self government . . . .’’ (Citationsomitted; internal quotation marks omitted.) Id., 23.

For a further discussion of court closure, see the Commen-tary to Section 42-49.

Because this section no longer deals with the sealing ofdocuments, subsections (e) and (f) have been transferred,with revisions, to Section 11-20A.

HISTORY—2005: Prior to 2005, the third sentence of sub-section (d) read: ‘‘The time, date and scope of any such ordershall be in writing and shall be signed by the judicial authorityand be entered by the court clerk in the court file.’’

COMMENTARY—2005: As used in subsection (a) above,the words ‘‘Except as otherwise provided by law’’ are intendedto exempt from the operation of this rule all established proce-dures for the closure of courtroom proceedings as requiredor permitted by statute; e.g., General Statutes §§ 19a-583 (a)(10) (D) (pertaining to court proceedings as to disclosure ofconfidential HIV-related information), 36a-21 (b) (pertaining tocourt proceedings at which certain records of the departmentof banking are disclosed), 46b-11 (pertaining to hearings infamily relations matters), 54-86c (b) (pertaining to the disclo-sure of exculpatory information or material), 54-86f (pertainingto the admissibility of evidence of sexual conduct) and 54-86g(pertaining to the testimony of a victim of child abuse); otherrules of practice; e.g., Practice Book Section 40-43; and/orcontrolling state or federal case law.

The above amendment to subsection (d) establishes amechanism by which the public and the press, who are empow-ered by this rule to object to pending motions to close thecourtroom in civil matters, will receive timely notice of thecourt’s disposition of such motions. General Statutes § 51-164x (a) gives any person affected by a court closure orderin a civil action the right to the review of such order by filinga petition for review with the appellate court within seventy-two hours from the issuance of the order.

HISTORY—2012: In 2012, in beginning of the fifth sentenceof subsection (e), ‘‘notice of such motion being placed on’’was substituted for ‘‘copy of,’’ before ‘‘the short calendar.’’Also, in that same sentence, ‘‘page containing the aforesaidsection’’ was deleted, after ‘‘short calendar.’’

COMMENTARY—2012: The above amendment isintended to provide for the electronic filing and processing ofdocuments and orders, and the maintenance of court records,where the present terminology, filing requirements or pro-cesses that are applicable in a paper environment result inconfusion or redundancy when applied to an electronic envi-ronment.

Sec. 11-20A. Sealing Files or Limiting Dis-closure of Documents in Civil Cases(a) Except as otherwise provided by law, there

shall be a presumption that documents filed withthe court shall be available to the public.

(b) Except as provided in this section andexcept as otherwise provided by law, includingSection 13-5, the judicial authority shall not orderthat any files, affidavits, documents, or other

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 11-20A

materials on file with the court or filed in connec-tion with a court proceeding be sealed or theirdisclosure limited.

(c) Upon written motion of any party, or uponits own motion, the judicial authority may orderthat files, affidavits, documents, or other materialson file or lodged with the court or in connectionwith a court proceeding be sealed or their disclo-sure limited only if the judicial authority concludesthat such order is necessary to preserve an inter-est which is determined to override the public’sinterest in viewing such materials. The judicialauthority shall first consider reasonable alterna-tives to any such order and any such order shallbe no broader than necessary to protect suchoverriding interest. An agreement of the partiesto seal or limit the disclosure of documents on filewith the court or filed in connection with a courtproceeding shall not constitute a sufficient basisfor the issuance of such an order.

(d) In connection with any order issued pursuantto subsection (c) of this section, the judicialauthority shall articulate the overriding interestbeing protected and shall specify its findingsunderlying such order and the duration of suchorder. If any findings would reveal informationentitled to remain confidential, those findings maybe set forth in a sealed portion of the record. Thetime, date, scope and duration of any such ordershall be set forth in a writing signed by the judicialauthority which upon issuance the court clerk shallimmediately enter in the court file and publish byposting both on the Judicial Branch website andon a bulletin board adjacent to the clerk’s officeand accessible to the public. The judicial authorityshall order that a transcript of its decision beincluded in the file or prepare a memorandumsetting forth the reasons for its order.

(e) Except as otherwise ordered by the judicialauthority, a motion to seal or limit the disclosureof affidavits, documents, or other materials on fileor lodged with the court or in connection with acourt proceeding shall be calendared so thatnotice to the public is given of the time and placeof the hearing on the motion and to afford thepublic an opportunity to be heard on the motionunder consideration. The procedures set forth inSections 7-4B and 7-4C shall be followed in con-nection with a motion to file affidavits, documentsor other materials under seal or to limit their dis-closure.

(f) (1) A motion to seal the contents of an entirecourt file shall be placed on the short calendar tobe held not less than fifteen days following thefiling of the motion, unless the judicial authorityotherwise directs, so that notice to the public isgiven of the time and place of the hearing on the

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motion and to afford the public an opportunity tobe heard on the motion under consideration. Theprocedures set forth in Sections 7-4B and 7-4Cshall be followed in connection with such motion.

(2) The judicial authority may issue an ordersealing the contents of an entire court file onlyupon a finding that there is not available a morenarrowly tailored method of protecting the overrid-ing interest, such as redaction, sealing a portionof the file or authorizing the use of pseudonyms.The judicial authority shall state in its decision ororder each of the more narrowly tailored methodsthat was considered and the reason each suchmethod was unavailable or inadequate.

(g) With the exception of any provision of theGeneral Statutes under which the court is author-ized to seal or limit the disclosure of files, affida-vits, documents, or other materials, whether at apretrial or trial stage, any person affected by acourt order that seals or limits the disclosure ofany files, documents or other materials on filewith the court or filed in connection with a courtproceeding, shall have the right to the review ofsuch order by the filing of a petition for reviewwith the appellate court within seventy-two hoursfrom the issuance of such order. Nothing underthis subsection shall operate as a stay of suchsealing order.

(h) (1) Pseudonyms may be used in place ofthe name of a party or parties only with the priorapproval of the judicial authority and only if thejudicial authority concludes that such order is nec-essary to preserve an interest which is determinedto override the public’s interest in knowing thename of the party or parties. The judicial authorityshall first consider reasonable alternatives to anysuch order and any such order shall be no broaderthan necessary to protect such overriding interest.The judicial authority shall articulate the overridinginterest being protected and shall specify its find-ings underlying such order and the duration ofsuch order. If any findings would reveal informa-tion entitled to remain confidential, those findingsmay be set forth in a sealed portion of the record.The time, date, scope and duration of any suchorder shall forthwith be reduced to writing and besigned by the judicial authority and be entered bythe court clerk in the court file. The judicial author-ity shall order that a transcript of its decision beincluded in the file or prepare a memorandumsetting forth the reasons for its order. Anagreement of the parties that pseudonyms beused shall not constitute a sufficient basis for theissuance of such an order. The authorization ofpseudonyms pursuant to this section shall be inplace of the names of the parties required by Sec-tion 7-4A.


(2) The judicial authority may grant prior to thecommencement of the action a temporary ex parteapplication for permission to use pseudonymspending a hearing on continuing the use of suchpseudonyms to be held not less than fifteen daysafter the return date of the complaint.

(3) After commencement of the action, a motionfor permission to use pseudonyms shall be placedon the short calendar to be held not less thanfifteen days following the filing of the motion,unless the judicial authority otherwise directs, sothat notice to the public is given of the time andplace of the hearing on the motion and to affordthe public an opportunity to be heard on the motionunder consideration. Leave of the court may besought to file the motion under seal pending adisposition of the motion by the judicial authority.

(4) Any order allowing the use of a pseudonymin place of the name of a party shall also requirethe parties to use such pseudonym in all docu-ments filed with the court.

(i) The provisions of this section shall not applyto settlement conferences or negotiations or todocuments submitted to the court in connectionwith such conferences or negotiations. The provi-sions of this section shall apply to settlementagreements which have been filed with the courtor have been incorporated into a judgment ofthe court.

(j) When placed on a short calendar, motionsfiled under this rule shall be listed in a separatesection titled "Motions to Seal or Close" and shallalso be listed with the time, date and place of thehearing on the Judicial Branch website. A noticeof such motion being placed on the short calendarshall, upon issuance of the short calendar, beposted on a bulletin board adjacent to the clerk’soffice and accessible to the public.

(Adopted May 14, 2003, to take effect July 1, 2003;amended June 21, 2004, to take effect Jan. 1, 2005; amendedJune 20, 2011, to take effect Jan. 1, 2012.)

COMMENTARY—2003: The public and press enjoy a rightof access to attend trials in civil as well as criminal cases.See Nixon v. Warner Communications, Inc., 435 U.S. 589,597–608, 98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978). The guaran-tee of open public proceedings in civil trials applies as well tothe sealing of court documents. See Publicker Industries, Inc.v. Cohen, 733 F.2d 1059, 1070–71 (3d Cir. 1984).

See also the Commentary to Section 42-49A.Motions to seal or limit the disclosure of affidavits, docu-

ments or other materials in cases on the complex litigationdocket shall appear on the regular short calendar for the pur-pose of providing notice to the public.

As regards the use of pseudonyms set out in subsection(h) of this section, it is clear that such use generally runs afoulof the public’s right of access to judicial proceedings. Does IThru XXIII v. Advanced Textile Corp., 214 F.3d 1058, 1067(9th Cir. 2000). ‘‘Though not as critical as access to the pro-ceedings, knowing the litigants’ identities nevertheless tendsto sharpen public scrutiny of the judicial process, to increase

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confidence in the administration of the law, to enhance thetherapeutic value of judicial proceedings, and to serve thestructural function of the first amendment by enabling informeddiscussion of judicial operations.’’ (Internal quotation marksomitted.) Doe v. Burkland, 808 A.2d 1090, 1097 (R.I. 2002).

‘‘[M]any federal courts . . . have permitted parties to pro-ceed anonymously when special circumstances justifysecrecy. . . . In [the Ninth] [C]ircuit, [parties are allowed] touse pseudonyms in the ‘unusual case’ when nondisclosure ofthe party’s identity ‘is necessary . . . to protect a person fromharassment, injury, ridicule or personal embarrassment.’United States v. Doe, 655 F.2d 920, 922 n.1 (9th Cir. 1981). . . .’’ (Citations omitted.) Does I Thru XXIII v. AdvancedTextile Corp., supra, 214 F.3d 1067–68. In Does I Thru XXIIIv. Advanced Textile Corp., supra, 1062, the plaintiffs filed suitunder pseudonyms against their employers alleging multipleviolations of the Fair Labor Standards Act. The court concludedthat in determining whether to allow the use of pseudonyms,the trial court must consider the severity of the plaintiffs’ threat-ened injury, the reasonableness of their fears and their vulner-ability to retaliation. Id., 1068. In Doe v. Frank, 951 F.2d 320,322 (11th Cir. 1992), the plaintiff, a government employeechallenging government activity, was denied permission toproceed under a pseudonym which he sought due to his alco-holism. The court concluded that a plaintiff should be permittedto proceed anonymously only in ‘‘exceptional cases involvingmatters of a highly sensitive and personal nature, real dangerof physical harm, or where the injury litigated against wouldbe incurred as a result of the disclosure of the plaintiff’s identity.The risk that a plaintiff may suffer some embarrassment is notenough.’’ Id., 324. The need for anonymity must outweigh thepresumption of openness.

‘‘The privilege of using fictitious names in actions shouldbe granted only in the rare case where the nature of the issuelitigated and the interest of the parties demand it and no harmcan be done to the public interest.’’ See Buxton v. Ullman,147 Conn. 48, 60, 156 A.2d 508 (1959), appeal dismissedsub nom. Poe v. Ullman, 367 U.S. 497, 81 S. Ct. 1752, 6 L.Ed. 2d 989 (1961) (parties who were medical patients of namedplaintiff were allowed to use pseudonyms due to intimate anddistressing details alleged in complaint regarding preventionof contraception). Connecticut trial courts applying the Buxtonholding have concluded that permission to proceed anony-mously may be appropriate in situations involving social stig-matization, real danger of physical harm, or risk of an unfairtrial. Doe v. Diocese Corp., 43 Conn. Sup. 152, 158, 647 A.2d1067 (1994) (plaintiff was allowed to proceed anonymously inaction against defendants for past sexual abuse). Courts havegenerally concluded that there must be a strong social interestin concealing a party’s identity, but the possibility that a litigantmay suffer some embarrassment, economic harm, or loss ofreputation have been found not to be sufficiently overridinginterests to justify anonymity. ABC, LLC v. State Ethics Com-mission, Superior Court, judicial district of New Britain, DocketNo. CV 000504071S (October 11, 2000).

In Doe v. Connecticut Bar Examining Committee, 263 Conn.39, 818 A.2d 14 (2003), the plaintiff sought to proceed anony-mously in an action against the defendant in connection withthe defendant’s failure to recommend the plaintiff for admissionto the bar. The supreme court, in determining that the use ofa pseudonym in this case should be left to the discretion ofthe superior court, stated: ‘‘Because lawsuits are public events. . . a plaintiff should be permitted to proceed anonymouslyonly in those exceptional cases involving matters of a highlysensitive and personal nature. . . . A plaintiff’s desire to avoideconomic and social harm as well as embarrassment and


humiliation in his professional and social community is nor-mally insufficient to permit him to appear without disclosinghis identity.’’ (Citation omitted; internal quotation marks omit-ted.) Id., 70.

HISTORY—2005: Prior to 2005, the third sentence of sub-section (d) read: ‘‘The time, date, scope and duration of anysuch order shall forthwith be reduced to writing and be signedby the judicial authority and be entered by the court clerk inthe court file.’’

COMMENTARY—2005: As used in subsection (a) above,the words ‘‘Except as otherwise provided by law’’ are intendedto exempt from the operation of this rule all established proce-dures for the sealing or ex parte filing, in camera inspectionand/or nondisclosure to the public of documents, records andother materials, as required or permitted by statute; e.g., Gen-eral Statutes §§ 12-242vv (pertaining to taxpayer information),52-146c et seq. (pertaining to the disclosure of psychiatricrecords) and 54-56g (pertaining to the pretrial alcohol educa-tion program); other rules of practice; e.g., Practice Book Sec-tions 7-18, 13-5 (6)–(8) and 40-13 (c); and/or controlling stateor federal case law; e.g., Matza v. Matza, 226 Conn. 166,627 A.2d 414 (1993) (establishing a procedure whereby anattorney seeking to withdraw from a case due to his client’santicipated perjury at trial may support his motion to withdrawby filing a sealed affidavit for the court’s review).

The above amendment to subsection (d) establishes amechanism by which the public and the press, who are empow-ered by this rule to object to pending motions to seal files orlimit the disclosure of documents in civil matters, will receivetimely notice of the court’s disposition of such motions. GeneralStatutes § 51-164x (c) gives any person affected by a courtorder sealing a file or limiting the disclosure of a document ina civil action the right to the review of such order by filing apetition for review with the appellate court within seventy-twohours from the issuance of the order.

HISTORY—2012: In 2012, at the beginning of the secondsentence of subsection (j), ‘‘notice of such motion being placedon’’ was substituted for ‘‘copy of,’’ before ‘‘the short calendar.’’Also, in that same sentence, ‘‘page containing the aforesaidsection’’ was deleted, after ‘‘short calendar.’’


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Sec. 11-20B. —Documents Containing Per-sonal Identifying Information(a) The requirements of Section 11-20A shall

not apply to ‘‘personal identifying information,’’ asdefined in Section 4-7, that may be found in docu-ments filed with the court. If a document con-taining personal identifying information is filed withthe court, a party or a person identified by thepersonal identifying information may request thatthe document containing the personal identifyinginformation be sealed. In response to suchrequest, or on its own motion, the court shall orderthat the document be sealed and that the partywho filed the document submit a redacted copyof the document within ten days of such order.

(b) If the party who filed the document fails tosubmit a redacted copy of the document within tendays of the order, the court may enter sanctions,including a nonsuit or default, as appropriate,against said party for such failure upon the expira-tion of the ten day period. Upon the submissionof a redacted copy of such document, the originaldocument containing the personal identifyinginformation shall be retained as a sealed docu-ment in the court file, unless otherwise orderedby the court.


Sec. 11-21. Motions for Attorney’s FeesMotions for attorney’s fees shall be filed with

the trial court within thirty days following the dateon which the final judgment of the trial court wasrendered. If appellate attorney’s fees are sought,motions for such fees shall be filed with the trialcourt within thirty days following the date on whichthe appellate court or supreme court renderedits decision disposing of the underlying appeal.Nothing in this section shall be deemed to affectan award of attorney’s fees assessed as a compo-nent of damages.



CHAPTER 12

TRANSFER OF ACTIONS

Sec. Sec.12-1. Procedure for Transfer12-2. Transfer of Action Filed in Wrong Location of Cor-

rect Court


Sec. 12-1. Procedure for TransferAny cause, or the trial of any issue therein, may

be transferred from a judicial district court locationto any other judicial district court location or toany geographical area court location, or from ageographical area court location to any other geo-graphical area court location or to any judicialdistrict court location, by order of a judicial author-ity (1) upon its own motion or upon the grantingof a motion of any of the parties, or (2) upon writtenagreement of the parties filed with the court. (SeeGeneral Statutes § 51-347b and annotations.)

(P.B. 1978-1997, Sec. 212.)

Sec. 12-2. Transfer of Action Filed in WrongLocation of Correct CourtA clerk of the court of a judicial district or geo-

graphical area should not accept a civil causewhich is made returnable to a judicial district orgeographical area of which such person is not theclerk. A clerk who does accept and enter such acivil cause shall, upon discovery of the error, bringthe matter to the attention of the court. The judicialauthority shall then order the plaintiff to file amotion to transfer with such notice to the defend-ant as the judicial authority may direct. If the plain-tiff complies, the motion to transfer shall begranted; but if the plaintiff fails to comply with the

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12-3. Transmission of Files and Papers

order of the judicial authority within a reasonabletime, the judicial authority shall dismiss the actionwith costs.

(P.B. 1978-1997, Sec. 213.)

Sec. 12-3. Transmission of Files and PapersUpon the transfer of any action, the clerk of the

court in which such action is pending shall transmitto the clerk of the court to which such cause istransferred the original files and papers in suchcause with a certificate of such transfer, who shallenter such cause in the docket of the court towhich it is so transferred; and such cause shallthereafter be proceeded with in the same manneras if it were originally brought to such court. Whena case which has been claimed for trial is subse-quently transferred to another court, a new certifi-cate of closed pleadings shall not be required,and its position on the inventory of pending casesof the transferee court shall be determined by thecertificate of closed pleadings date in the originalfile. Where only the trial of an issue or issues inan action is transferred, the files, after such issueshave been disposed of, shall be returned to theclerk of the court where the action originated andjudgment may be entered in such court. (See Gen-eral Statutes § 51-347b; see also Section 14-8.)



CHAPTER 13


Sec. Sec.13-1. Definitions13-2. Scope of Discovery; In General13-3. —Materials Prepared in Anticipation of Litigation;

Statements of Parties; Privilege Log13-4. —Experts13-5. —Protective Order13-6. Interrogatories; In General13-7. —Answers to Interrogatories13-8. —Objections to Interrogatories13-9. Requests for Production, Inspection and Examina-

tion; In General13-10. —Responses to Requests for Production;

Objections13-11. —Physical or Mental Examination13-11A. —Motion for Authorization to Obtain Protected

Health Information13-12. Disclosure of Amount and Provisions of Insurance

Liability Policy13-13. Disclosure of Assets in Cases in Which Prejudg-

ment Remedy Sought13-14. Order for Compliance; Failure to Answer or Comply

with Order13-15. Continuing Duty to Disclose13-16. Orders by Judge


Sec. 13-1. Definitions(a) For purposes of this chapter: (1) ‘‘statement’’

means (A) a written statement in the handwritingof the person making it, or signed, or initialed, orotherwise in writing adopted or approved by theperson making it; or (B) a stenographic, mechani-cal, electrical or other recording or a transcriptionthereof, which is a substantially verbatim recitalof an oral statement by the person making it andwhich is contemporaneously recorded; (2) ‘‘party’’means (A) a person named as a party in theaction, or (B) an agent, employee, officer, or direc-tor of a public or private corporation, partnership,association, or governmental agency, named asa party in the action; (3) ‘‘representative’’ includesagent, attorney, consultant, indemnitor, insurer,and surety; (4) ‘‘electronic’’ means relating to tech-nology having electrical, digital, magnetic, wire-less, optical, electromagnetic, or similarcapabilities; (5) ‘‘electronically stored information’’means information that is stored in an electronicmedium and is retrievable in perceivable form.

(b) The full text of the definitions and rules ofconstruction set forth in subsections (c) and (d)herein is deemed incorporated by reference intoall discovery requests served pursuant to this

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13-17. Disclosure before Court or Committee13-18. Disclosures in Equity13-19. Disclosure of Defense13-20. Discovery Sought by Judgment Creditor13-21. Discovery Outside the United States of America13-22. Admission of Facts and Execution of Writings;

Requests for Admission13-23. —Answers and Objections to Requests for

Admission13-24. —Effect of Admission13-25. —Expenses on Failure to Admit13-26. Depositions; In General13-27. —Notice of Deposition; General Requirements;

Special Notice; Nonstenographic Recording;Production of Documents and Things; Depositionof Organization

13-28. —Persons before Whom Deposition Taken; Sub-poenas

13-29. —Place of Deposition13-30. —Deposition Procedure13-31. —Use of Depositions in Court Proceedings13-32. Stipulations regarding Discovery and Deposition

Procedure13-33. Claim of Privilege or Protection after Production

chapter and shall preclude any broader definitionof a term defined in subsection (c), but shall notpreclude: (1) the definition of other terms specificto the particular litigation; (2) the use of abbrevia-tions; or (3) a more narrow definition of a termdefined in subsection (c).

(c) The following definitions apply to all discov-ery requests:

(1) Communication. The term ‘‘communication’’means the transmittal of information (in the formof facts, ideas, inquiries or otherwise).

(2) Document. The term ‘‘document’’ meansany writing, drawing, graph, chart, photograph,sound recording, image, and other data or datacompilation, stored in any medium from whichinformation can be obtained either directly or, ifnecessary, after translation by the respondingparty into a reasonably usable form. A draft ornonidentical copy is a separate document withinthe meaning of this term. A request for productionof ‘‘documents’’ shall encompass, and theresponse shall include, electronically stored infor-mation, as defined in subsection (a) above, unlessotherwise specified by the requesting party.

(3) Identify (with respect to persons). Whenreferring to a person, to ‘‘identify’’ means to pro-vide, to the extent known, the person’s full name,


present or last known address, and when referringto a natural person, additionally, the present orlast known place of employment. Once a personhas been identified in accordance with this subdi-vision, only the name of that person need be listedin response to subsequent discovery requestingthe identification of that person.

(4) Identify (with respect to documents or elec-tronically stored information). When referring todocuments or electronically stored information, to‘‘identify’’ means: to provide, to the extent known,information about the (A) type of document orelectronically stored information; (B) its generalsubject matter; (C) the date of the document orelectronically stored information; and (D)author(s), addressee(s) and recipient(s).

(5) Identify (with respect to oral communica-tions). When referring to an oral communication,to ‘‘identify’’ means: (A) to state the date and placeof the oral communication; (B) to identify all per-sons hearing, present or participating in thecommunication; (C) to state whether the commu-nication was in person, by telephone, or by someother means or medium; (D) to summarize whatwas said by each such person, or provide a tran-script if one is available.

(6) Identify (with respect to an act or event).When referring to an act or event, to ‘‘identify’’means: (A) to describe the act or event, includingits location and its date; (B) to identify the personsparticipating, present or involved in the act orevent; (C) to identify all oral communicationswhich were made at the act or event identified;and (D) to identify all documents concerning theact or event identified.

(7) Person. The term ‘‘person’’ is defined asany natural person or any business, legal or gov-ernmental entity or association.

(8) Concerning. The term ‘‘concerning’’ meansrelating to, referring to, describing, evidencingor constituting.

(9) You. The term ‘‘you’’ means the party orperson to whom a discovery request is directed,except that: (A) if the party is the representativeof the estate of a decedent, ward, or incapableperson, ‘‘you’’ shall also refer to the party’s dece-dent, ward or incapable person, unless the contextof the discovery request clearly indicates other-wise; and (B) notwithstanding subsection (b)above, the propounding party may specify a differ-ent definition of the term ‘‘you.’’

(d) The following rules of construction apply toall discovery requests:

(1) All/Each. The terms ‘‘all’’ and ‘‘each’’ shallboth be construed as all and each.

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(2) And/Or. The connectives ‘‘and’’ and ‘‘or’’shall be construed either disjunctively or conjunc-tively as necessary to bring within the scope ofthe discovery request all responses that mightotherwise be construed to be outside its scope.

(3) Number. The use of the singular form of anyword includes the plural and vice versa.

(4) Gender. Unless the context clearly requiresotherwise, the use of any pronoun or gender-iden-tified form of any word includes both the male andfemale genders.


Sec. 13-2. Scope of Discovery; In GeneralIn any civil action, in any probate appeal, or

in any administrative appeal where the judicialauthority finds it reasonably probable that evi-dence outside the record will be required, a partymay obtain in accordance with the provisions ofthis chapter discovery of information or disclosure,production and inspection of papers, books, docu-ments and electronically stored information mate-rial to the subject matter involved in the pendingaction, which are not privileged, whether the dis-covery or disclosure relates to the claim ordefense of the party seeking discovery or to theclaim or defense of any other party, and whichare within the knowledge, possession or powerof the party or person to whom the discovery isaddressed. Discovery shall be permitted if the dis-closure sought would be of assistance in the pros-ecution or defense of the action and if it can beprovided by the disclosing party or person withsubstantially greater facility than it could otherwisebe obtained by the party seeking disclosure. Itshall not be ground for objection that the informa-tion sought will be inadmissible at trial if the infor-mation sought appears reasonably calculated tolead to the discovery of admissible evidence. Writ-ten opinions of health care providers concerningevidence of medical negligence, as provided byGeneral Statutes § 52-190a, shall not be subjectto discovery except as provided in that section.


Sec. 13-3. —Materials Prepared in Anticipa-tion of Litigation; Statements of Parties;Privilege Log(Amended June 14, 2013, to take effect Jan. 1, 2014.)(a) Subject to the provisions of Section 13-4,

a party may obtain discovery of documents andtangible things otherwise discoverable under Sec-tion 13-2 and prepared in anticipation of litigationor for trial by or for another party or by or for thatother party’s representative only upon a showing


that the party seeking discovery has substantialneed of the materials in the preparation of thecase and is unable without undue hardship toobtain the substantial equivalent of the materialsby other means. In ordering discovery of suchmaterials when the required showing has beenmade, the judicial authority shall not order disclo-sure of the mental impressions, conclusions, opin-ions, or legal theories of an attorney or otherrepresentative of a party concerning the litigation.

(b) A party may obtain, without the showingrequired under this section, discovery of the par-ty’s own statement and of any nonprivileged state-ment of any other party concerning the action orits subject matter.

(c) A party may obtain, without the showingrequired under this section, discovery of anyrecording, by film, photograph, video, audio or anyother digital or electronic means, of the requestingparty and of any recording of any other party con-cerning the action or the subject matter, thereof,including any transcript of such recording, pre-pared in anticipation of litigation or for trial by orfor another party or by or for that other party’srepresentative. A party may obtain informationidentifying any such recording and transcript, ifone was created, prior to the deposition of theparty who is the subject of the recording; but theperson from whom discovery is sought shall notbe required to produce the recording or transcriptuntil thirty days after the completion of the deposi-tion of the party who is the subject of the recordingor sixty days prior to the date the case is assignedto commence trial, whichever is earlier; exceptthat if a deposition of the party who is the subjectof the recording was not taken, the recording andtranscript shall be produced sixty days prior to thedate the case is assigned to commence trial. If arecording was created within such sixty dayperiod, the recording and transcript must be pro-duced immediately. No such recording or tran-script is required to be identified or produced ifneither it nor any part thereof will be introducedinto evidence at trial. However, if any suchrecording or part or transcript thereof is requiredto be identified or produced, all recordings andtranscripts thereof of the subject of the recordingparty shall be identified and produced, rather thanonly those recordings, or transcripts or partsthereof that the producing party intends to use orintroduce at trial.

(d) When a claim of privilege or work productprotection has been asserted pursuant to Sec-tions 13-5 or 13-10 in response to a discoveryrequest for documents or electronically storedinformation, the party asserting the privilege orprotection shall provide, within forty-five days from

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the request of the party serving the discovery, thefollowing information in the form of a privilege log:

(1) The type of document or electronicallystored information;

(2) The general subject matter of the documentor electronically stored information;

(3) The date of the document or electronicallystored information;

(4) The author of the document or electronicallystored information;

(5) Each recipient of the document or electroni-cally stored information; and

(6) The nature of the privilege or protectionasserted.

The privilege log shall initially be served uponall parties but not filed in court.

If the information called for by one or more ofthe foregoing categories is itself privileged, it neednot be disclosed. However, the existence of thedocument and any nonprivileged informationcalled for by the other categories must be dis-closed.

A privilege log must be prepared with respectto all documents and electronically stored infor-mation withheld on the basis of a claim of privilegeor work product protection, except for the follow-ing: written or electronic communications aftercommencement of the action between a party andthe firm or lawyer appearing for the party in theaction or as otherwise ordered by the judicialauthority.


HISTORY—2017: Prior to 2017, the first sentence of sub-section (c) read: ‘‘A party may obtain, without the showingrequired under this section, discovery of any recording, byfilm, photograph, videotape, audiotape or any other digital orelectronic means, of the requesting party and of any recordingof any other party concerning the action or the subject matter,thereof, including any transcript of such recording.’’

COMMENTARY—2017: The change to this section clarifiesthat only recordings prepared by a party in anticipation oflitigation or for trial, and not just any recordings, are coveredby this rule.

Sec. 13-4. —Experts(a) A party shall disclose each person who may

be called by that party to testify as an expert wit-ness at trial, and all documents that may beoffered in evidence in lieu of such expert testi-mony, in accordance with this section. Therequirements of Section 13-15 shall apply to dis-closures made under this section.

(b) A party shall file with the court and serveupon counsel a disclosure of expert witnesseswhich identifies the name, address and employerof each person who may be called by that party


to testify as an expert witness at trial, whetherthrough live testimony or by deposition. In addi-tion, the disclosure shall include the followinginformation:

(1) Except as provided in subdivision (2) of thissubsection, the field of expertise and the subjectmatter on which the witness is expected to offerexpert testimony; the expert opinions to which thewitness is expected to testify; the substance ofthe grounds for each such expert opinion; and thewritten report of the expert witness, if any. Thereport shall not be filed with the court. Disclosureof the information required under this subsectionmay be made by making reference in the disclo-sure to the written report of the expert witnesscontaining such information.

(2) If the witness to be disclosed hereunderis a health care provider who rendered care ortreatment to the plaintiff, and the opinions to beoffered hereunder are based upon that provider’scare or treatment, then the disclosure obligationsunder this section may be satisfied by disclosureto the parties of the medical records and reportsof such care or treatment. A witness disclosedunder this subsection shall be permitted to offerexpert opinion testimony at trial as to any opinionas to which fair notice is given in the disclosedmedical records or reports. Expert testimonyregarding any opinion as to which fair notice is notgiven in the disclosed medical records or reportsmust be disclosed in accordance with subdivision(1) of subsection (b) of this section. The partiesshall not file the disclosed medical records or dis-closed medical reports with the court.

(3) Except for an expert witness who is a healthcare provider who rendered care or treatment tothe plaintiff, or unless otherwise ordered by thejudicial authority or agreed upon by the parties,the party disclosing an expert witness shall, uponthe request of an opposing party, produce to allother parties all materials obtained, created and/or relied upon by the expert in connection withhis or her opinions in the case within fourteendays prior to that expert’s deposition or withinsuch other time frame determined in accordancewith the Schedule for Expert Discovery preparedpursuant to subsection (g) of this section. If anysuch materials have already been produced tothe other parties in the case, then a list of suchmaterials, made with sufficient particularity thatthe materials can be easily identified by the par-ties, shall satisfy the production requirement here-under with respect to those materials. If an expertwitness otherwise subject to this subsection isnot being compensated in that capacity by or onbehalf of the disclosing party, then that party maygive written notice of that fact in satisfaction of

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the obligations imposed by this subsection. If suchnotice is provided, then it shall be the duty of theparty seeking to depose such expert witness toobtain the production of the requested materialsby subpoena or other lawful means.

(4) Nothing in this section shall prohibit anywitness disclosed hereunder from offering nonex-pert testimony at trial.

(c) (1) Unless otherwise ordered by the judicialauthority upon motion, a party may take the depo-sition of any expert witness disclosed pursuantto subsection (b) of this section in the mannerprescribed in Section 13-26 et seq. governingdeposition procedure generally. Nothing con-tained in subsection (b) of this section shall impairthe right of any party from exercising that party’srights under the rules of practice to subpoena or torequest production of any materials, to the extentotherwise discoverable, in addition to those pro-duced under subsection (b) of this section, in con-nection with the deposition of any expert witness,nor shall anything contained herein impair theright of a party to raise any objections to anyrequest for production of documents sought here-under to the extent that a claim of privilege exists.

(2) Unless otherwise ordered by the judicialauthority for good cause shown, or agreed uponby the parties, the fees and expenses of the expertwitness for any such deposition, excluding prepa-ration time, shall be paid by the party or partiestaking the deposition. Unless otherwise ordered,the fees and expenses hereunder shall includeonly (A) a reasonable fee for the time of the wit-ness to attend the deposition itself and the wit-ness’ travel time to and from the place ofdeposition; and (B) the reasonable expensesactually incurred for travel to and from the placeof deposition and lodging, if necessary. If the par-ties are unable to agree on the fees and expensesdue under this subsection, the amount shall beset by the judicial authority, upon motion.

(d) (1) A party shall file with the court a list ofall documents or records that the party expectsto submit in evidence pursuant to any statute orrule permitting admissibility of documentary evi-dence in lieu of the live testimony of an expertwitness. The list filed hereunder shall identify suchdocuments or records with sufficient particularitythat they shall be easily identified by the otherparties. The parties shall not file with the court acopy of the documents or records on such list.

(2) Unless otherwise ordered by the judicialauthority upon motion, a party may take the depo-sition of any expert witness whose records aredisclosed pursuant to subdivision (1) of subsec-tion (d) of this section in the manner prescribed


in Section 13-26 et seq. governing deposition pro-cedure generally. Nothing contained in subsection(d) of this section shall impair the right of any partyfrom exercising that party’s rights under the rulesof practice to subpoena or to request productionof any materials, to the extent otherwise dis-coverable, in addition to those produced undersubsection (d), in connection with the depositionof any expert witness.

(3) Unless otherwise ordered by the judicialauthority for good cause shown, or agreed uponby the parties, the fees and expenses of the expertwitness for any such deposition, excluding prepa-ration time, shall be paid by the party or partiestaking the deposition. Unless otherwise ordered,the fees and expenses hereunder shall includeonly (A) a reasonable fee for the time of the wit-ness to attend the deposition itself and the wit-ness’ travel time to and from the place ofdeposition; and (B) the reasonable expensesactually incurred for travel to and from the placeof deposition and lodging, if necessary. If the par-ties are unable to agree on the fees and expensesdue under this subsection, the amount shall beset by the judicial authority, upon motion.

(e) If any party expects to call as an expertwitness at trial any person previously disclosedby any other party under subsection (b) hereof,the newly disclosing party shall file a notice ofdisclosure: (1) stating that the party adopts all ora specified part of the expert disclosure already onfile; and (2) disclosing any other expert opinions towhich the witness is expected to testify and thesubstance of the grounds for any such expertopinion. Such notice shall be filed within the timeparameters set forth in subsection (g).

(f) A party may discover facts known or opinionsheld by an expert who had been retained or spe-cially employed by another party in anticipationof litigation or preparation for trial and who is notexpected to be called as a witness at trial only asprovided in Section 13-11 or upon a showing ofexceptional circumstances under which it isimpracticable for the party seeking discovery toobtain facts or opinions on the same subject byother means.

(g) Unless otherwise ordered by the judicialauthority, or otherwise agreed by the parties, thefollowing schedule shall govern the expert discov-ery required under subsections (b), (c), (d) and(e) of this section.

(1) Within 120 days after the return date of anycivil action, or at such other time as the partiesmay agree or as the court may order, the partiesshall submit to the court for its approval a pro-posed Schedule for Expert Discovery, which,upon approval by the court, shall govern the timing

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of expert discovery in the case. This scheduleshall be submitted on a ‘‘Schedule for Expert Dis-covery’’ form prescribed by the office of the chiefcourt administrator. The deadlines proposed bythe parties shall be realistic and reasonable, tak-ing into account the nature and relative complexityof the case, the need for predicate discovery andthe estimated time until the case may be exposedfor trial. If the parties are unable to agree on dis-covery deadlines, they shall so indicate on theproposed Schedule for Expert Discovery, in whichevent the court shall convene a scheduling confer-ence to set those deadlines.

(2) If a party is added or appears in a case afterthe proposed Schedule for Expert Discovery isfiled, then an amended proposed Schedule forExpert Discovery shall be prepared and filed forapproval by the court within sixty days after suchnew party appears, or at such other time as thecourt may order.

(3) Unless otherwise ordered by the court, dis-closure of any expert witness under subsection(e) hereof shall be made within thirty days of theevent giving rise to the need for that party to adoptthe expert disclosure as its own (e.g., the with-drawal or dismissal of the party originally disclos-ing the expert).

(4) The parties, by agreement, may modify theapproved Schedule for Expert Discovery or anyother time limitation under this section so long asthe modifications do not interfere with an assignedtrial date. A party who wishes to modify theapproved Schedule for Expert Discovery or othertime limitation under this section withoutagreement of the parties may file a motion formodification with the court stating the reasonstherefor. Said motion shall be granted if: (A) therequested modification will not cause undue preju-dice to any other party; (B) the requested modifi-cation will not cause undue interference with thetrial schedule in the case; and (C) the need forthe requested modification was not caused by badfaith delay of disclosure by the party seeking modi-fication.

(h) A judicial authority may, after a hearing,impose sanctions on a party for failure to complywith the requirements of this section. An orderprecluding the testimony of an expert witness maybe entered only upon a finding that: (1) the sanc-tion of preclusion, including any consequencethereof on the sanctioned party’s ability to prose-cute or to defend the case, is proportional to thenoncompliance at issue, and (2) the noncompli-ance at issue cannot adequately be addressedby a less severe sanction or combination ofsanctions.


(i) The revisions to this rule adopted by thejudges of the superior court in June, 2008, effec-tive on January 1, 2009, and the revisions to thisrule adopted by the judges of the superior courtin June, 2009, and March, 2010, shall apply tocases commenced on or after January 1, 2009.The version of this rule in effect on December31, 2008, shall apply to cases commenced on orbefore that date.

(P.B. 1978-1997, Sec. 220.) (Amended June 30, 2008, totake effect Jan. 1, 2009; amended June 22, 2009, to takeeffect Sept. 1, 2009; amended June 21, 2010, to take effectJan. 1, 2011; amended June 15, 2012, to take effect Jan. 1,2013; amended June 24, 2016, to take effect Jan. 1, 2017.)

HISTORY—2017: Prior to 2017, subsection (b) (1) read:‘‘Except as provided in subdivision (2) of this subsection, thefield of expertise and the subject matter on which the witnessis expected to offer expert testimony; the expert opinions towhich the witness is expected to testify; and the substance ofthe grounds for each such expert opinion. Disclosure of theinformation required under this subsection may be made bymaking reference in the disclosure to, and contemporaneouslyproducing to all parties, a written report of the expert witnesscontaining such information. The parties shall not file theexpert’s written report with the court.’’

COMMENTARY—2017: The revision is intended to makeclear that any written report of any expert witness who maybe called by a party to testify as an expert witness at trial,including a health care provider who conducts a record review,must be provided to all parties as part of the disclosure ofexpert witness, but not filed with the court.

TECHNICAL CHANGE: In subsection (g) (4), subpara-graphs are now designated with capital letters.

Sec. 13-5. —Protective OrderUpon motion by a party from whom discovery

is sought, and for good cause shown, the judicialauthority may make any order which justicerequires to protect a party from annoyance,embarrassment, oppression, or undue burden orexpense, including one or more of the following:(1) that the discovery not be had; (2) that thediscovery may be had only on specified terms andconditions, including a designation of the time orplace; (3) that the discovery may be had only bya method of discovery other than that selectedby the party seeking discovery; (4) that certainmatters not be inquired into, or that the scope ofthe discovery be limited to certain matters; (5)that discovery be conducted with no one presentexcept persons designated by the judicial author-ity; (6) that a deposition after being sealed beopened only by order of the judicial authority; (7)that a trade secret or other confidential research,development, or commercial information not bedisclosed or be disclosed only in a designatedway; (8) that the parties simultaneously file speci-fied documents or information enclosed in sealedenvelopes to be opened as directed by the judicial

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authority; (9) specified terms and conditions relat-ing to the discovery of electronically stored infor-mation including the allocation of expense of thediscovery of electronically stored information, tak-ing into account the amount in controversy, theresources of the parties, the importance of theissues, and the importance of the requested dis-covery in resolving the issues.


Sec. 13-6. Interrogatories; In General(a) In any civil action, in any probate appeal, or

in any administrative appeal where the judicialauthority finds it reasonably probable that evi-dence outside the record will be required, anyparty may serve in accordance with Sections 10-12 through 10-17 written interrogatories, whichmay be in electronic format, upon any other partyto be answered by the party served. Written inter-rogatories may be served upon any party withoutleave of the judicial authority at any time after thereturn day. Except as provided in subsection (d) orwhere the interrogatories are served electronicallyas provided in Section 10-13 and in a format thatallows the recipient to electronically insert theanswers in the transmitted document, the partyserving interrogatories shall leave sufficient spacefollowing each interrogatory in which the party towhom the interrogatories are directed can insertthe answer. In the event that an answer requiresmore space than that provided on interrogatoriesthat were not served electronically and in a formatthat allows the recipient to electronically insert theanswers in the transmitted document, the answershall be continued on a separate sheet of paperwhich shall be attached to the completed answers.

(b) Interrogatories may relate to any matterswhich can be inquired into under Sections 13-2through 13-5 and the answers may be used at trialto the extent permitted by the rules of evidence. Inall personal injury actions alleging liability basedon the operation or ownership of a motor vehicleor alleging liability based on the ownership, main-tenance or control of real property, the interroga-tories shall be limited to those set forth in Forms201, 202, 203, 208, 210 and/or 212 of the rules ofpractice, unless upon motion, the judicial authoritydetermines that such interrogatories are inappro-priate or inadequate in the particular action. Theseforms are set forth in the Appendix of Forms inthis volume. Unless the judicial authority ordersotherwise, the frequency of use of interrogatoriesin all actions except those for which interrogato-ries have been set forth in Forms 201, 202, 203,208, 210 and/or 212 of the rules of practice isnot limited.


(c) The standard interrogatories are intendedto address discovery needs in most cases in whichtheir use is mandated, but they do not precludeany party from moving for permission to servesuch additional discovery as may be necessaryin any particular case.

(d) In lieu of serving the interrogatories set forthin Forms 201, 202, 203, 208, 210 and/or 212 ofthe rules of practice on a party who is representedby counsel, the moving party may serve on suchparty a notice of interrogatories, which shall notinclude the actual interrogatories to be answered,but shall instead set forth the number of the Prac-tice Book form containing such interrogatories andthe name of the party to whom the interrogatoriesare directed. The party to whom such notice isdirected shall in his or her response set forth eachinterrogatory immediately followed by that party’sanswer thereto.

(e) The party serving interrogatories or thenotice of interrogatories shall not file them withthe court.

(f) Unless leave of court is granted, the instruc-tions to Forms 201 through 203 are to be usedfor all nonstandard interrogatories.

(P.B. 1978-1997, Sec. 223.) (Amended June 28, 1999, totake effect Jan. 1, 2000; amended Aug. 24, 2001, to takeeffect Jan. 1, 2002; amended June 30, 2008, to take effectJan. 1, 2009; amended June 14, 2013, to take effect Jan. 1,2014; amended June 24, 2016, to take effect Jan. 1, 2017.)

HISTORY—2017: In 2017, what is now subsection (c) wasadded, and what were subsections (c) through (e) are nowdesignated subsections (d) through (f), respectively. The refer-ence in subsection (a) was updated accordingly.

COMMENTARY—2017: The change to this section isintended to make clear that standard interrogatories areintended to meet the discovery needs of most motor vehicleand premises liability personal injury cases but that they can besupplemented upon motion as necessary in a particular case.

TECHNICAL CHANGE: References to Form 212, adoptedin 2017, were added to subsections (b) and (d).

Sec. 13-7. —Answers to Interrogatories(a) Any such interrogatories shall be answered

under oath by the party to whom directed andsuch answers shall not be filed with the court butshall be served within sixty days after the date ofcertification of service, in accordance with Sec-tions 10-12 through 10-17, of the interrogatoriesor, if applicable, the notice of interrogatories onthe answering party, or within such shorter orlonger time as the judicial authority may allow,unless:

(1) Counsel file with the court a written stipula-tion extending the time within which answers orobjections may be served; or

(2) Upon motion, the judicial authority allows alonger time; or

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(3) Objections to the interrogatories and thereasons therefor are filed and served within thesixty day period.

(b) All answers to interrogatories shall: (1)repeat immediately before each answer the inter-rogatory being answered; and (2) be signed bythe person making them.

(c) A party objecting to one or more interrogato-ries shall file an objection in accordance with Sec-tion 13-8.

(d) Objection by a party to certain of the inter-rogatories directed to such party shall not relievethat party of the obligation to answer the interroga-tories to which he or she has not objected withinthe sixty day period.

(e) The party serving interrogatories or thenotice of interrogatories may move for an orderunder Section 13-14 with respect to any failureto answer.


HISTORY—2017: In the first paragraph of subsection (a),‘‘thirty’’ was deleted before ‘‘days’’ and ‘‘sixty’’ was added, and‘‘or within such shorter or longer time as the judicial authoritymay allow,’’ was added before ‘‘unless.’’ Also, subdivision (2)of subsection (a) was deleted, and what had been subdivisions(3) and (4) of subsection (a) are now designated subdivisions(2) and (3), respectively. Prior to 2017, what had been subsec-tion (a) (2) read: ‘‘The party to whom the interrogatories aredirected, after service in accordance with Sections 10-12through 10-17, files a request for extension of time, for notmore than thirty days, within the initial thirty-day period. Suchrequest shall be deemed to have been automatically grantedby the judicial authority on the date of filing, unless within tendays of such filing the party who has served the interrogatoriesor the notice of interrogatories shall file objection thereto. Aparty shall be entitled to one such request for each set ofinterrogatories directed to that party; or.’’ In addition, in whatis now subsection (a) (3), ‘‘thirty-day’’ was deleted before‘‘period’’ and ‘‘sixty day’’ was added.

Also in 2017, what is now subsection (b) was added, whathad been subsection (b) is now designated subsection (c),what had been subsection (c) was amended and designatedsubsection (d), and subsection (e) was added. Prior to 2017,what had been subsection (c) read: ‘‘Objection by a party tocertain of the interrogatories directed to such party shall notrelieve that party of the obligation to answer the interrogatoriesto which he or she has not objected within the thirty-day period.All answers to interrogatories shall repeat immediately beforeeach answer the interrogatory being answered. Answers areto be signed by the person making them. The party servingthe interrogatories or the notice of interrogatories may movefor an order under Section 13-14 with respect to any failureto answer.’’

COMMENTARY—2017: The time for responding orobjecting to interrogatories has been increased from thirty tosixty days, unless otherwise established by a scheduling order,to provide respondents with additional time to gather the infor-mation. By extending the time, it is expected that parties willnot find it necessary to seek an extension of time as frequently.


The rule also eliminates the provision for filing a request forextension of time, but it does not preclude a party from filinga motion for an extension of time. In addition, the subsectionsof the rule have been rearranged slightly, with the requirementsfor answers to interrogatories preceding the subsections onobjecting to interrogatories and seeking an order for com-pliance.

Sec. 13-8. —Objections to Interrogatories(a) The party objecting to any interrogatory shall

set forth each interrogatory immediately followedby reasons for the objection. Objections shall be:(1) signed by the attorney or self-representedparty making them; and (2) filed with the courtpursuant to Section 13-7. No objection may befiled with respect to interrogatories which havebeen set forth in Forms 201, 202, 203, 208, 210and/or 212 of the rules of practice for use in con-nection with Section 13-6.

(b) No objections to interrogatories shall beplaced on the short calendar list until an affidavitby either counsel is filed certifying that bona fideattempts have been made to resolve the differ-ences concerning the subject matter of the objec-tion and that counsel have been unable to reachan agreement. The affidavit shall set forth the dateof the objection, the name of the party who filedthe objection and the name of the party to whomthe objection was addressed. The affidavit shallalso recite the date, time and place of any confer-ence held to resolve the differences and thenames of all persons participating therein or, if noconference has been held, the reasons for thefailure to hold such a conference. If any objectionto an interrogatory is overruled, the objecting partyshall answer the interrogatory, and serve theanswer within twenty days after the judicial author-ity ruling unless otherwise ordered by the judi-cial authority.

(c) An interrogatory otherwise proper is notobjectionable merely because it involves morethan one fact or relates to the application of lawto facts.

(P.B. 1978-1997, Sec. 225.) (Amended Aug. 24, 2001, totake effect Jan. 1, 2002; amended June 20, 2011, to takeeffect Jan. 1, 2012; amended June 14, 2013, to take effectJan. 1, 2014; amended June 24, 2016, to take effect Jan.1, 2017.)

HISTORY—2017: Prior to 2017, subsection (a) read:‘‘Objections to interrogatories shall be immediately precededby the interrogatory objected to, shall set forth reasons for theobjection, shall be signed by the attorney or self-representedparty making them and shall be filed with the court pursuantto Section 13-7. No objection may be filed with respect tointerrogatories which have been set forth in Forms 201, 202,203, 208 and/or 210 of the rules of practice for use in connec-tion with Section 13-6.’’

Also in 2017, in the first sentence of subsection (b), ‘‘accord’’was deleted and ‘‘agreement’’ was added after ‘‘reach an.’’Prior to 2017, the final sentence of subsection (b) read: ‘‘Ifany objection to an interrogatory is overruled, the interrogatory

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shall be answered, and the answer served within twenty daysafter the judicial authority ruling unless otherwise ordered bythe judicial authority.’’

COMMENTARY—2017: This section on objecting to inter-rogatories has been reworded and simplified, without makingany substantive changes to the rule.

Sec. 13-9. Requests for Production, Inspec-tion and Examination; In General(a) In any civil action, in any probate appeal, or

in any administrative appeal where the judicialauthority finds it reasonably probable that evi-dence outside the record will be required, anyparty may serve in accordance with Sections 10-12 through 10-17 upon any other party a requestto afford the party submitting the request theopportunity to inspect, copy, photograph or other-wise reproduce designated documents or toinspect and copy, test or sample any tangiblethings in the possession, custody or control of theparty upon whom the request is served or to permitentry upon designated land or other property forthe purpose of inspection, measuring, surveying,photographing, testing or sampling the propertyor any designated object or operation thereon.Such requests will be governed by the provisionsof Sections 13-2 through 13-5. In all personalinjury actions alleging liability based on the opera-tion or ownership of a motor vehicle or allegingliability based on the ownership, maintenance orcontrol of real property, the requests for produc-tion shall be limited to those set forth in Forms204, 205, 206, 209 and/or 211 of the rules ofpractice, unless, upon motion, the judicial author-ity determines that such requests for productionare inappropriate or inadequate in the particularaction. These forms are set forth in the Appendixof Forms in this volume.

(b) The standard requests for production areintended to address discovery needs in mostcases in which their use is mandated, but they donot preclude any party from moving for permissionto serve such additional discovery as may be nec-essary in any particular case.

(c) Requests for production may be servedupon any party without leave of court at any timeafter the return day. In lieu of serving the requestsfor production set forth in Forms 204, 205, 206,209 and/or 211 of the rules of practice on a partywho is represented by counsel, the moving partymay serve on such party a notice of requestsfor production, which shall not include the actualrequests, but shall instead set forth the numberof the Practice Book form containing suchrequests and the name of the party to whom therequests are directed.

(d) The request shall clearly designate the itemsto be inspected either individually or by category.


The request or, if applicable, the notice of requestsfor production shall specify a reasonable time,place and manner of making the inspection.Unless the judicial authority orders otherwise, thefrequency of use of requests for production inall actions except those for which requests forproduction have been set forth in Forms 204, 205,206, 209 and/or 211 of the rules of practice isnot limited.

(e) If information has been electronically stored,and if a request for production does not specifya form for producing a type of electronically storedinformation, the responding party shall producethe information in a form in which it is ordinarilymaintained or in a form that is reasonably usable.A party need not produce the same electronicallystored information in more than one form.

(f) The party serving such request or notice ofrequests for production shall not file it with thecourt.

(g) Unless leave of court is granted, the instruc-tions to Forms 204 through 206 of the rules ofpractice are to be used for all nonstandardrequests for production.

(h) A party seeking the production of a writtenauthorization in compliance with the Health Insur-ance Portability and Accountability Act to inspectand make copies of protected health information,or a written authorization in compliance with thePublic Health Service Act to inspect and makecopies of alcohol and drug records that are pro-tected by that act, shall file a motion pursuant toSection 13-11A. A motion need not be filed toobtain such authorization in actions to whichForms 204 and 205 of the rules of practice apply.

(P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, totake effect Jan. 1, 2000; amended Aug. 24, 2001, to takeeffect Jan. 1, 2002; amended June 20, 2005, to take effectJan. 1, 2006; amended June 20, 2011, to take effect Jan. 1,2012; amended June 14, 2013, to take effect Jan. 1, 2014;amended June 24, 2016, to take effect Jan. 1, 2017.)

HISTORY—2017: In 2017, what is now subsection (b) wasadded and what had been subsections (b) through (g) arenow designated subsections (c) through (h), respectively.

COMMENTARY—2017: The change to this section isintended to make clear that standard requests for productionare intended to meet the discovery needs of most motor vehicleand premises liability personal injury cases but that they canbe supplemented upon motion as necessary in any particu-lar case.

Sec. 13-10. —Responses to Requests forProduction; Objections(a) The party to whom the request is directed

or such party’s attorney shall serve a writtenresponse, which may be in electronic format,within sixty days after the date of certification ofservice, in accordance with Sections 10-12through 10-17, of the request or, if applicable, the

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notice of requests for production on theresponding party or within such shorter or longertime as the judicial authority may allow, unless:

(1) Counsel and/or self-represented parties filewith the court a written stipulation extending thetime within which responses may be served; or

(2) Upon motion, the court allows a longertime; or

(3) Objections to the requests for productionand the reasons therefor are filed and servedwithin the sixty day period.

(b) All responses: (1) shall repeat immediatelybefore the response the request for productionbeing responded to; and (2) shall state withrespect to each item or category that inspectionand related activities will be permitted asrequested, unless the request or any part thereofis objected to.

(c) Where a request calling for submission ofcopies of documents is not objected to, the partyresponding to the request shall produce thosecopies with the response served upon all parties.

(d) Objection by a party to certain parts of arequest shall not relieve that party of the obligationto respond to those portions to which that partyhas not objected within the sixty day period.

(e) A party objecting to one or more of therequests for production shall file an objection inaccordance with Section 13-10 (f).

(f) A party who objects to any request or portionof a request shall: (1) set forth the requestobjected to; (2) specifically state the reasons forthe objection; (3) state whether any responsivematerials are being withheld on the basis of thestated objection; and (4) sign the objections andfile them with the court.

(g) No objection may be filed with respect torequests for production set forth in Forms 204,205, 206, 209 and/or 211 of the rules of practicefor use in connection with Section 13-9.

(h) No objection to any request for productionshall be placed on the short calendar list until anaffidavit by counsel or self-represented parties isfiled certifying that they have made good faithattempts to resolve the objection and that counseland/or self-represented parties have been unableto reach an agreement. The affidavit shall setforth: (1) the date of the objection; (2) the nameof the party who filed the objection and to whomthe objection was addressed; (3) the date, timeand place of any conference held to resolve thedifferences; and (4) the names of all conferenceparticipants. If no conference has been held, theaffidavit shall also set forth the reasons for thefailure to hold such a conference.

(i) If an objection to any part of a request forproduction is overruled, the objecting party shall


comply with the request at a time set by the judi-cial authority.

(j) The party serving the request or the noticeof request for production may move for an orderunder Section 13-14 with respect to any failure torespond by the party to whom the request or noticeis addressed.

(P.B. 1978-1997, Sec. 227.) (Amended June 28, 1999, totake effect Jan. 1, 2000; amended Aug. 24, 2001, to takeeffect Jan. 1, 2002; amended June 30, 2008, to take effectJan. 1, 2009; amended June 20, 2011, to take effect Jan. 1,2012; amended June 14, 2013, to take effect Jan. 1, 2014;amended June 12, 2015, to take effect Jan. 1, 2016; amendedJune 24, 2016, to take effect Jan. 1, 2017.)

HISTORY—2017: In the first paragraph of subsection (a),‘‘thirty’’ was deleted before ‘‘days’’ and ‘‘sixty’’ was added, and‘‘or within such shorter or longer time as the judicial authoritymay allow,’’ was added before ‘‘unless.’’ In subdivision (1) ofsubsection (a), ‘‘and/or self-represented parties’’ was addedafter ‘‘Counsel.’’ Also in 2017, subdivision (2) of subsection(a) was deleted, what had been subdivision (3) of subsection(a) is now designated subdivision (2), and what is now subdivi-sion (3) was added.

Prior to 2017, what had been (a) (2) read: ‘‘The party towhom the requests for production are directed, after servicein accordance with Sections 10-12 through 10-17, files arequest for extension of time, for not more than thirty days,within the initial thirty-day period. Such request shall bedeemed to have been automatically granted by the judicialauthority on the date of filing, unless within ten days of suchfiling the party who has served the requests for production orthe notice of requests for production shall file objection thereto.A party shall be entitled to one such request for each set ofrequests for production served upon that party; or.’’

Prior to 2017, subsection (b) read: ‘‘The response of theparty shall be inserted directly on the original request servedin accordance with Section 13-9 and shall state, with respectto each item or category, that inspection and related activitieswill be permitted as requested, unless the request or any partthereof is objected to. If, pursuant to subsection (b) of Section13-9, a notice of requests for production is served in lieu ofrequests for production, the party to whom such notice isdirected shall in his or her response set forth each requestfor production immediately followed by that party’s responsethereto. No objection may be filed with respect to requests forproduction set forth in Forms 204, 205, 206, 209 and/or 211of the rules of practice for use in connection with Section13-9. Where a request calling for submission of copies ofdocuments is not objected to, those copies shall be appendedto the copy of the response served upon the party making therequest. A party objecting to one or more requests shall file anobjection to the request. Objections to requests for productionshall be immediately preceded by the request objected to,shall set forth reasons for the objection, shall be signed bythe attorney or self-represented party making them and shallbe filed with the court. Objection by a party to certain parts ofthe request shall not relieve that party of the obligation torespond to those portions to which that party has not objectedwithin the thirty-day period. The party serving the request orthe notice of requests for production may move for an orderunder Section 13-14 with respect to any failure on the part ofthe party to whom the request or notice is addressed torespond.’’

Prior to 2017, subsection (c) read: ‘‘No objection to anysuch request shall be placed on the short calendar list until

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an affidavit by either counsel is filed certifying that bona fideattempts have been made to resolve the differences concern-ing the subject matter of the objection and that counsel havebeen unable to reach an accord. The affidavit shall set forththe date of the objection, the name of the party who filed theobjection and the name of the party to whom the objectionwas addressed. The affidavit shall also recite the date, timeand place of any conference held to resolve the differencesand the names of all persons participating therein, or, if noconference has been held, the reasons for the failure to holdsuch a conference. If an objection to any part of a request forproduction is overruled, compliance with the request shall bemade at a time to be set by the judicial authority.’’

Also in 2017, subsections (d) through (j) were added tothis section.

COMMENTARY—2017: The time for responding torequests for production has been increased from thirty to sixtydays, unless otherwise established by a scheduling order, toprovide respondents with additional time to review andrespond to the request. By extending the time for responding,it is expected that parties will not find it necessary to seek anextension of time as frequently. The rule also eliminates theprovision for filing a request for extension of time, but it doesnot preclude a party from filing a motion for an extension oftime. The section has also been broken down into severallettered subsections and rearranged to make it easier to followthe requirements for responding or objecting to productionrequests. Subsection (f) of the revised rule now includes arequirement that parties specifically state the reasons for theirobjection and indicate whether they are withholding anyresponsive materials based upon the objection.

Sec. 13-11. —Physical or Mental Exami-nation(a) In any civil action, in any probate appeal, or

in any administrative appeal where the judicialauthority finds it reasonably probable that evi-dence outside the record will be required, in whichthe mental or physical condition of a party, or ofa person in the custody of or under the legal con-trol of a party, is material to the prosecution ordefense of said action, the judicial authority mayorder the party to submit to a physical or mentalexamination by a physician or to produce forexamination the person in the party’s custody orlegal control.

(b) In the case of an action to recover damagesfor personal injuries, any party adverse to theplaintiff may file and serve in accordance withSections 10-12 through 10-17 a request that theplaintiff submit to a physical or mental examinationat the expense of the requesting party. Thatrequest shall specify the time, place, manner, con-ditions and scope of the examination and the per-son or persons by whom it is to be made. Anysuch request shall be complied with by the plaintiffunless, within ten days from the filing of therequest, the plaintiff files in writing an objectionthereto specifying to which portions of saidrequest objection is made and the reasons forsaid objection. The objection shall be placed onthe short calendar list upon the filing thereof. The


judicial authority may make such order as is justin connection with the request. No plaintiff shallbe compelled to undergo a physical or mentalexamination by any physician to whom he or sheobjects in writing.

(c) In any other case, such order may be madeonly on motion for good cause shown to be heardat short calendar. The motion shall specify thetime, place, manner, conditions and scope of theexamination and the person or persons by whomit is to be made.

(d) If requested by the party against whom anorder is made under this rule, or who has volunta-rily agreed to an examination, the party causingthe examination to be made shall deliver to suchparty a copy of a written report of the examiningphysician, setting out the findings, includingresults of all tests made, diagnoses and conclu-sions, together with like reports of all earlier exam-inations of the same condition. After delivery, theparty causing the examination shall be entitledupon request to receive from the party againstwhom the order is made, or who has voluntarilyagreed to an examination, a like report of anyexamination, previously or thereafter made, of thesame condition. The judicial authority on motionmay make an order requiring delivery by a partyof a report on such terms as are just, and if aphysician fails or refuses to make a report, thejudicial authority may exclude the physician’s tes-timony if offered at the trial.

(e) By requesting and obtaining a report of theexamination so ordered or by taking the deposi-tion of the examiner, the party examined waives,in that action, or in any other action involving thesame controversy, any privilege he or she mayhave regarding the testimony of every other per-son who has examined or may thereafter examinethe party in respect to the same mental or physi-cal condition.

(f) This section does not preclude discovery ofa report of an examining physician or the takingof a deposition of the physician in accordance withthe provisions of any other section of this chapter.


Sec. 13-11A. —Motion for Authorization toObtain Protected Health InformationThe judicial authority may, on motion of a party

and for good cause shown, order a party to pro-vide a written authorization sufficient to complywith the provisions of the Health Insurance Porta-bility and Accountability Act, as that act may fromtime to time be amended, to inspect and makecopies of protected health information.

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The judicial authority may, on application of aparty that is in compliance with the provisions ofthe Public Health Service Act and for good causeshown, order a party to provide a written authori-zation sufficient to comply with the provisions ofsaid act, as that act may from time to time beamended, to inspect and make copies of alcoholand drug records that are protected by that act.


Sec. 13-12. Disclosure of Amount and Provi-sions of Insurance Liability PolicyIn any civil action the existence, contents and

policy limits of any insurance policy under whichany insurer may be liable to satisfy part or all ofa judgment which may be rendered in the actionagainst any party or to indemnify or reimburseany defendant for payments made to satisfy thejudgment shall be subject to discovery by anyparty by interrogatory or request for productionunder Sections 13-6 through 13-11. Informationconcerning the insurance agreement is not by rea-son of disclosure admissible in evidence at trial.

(P.B. 1978-1997, Sec. 230.)

Sec. 13-13. Disclosure of Assets in Cases inWhich Prejudgment Remedy Sought(a) The judicial authority may, on motion, order

any appearing party against whom a prejudgmentremedy has been granted to disclose property inwhich the party has an interest or debts owingto the party sufficient to satisfy a prejudgmentremedy. The existence, location and extent of aparty’s interest in such property or debts shall besubject to disclosure after hearing on the motionfor disclosure. The form and terms of disclosureshall be determined by the judicial authority.

(b) A motion to disclose pursuant to this sectionmay be made by filing it with the application fora prejudgment remedy or may be made at anytime after the filing of the application.

(c) The judicial authority may order disclosureat any time prior to final judgment after it hasdetermined that the party filing the motion for dis-closure has, pursuant to either General Statutes§§ 52-278d, 52-278e or 52-278i, probable causesufficient for the issuance of a prejudgmentremedy.

(d) Any party, in lieu of disclosing assets pursu-ant to subsection (a), may move the judicialauthority for substitution either of a bond withsurety substantially in compliance with GeneralStatutes §§ 52-307 and 52-308 or of other suffi-cient security.



Sec. 13-14. Order for Compliance; Failure toAnswer or Comply with Order(a) If any party has failed to answer interrogato-

ries or to answer them fairly, or has intentionallyanswered them falsely or in a manner calculatedto mislead, or has failed to respond to requestsfor production or for disclosure of the existenceand contents of an insurance policy or the limitsthereof, or has failed to submit to a physical ormental examination, or has failed to comply witha discovery order made pursuant to Section 13-13, or has failed to comply with the provisions ofSection 13-15, or has failed to appear and testifyat a deposition duly noticed pursuant to this chap-ter, or has failed otherwise substantially to complywith any other discovery order made pursuant toSections 13-6 through 13-11, the judicial authoritymay, on motion, make such order as the ends ofjustice require.

(b) Such orders may include the following:(1) The entry of a nonsuit or default against the

party failing to comply;(2) The award to the discovering party of the

costs of the motion, including a reasonable attor-ney’s fee;

(3) The entry of an order that the mattersregarding which the discovery was sought or otherdesignated facts shall be taken to be establishedfor the purposes of the action in accordance withthe claim of the party obtaining the order;

(4) The entry of an order prohibiting the partywho has failed to comply from introducing desig-nated matters in evidence;

(5) If the party failing to comply is the plaintiff,the entry of a judgment of dismissal.

(c) The failure to comply as described in thissection may not be excused on the ground that thediscovery is objectionable unless written objectionas authorized by Sections 13-6 through 13-11 hasbeen filed.

(d) The failure to comply as described in thissection shall be excused and the judicial authoritymay not impose sanctions on a party for failureto provide information, including electronicallystored information, lost as the result of the routine,good-faith operation of a system or process inthe absence of a showing of intentional actionsdesigned to avoid known preservation obligations.


Sec. 13-15. Continuing Duty to DiscloseIf, subsequent to compliance with any request

or order for discovery and prior to or during trial,a party discovers additional or new material orinformation previously requested and orderedsubject to discovery or inspection or discovers

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that the prior compliance was totally or partiallyincorrect or, though correct when made, is nolonger true and the circumstances are such thata failure to amend the compliance is in substancea knowing concealment, that party shall promptlynotify the other party, or the other party’s attorney,and file and serve in accordance with Sections10-12 through 10-17 a supplemental or cor-rected compliance.

(P.B. 1978-1997, Sec. 232.)

Sec. 13-16. Orders by JudgeAny order provided in this chapter to be made

by the court may be made by a judge thereofwhen the court is not actually in session.

(P.B. 1978-1997, Sec. 233.)

Sec. 13-17. Disclosure before Court or Com-mitteeDisclosures by garnishees and all other disclo-

sures in civil actions not under Sections 13-2through 13-16 may be made to the judicial author-ity or before a committee, as the judicial authoritymay determine.

(P.B. 1978-1997, Sec. 234.)

Sec. 13-18. Disclosures in EquityDisclosures made in answer to complaints in

the nature of bills of discovery in equity may bemade either by sworn answers or before a com-mittee, as the judicial authority may determine.When either party in any action has obtained fromthe other party a disclosure on oath, respectingthe matters alleged in any pleading, the disclosureshall not be deemed conclusive, but may be con-tradicted as any other testimony. (See GeneralStatutes § 52-200.)

(P.B. 1978-1997, Sec. 235.)

Sec. 13-19. Disclosure of DefenseIn any action to foreclose or to discharge any

mortgage or lien or to quiet title, or in any actionupon any written contract, in which there is anappearance by an attorney for any defendant, theplaintiff may at any time file and serve in accord-ance with Sections 10-12 through 10-17 a writtendemand that such attorney present to the court,to become a part of the file in such case, a writingsigned by the attorney stating whether he or shehas reason to believe and does believe that thereexists a bona fide defense to the plaintiff’s actionand whether such defense will be made, togetherwith a general statement of the nature or sub-stance of such defense. If the defendant fails todisclose a defense within ten days of the filing ofsuch demand in any action to foreclose a mort-gage or lien or to quiet title, or in any action uponany written contract, the plaintiff may file a written


motion that a default be entered against thedefendant by reason of the failure of the defendantto disclose a defense. If no disclosure of defensehas been filed, the judicial authority may orderjudgment upon default to be entered for the plain-tiff at the time the motion is heard or thereafter,provided that in either event a separate motionfor such judgment has been filed. The motionsfor default and for judgment upon default maybe served and filed simultaneously but shall beseparate motions.


Sec. 13-20. Discovery Sought by JudgmentCreditor(a) A judgment creditor may obtain discovery

from the judgment debtor, or from any third personthe judgment creditor reasonably believes, ingood faith, may have assets of the judgmentdebtor, or from any financial institution to theextent provided by this section, of any mattersrelevant to satisfaction of the money judgment.The judgment creditor shall commence any dis-covery proceeding by serving interrogatories ona form approved by the judges of the superiorcourt, or their designees, on the person fromwhom discovery is sought. Neither the interroga-tories nor a notice thereof shall be filed with thecourt. The interrogatories shall be in clear andsimple language and shall be placed on the pagein such manner as to leave space under eachinterrogatory for the person served to insert theanswer. The person to whom interrogatories aredirected shall answer them and return them to thejudgment creditor within thirty days of the date ofservice. Answers to interrogatories served on ajudgment debtor shall be signed by such debtorunder penalty of false statement. With respect toassets, the person served is required to revealinformation concerning the amount, nature andlocation of the judgment debtor’s nonexemptassets up to an amount clearly sufficient in valueto ensure full satisfaction of the judgment withinterest and costs, provided disclosure shall befirst required as to assets subject to levy or foreclo-sure within the state. If interrogatories are servedon a financial institution, the financial institutionshall disclose only whether it holds funds of thejudgment debtor on account and the balance ofsuch funds, up to the amount necessary to satisfythe judgment with interest and costs.

(b) On failure of a person served with interroga-tories to, within the thirty days, return a sufficientanswer or disclose sufficient assets for execution,or on objection by such person to the interrogato-ries, which objection shall not be filed with the

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court by such person, the judgment creditor maymove the judicial authority for such supplementaldiscovery orders as may be necessary to ensuredisclosure including (1) an order for compliancewith the interrogatories or authorizing additionalinterrogatories and (2) an order for production orfor examination of the judgment debtor or thirdperson, provided any such examination shall beconducted before the judicial authority. The judi-cial authority may order such discovery as justicerequires provided the order shall contain a noticethat failure to comply therewith may subject theperson served to being held in contempt of court.

(c) On motion of a judgment debtor or thirdperson from whom discovery is sought, and forgood cause shown, or on its own motion, the judi-cial authority may make any order which justicerequires to protect such debtor or third personfrom annoyance, embarrassment, oppression orundue burden or expense.

(d) The other provisions of this chapter shallnot apply to discovery sought under this section.

(P.B. 1978-1997, Sec. 236A.)

Sec. 13-21. Discovery Outside the UnitedStates of America(a) If an applicable treaty or convention renders

discovery inadequate or inequitable but does notprohibit additional discovery, the judicial authoritymay order, upon application of any party, discov-ery on such terms and conditions as the judicialauthority deems just and equitable after consider-ing the following:

(1) other methods of discovery specified orallowed in any applicable international treaty orconvention, including any reservations;

(2) whether all applicable international treatiesand conventions prohibit one or more specifiedmethods of discovery;

(3) whether the method of discovery violatesthe criminal law of the foreign nation involved;

(4) whether the foreign nation’s procedure willallow the parties to directly apply to the foreignnation’s courts for judicial assistance inobtaining discovery;

(5) the importance of the requested documentsor other information to the litigation;

(6) the degree of specificity of the request;(7) whether the information originated within the

United States;(8) the availability of alternate means of

obtaining the information;(9) the extent noncompliance with the request

would undermine important interests of theUnited States;


(10) the extent compliance with the requestwould undermine important interests of the foreignnation involved;

(11) whether the discovery sought, or themethod sought to be employed, is unreasonablyintrusive or burdensome under the circum-stances;

(12) whether the request can be modified tomake it reasonable under the circumstances;

(13) whether the foreign party is wholly or par-tially owned by a foreign nation or the instrumen-tality of a foreign nation;

(14) the cost of compliance;(15) whether the foreign country requires that

discovery be obtained through a judicial officer.(b) As used in this section, discovery includes

the taking of testimony by deposition upon oralexamination.

(P.B. 1978-1997, Sec. 236B.)

Sec. 13-22. Admission of Facts and Execu-tion of Writings; Requests for Admission(a) A party may serve in accordance with Sec-

tions 10-12 through 10-17 upon any other partya written request, which may be in electronic for-mat, for the admission, for purposes of the pend-ing action only, of the truth of any matters relevantto the subject matter of the pending action setforth in the request that relate to statements oropinions of fact or of the application of law tofact, including the existence, due execution andgenuineness of any documents described in therequest. The party serving a request for admissionshall separately set forth each matter of which anadmission is requested and unless the request isserved electronically as provided in Section 10-13 and in a format that allows the recipient toelectronically insert the answers in the transmitteddocument, shall leave sufficient space followingeach request in which the party to whom therequests are directed can insert an answer orobjection. Copies of documents shall be servedwith the request unless they have been or areotherwise furnished or made available for inspec-tion and copying. The request may, without leaveof the judicial authority, be served upon any partyat any time after the return day. Unless the judicialauthority orders otherwise, the frequency of useof requests for admission is not limited.

(b) The party serving such request shall not fileit with the court but shall instead file a notice withthe court which states that the party has serveda request for admission on another party, thename of the party to whom the request has beendirected and the date upon which service in

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accordance with Sections 10-12 through 10-17was made.


Sec. 13-23. —Answers and Objections toRequests for Admission(a) Each matter of which an admission is

requested is admitted unless, within thirty daysafter the filing of the notice required by Section13-22 (b), or within such shorter or longer timeas the judicial authority may allow, the party towhom the request is directed files and servesupon the party requesting the admission a writtenanswer or objection addressed to the matter,signed by the party or by his attorney. Any suchanswer or objection shall be inserted directly onthe original request. In the event that an answeror objection requires more space than that pro-vided on a request for admission that was notserved electronically and in a format that allowsthe recipient to electronically insert the answersin the transmitted document, it shall be continuedon a separate sheet of paper which shall beattached to the response. Documents sought tobe admitted by the request shall be filed with theresponse by the responding party only if they arethe subject of an answer or objection. If objectionis made, the reasons therefor shall be stated. Theanswer shall specifically deny the matter or setforth in detail the reasons why the answering partycannot truthfully admit or deny the matter. A denialshall fairly meet the substance of the requestedadmission, and when good faith requires that aparty qualify his or her answer or deny only a partof the matter of which an admission is requested,such party shall specify so much of it as is trueand qualify or deny the remainder. An answeringparty may not give lack of information or knowl-edge as a reason for failure to admit or denyunless such party states that he or she has madereasonable inquiry and that the information knownor readily obtainable by him or her is insufficientto enable an admission or denial. A party whoconsiders that a matter of which an admission hasbeen requested presents a genuine issue for trialmay not, on that ground alone, object to therequest; the party may deny the matter or set forthreasons why he or she cannot admit or deny it.The responding party shall attach a cover sheetto the response which shall comply with Sections4-1 and 4-2 and shall specify those requests towhich answers and objections are addressed.

(b) The party who has requested the admissionmay move to determine the sufficiency of theanswer or objection. No such motion shall beplaced on the short calendar list until an affidavit


by either counsel is filed certifying that bona fideattempts have been made to resolve the differ-ences concerning the subject matter of the motionand that counsel have been unable to reach anaccord. Unless the judicial authority determinesthat an objection is justified, it shall order that ananswer be served. If the judicial authority deter-mines that an answer does not comply with therequirements of this rule, it may order either thatthe matter is admitted or that an amended answerbe served. The judicial authority may, in lieu ofthese orders, determine that final disposition ofthe request be made at a designated time priorto trial.


Sec. 13-24. —Effect of Admission(a) Any matter admitted under this section is

conclusively established unless the judicialauthority on motion permits withdrawal or amend-ment of the admission. The judicial authority maypermit withdrawal or amendment when the pre-sentation of the merits of the action will be sub-served thereby and the party who obtained theadmission fails to satisfy the judicial authority thatwithdrawal or amendment will prejudice suchparty in maintaining his or her action or defenseon the merits. Any admission made by a partyunder this section is for the purpose of the pendingaction only and is not an admission by him or herfor any other purpose nor may it be used againsthim or her in any other proceeding.

(b) The admission of any matter under this sec-tion shall not be deemed to waive any objectionsto its competency or relevancy. An admission ofthe existence and due execution of a document,unless otherwise expressed, shall be deemed toinclude an admission of its delivery, and that ithas not since been altered.

(P.B. 1978-1997, Sec. 240.)

Sec. 13-25. —Expenses on Failure to AdmitIf a party fails to admit the genuineness of any

document or the truth of any matter as requestedherein, and if the party requesting the admissionsthereafter proves the genuineness of the docu-ment or the truth of the matter, such party mayapply to the court for an order requiring the otherparty to pay the reasonable expenses incurred inmaking that proof, including reasonable attorney’sfees. The judicial authority shall make the orderunless it finds that such failure to admit was rea-sonable.

(P.B. 1978-1997, Sec. 241.)

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Sec. 13-26. Depositions; In GeneralIn addition to other provisions for discovery and

subject to the provisions of Sections 13-2 through13-5, any party who has appeared in a civil action,in any probate appeal, or in any administrativeappeal where the judicial authority finds it reason-ably probable that evidence outside the recordwill be required, may, at any time after the com-mencement of the action or proceeding, in accord-ance with the procedures set forth in this chapter,take the testimony of any person, including aparty, by deposition upon oral examination. Theattendance of witnesses may be compelled bysubpoena as provided in Section 13-28. Theattendance of a party deponent or of an officer,director, or managing agent of a party may becompelled by notice to the named person or suchperson’s attorney in accordance with the require-ments of Section 13-27 (a). The deposition of aperson confined in prison may be taken only byleave of the judicial authority on such terms asthe judicial authority prescribes. (See GeneralStatutes § 52-178.)

(P.B. 1978-1997, Sec. 243.)

Sec. 13-27. —Notice of Deposition; GeneralRequirements; Special Notice; Nonsteno-graphic Recording; Production of Docu-ments and Things; Deposition ofOrganization(a) A party who desires to take the deposition

of any person upon oral examination shall givereasonable notice in writing to every other partyto the action. Such notice shall not be filed withthe court but shall be served upon each party oreach party’s attorney in accordance with Sections10-12 through 10-17. The notice shall state thetime and place for taking the deposition, the nameand address of each person to be examined, ifknown, and, if the name is not known, a generaldescription sufficient to identify such person orthe particular class or group to which he or shebelongs and the manner of recording. If a sub-poena duces tecum is to be served on the personto be examined, the designation of the materialsto be produced as set forth in the subpoena shallbe attached to or included in the notice.

(b) Leave of a judicial authority, granted with orwithout notice, must be obtained only if the partyseeks to take a deposition prior to the expirationof twenty days after the return day, except thatleave is not required (1) if the adverse party hasserved a notice of the taking of a deposition orhas otherwise sought discovery, or (2) if specialnotice is given as provided herein.

(c) Leave of a judicial authority is not requiredfor the taking of a deposition by a party if the


notice (1) states that the person to be examinedis about to go out of this state, or is bound on avoyage to sea, and will be unavailable for exami-nation unless such person’s deposition is takenbefore the expiration of twenty days after thereturn day, and (2) sets forth facts to support thestatement. The party’s attorney shall sign thenotice, and this signature constitutes a certifica-tion by such attorney that to the best of his or herknowledge, information and belief the statementand supporting facts are true.

(d) Whenever the whereabouts of any adverseparty is unknown, a deposition may be taken pur-suant to Section 13-26 after such notice as thecourt, in which such deposition is to be used,or, when such court is not in session, any judgethereof, may direct.

(e) The judicial authority may for good causeshown increase or decrease the time for takingthe deposition.

(f) (1) The judicial authority may upon motionorder that the testimony at a deposition berecorded by other than stenographic means suchas by videotape, in which event the order shalldesignate the manner of recording, preserving,and filing the deposition, and may include otherprovisions to assure that the recorded testimonywill be accurate and trustworthy. If the order ismade, a party may nevertheless arrange to havea stenographic transcription made at the party’sown expense.

(2) Notwithstanding this section, a depositionmay be recorded by videotape without prior courtapproval if (i) any party desiring to videotape thedeposition provides written notice of the videotap-ing to all parties in either the notice of depositionor other notice served in the same manner as anotice of deposition and (ii) the deposition is alsorecorded stenographically.

(g) The notice to a party deponent may beaccompanied by a request made in compliancewith Sections 13-9 through 13-11 for the produc-tion of documents and tangible things at the takingof the deposition. The procedure of Sections 13-9 through 13-11 shall apply to the request.

(h) A party may in the notice and in the sub-poena name as the deponent a public or privatecorporation or a partnership or an association ora governmental agency or a state officer in anaction arising out of the officer’s performance ofemployment and designate with reasonable par-ticularity the matters on which examination isrequested. The organization or state officer sonamed shall designate one or more officers, direc-tors, or managing agents, or other persons whoconsent to testify on its behalf, and may set forth,for each person designated, the matters on which

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the person will testify. The persons so designatedshall testify as to matters known or reasonablyavailable to the organization. This subsectiondoes not preclude the taking of a deposition byany other procedure authorized by the rules ofpractice.


Sec. 13-28. —Persons before Whom Depo-sition Taken; Subpoenas(a) Within this state, depositions shall be taken

before a judge or clerk of any court, notary publicor commissioner of the superior court. In any otherstate or country, depositions for use in a civilaction, probate proceeding or administrativeappeal within this state shall be taken before anotary public, of such state or country, a commis-sioner appointed by the governor of this state, anymagistrate having power to administer oaths insuch state or country, or a person commissionedby the court before which such action or proceed-ing is pending, or when such court is not in ses-sion, by any judge thereof. Any person socommissioned shall have the power by virtue ofhis or her commission to administer any neces-sary oaths and to take testimony. Additionally, ifa deposition is to be taken out of the United States,it may be taken before any foreign minister, secre-tary of a legation, consul or vice-consul appointedby the United States or any person by him or herappointed for the purpose and having authorityunder the laws of the country where the depositionis to be taken; and the official character of anysuch person may be proved by a certificate fromthe secretary of state of the United States.

(b) Each judge or clerk of any court, notarypublic or commissioner of the superior court, inthis state, may issue a subpoena, upon request,for the appearance of any witness before an offi-cer authorized to administer oaths within this stateto give testimony at a deposition subject to theprovisions of Sections 13-2 through 13-5, if theparty seeking to take such person’s depositionhas complied with the provisions of Sections 13-26 and 13-27.

(c) A subpoena issued for the taking of a deposi-tion may command the person to whom it isdirected to produce and permit inspection andcopying of designated books, papers, documentsor tangible things which constitute or contain mat-ters within the scope of the examination permittedby Sections 13-2 through 13-5. Unless otherwiseordered by the court or agreed upon in writingby the parties any subpoena issued to a personcommanding the production of documents orother tangible thing at a deposition shall not direct


compliance within less than fifteen days from thedate of service thereof.

(d) The person to whom a subpoena is directedmay, within fifteen days after the service thereofor within such time as otherwise ordered by thecourt or agreed upon in writing by the parties,serve upon the issuing authority designated in thesubpoena written objection to the inspection orcopying of any or all of the designated materials.If objection is made, the party at whose requestthe subpoena was issued shall not be entitled toinspect and copy the disputed materials exceptpursuant to an order of the court in which thecause is pending. The party who requested thesubpoena may, if objection has been made, move,upon notice to the deponent, for an order at anytime before or during the taking of the deposition.

(e) The court in which the cause is pending, or,if the cause is pending in a foreign court, the courtin the judicial district wherein the subpoenaed per-son resides, may, upon motion made promptlyand, in any event, at or before the time for compli-ance specified in a subpoena authorized by sub-section (b) of this section, (1) quash or modify thesubpoena if it is unreasonable and oppressive orif it seeks the production of materials not subjectto production under the provisions of subsection(c) of this section, or (2) condition denial of themotion upon the advancement by the party whorequested the subpoena of the reasonable costof producing the materials being such.

(f) If any person to whom a lawful subpoena isissued under any provision of this section failswithout just excuse to comply with any of its terms,the court before which the cause is pending, orany judge thereof, or, if the cause is pending ina foreign court, the court in the judicial districtwherein the subpoenaed person resides, mayissue a capias and cause the person to be broughtbefore that court or judge, as the case may be,and, if the person subpoenaed refuses to complywith the subpoena, the court or judge may committhe person to jail until he or she signifies a willing-ness to comply with it.

(g) (1) Deposition of witnesses living in this statemay be taken in like manner to be used as evi-dence in a civil action or probate proceeding pend-ing in any court of the United States or of anyother state of the United States or of any foreigncountry, on application of any party to such civilaction or probate proceeding.

(2) Any person to whom a subpoena has beendirected in a civil action or probate proceeding,other than a party to such civil action or probatecourt proceeding, pending in any court of anyother state of the United States or of any foreign

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country, which subpoena commands (A) the per-son’s appearance at a deposition, or (B) the pro-duction, copying or inspection of books, papers,documents or tangible things may, within fifteendays after the service thereof or on or before thetime specified in the subpoena for compliance ifsuch time is less than fifteen days after service,serve upon the party who requested issuance ofthe subpoena written objection to appearing orproducing, copying or permitting the inspection ofsuch books, papers, documents or tangible thingson the ground that the subpoena will cause suchperson undue or unreasonable burden orexpense. Service of the objection shall be madeby United States mail, certified or registered, post-age prepaid, return receipt requested, without theuse of a state marshal or other officer. Such writ-ten objection shall be accompanied by an affidavitof costs setting forth the estimated or actual costsof compliance with such subpoena, including, butnot limited to, the person’s attorney’s fees or thecosts to such person of electronic discovery. If aperson makes such written objection, the partywho requested issuance of the subpoena (i) shallnot be entitled to compel such person’s appear-ance or receive, copy or inspect the books,papers, documents or tangible things, except pur-suant to an order of the Superior Court, and (ii)may, upon notice to such person, file a motionwith the court in the judicial district wherein thesubpoenaed person resides, for an order to com-pel such person’s appearance or production,copying or inspection of such materials in accord-ance with the terms of such subpoena. Uponreceipt of such motion together with the paymentof all entry fees, if required, the clerk shall sched-ule the matter for hearing and provide the movingparty notice of the time and place of the hearing.The moving party shall serve the motion to compeland the notice of the time and place of the hearingupon the subpoenaed party. When ruling on suchmotion to compel, the court shall make a findingas to whether the subpoena subjects the personto undue or unreasonable burden or expense priorto entering any order to compel such person’sappearance or the production, copying or inspec-tion of such materials. If the court finds that thesubpoena issued to the person subjects such per-son to undue or unreasonable burden or expense,any order to compel such person’s appearanceor production, copying or inspection of such mate-rials shall protect the person from undue or unrea-sonable burden or expense resulting fromcompliance with such subpoena and, except inthe case of a subpoena commanding the produc-tion, copying or inspection of medical records,


may include, but not be limited to, the reimburse-ment of such person’s reasonable costs of compli-ance, as set forth in the affidavit of costs.

(3) The provisions of subdivision (2) of this sub-section shall not be applicable to a civil actionfiled to recover damages resulting from personalinjury or wrongful death in which it is alleged thatsuch injury or death resulted from professionalmalpractice of a health care provider or healthcare institution.


HISTORY—2017: In 2017, what had been subsection (g)of this section is now designated (g) (1); in addition, subdivi-sions (2) and (3) of subsection (g) were added.

COMMENTARY—2017: The revision to this section is con-sistent with the provisions of General Statutes § 52-148e (f),as amended by No. 15-211, § 29, of the 2015 Public Acts.

Sec. 13-29. —Place of Deposition(a) Any party who is a resident of this state may

be compelled by notice as provided in Section 13-27 (a) to give a deposition at any place within thecounty of such party’s residence, or within thirtymiles of such residence, or at such other placeas is fixed by order of the judicial authority. Aplaintiff who is a resident of this state may alsobe compelled by like notice to give a depositionat any place within the county where the actionis commenced or is pending.

(b) A plaintiff who is not a resident of this statemay be compelled by notice under Section 13-27(a) to attend at the plaintiff’s expense an examina-tion in the county of this state where the action iscommenced or is pending or at any place withinthirty miles of the plaintiff’s residence or within thecounty of his or her residence or in such otherplace as is fixed by order of the judicial authority.

(c) A defendant who is not a resident of thisstate may be compelled:

(1) By subpoena to give a deposition in anycounty in this state in which the defendant is per-sonally served, or

(2) By notice under Section 13-27 (a) to give adeposition at any place within thirty miles of thedefendant’s residence or within the county of hisor her residence or at such other place as is fixedby order of the judicial authority.

(d) A nonparty deponent may be compelled bysubpoena served within this state to give a deposi-tion at a place within the county of his or herresidence or within thirty miles of the nonpartydeponent’s residence, or if a nonresident of thisstate within any county in this state in which heor she is personally served, or at such other placeas is fixed by order of the judicial authority.

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(e) In this section, the terms ‘‘plaintiff’’ and‘‘defendant’’ include officers, directors and man-aging agents of corporate plaintiffs and corporatedefendants or other persons designated underSection 13-27 (h) as appropriate.

(f) If a deponent is an officer, director or manag-ing agent of a corporate party, or other persondesignated under Section 13-27 (h), the place ofexamination shall be determined as if the resi-dence of the deponent were the residence ofthe party.

(P.B. 1978-1997, Sec. 246.)

Sec. 13-30. —Deposition Procedure(a) Examination and cross-examination of

deponents may proceed as permitted at trial. Theofficer before whom the deposition is to be takenshall put the deponent on oath and shall person-ally, or by someone acting under the officer’sdirection, record the testimony of the deponent.The testimony shall be taken stenographically orrecorded by any other means authorized inaccordance with Section 13-27 (f). If the testimonyis taken stenographically, it shall be transcribedat the request of one of the parties.

(b) All objections made at the time of the exami-nation to the qualifications of the officer taking thedeposition, or to the manner of taking it, or tothe evidence presented, or to the conduct of anyparty, and any other objection to the proceedings,shall be noted by the officer upon the deposition.Evidence objected to shall be taken subject tothe objections. Every objection raised during adeposition shall be stated succinctly and framedso as not to suggest an answer to the deponentand, at the request of the questioning attorney,shall include a clear statement as to any defectin form or other basis of error or irregularity. Aperson may instruct a deponent not to answeronly when necessary to preserve a privilege, toenforce a limitation directed by the court, or topresent a motion under subsection (c) of this sec-tion. In lieu of participating in the oral examination,parties may serve written questions in a sealedenvelope on the party taking the deposition andthe party shall transmit the questions to the officer,who shall propound them to the witness andrecord the answers verbatim.

(c) At any time during the taking of the deposi-tion, on motion of a party or of the deponent andupon a showing that the examination is being con-ducted in bad faith or in such manner as unrea-sonably to annoy, embarrass, or oppress thedeponent or party, the court in which the actionis pending may order the officer conducting theexamination forthwith to cease taking the deposi-tion, or may limit the scope and manner of the


taking of the deposition as provided in Section 13-5. If the order made terminates the examination, itshall be resumed thereafter only upon the orderof the court in which the action is pending.

(d) If requested by the deponent or any party,when the testimony is fully transcribed the deposi-tion shall be submitted to the deponent for exami-nation and shall be read to or by the deponent.Any changes in form or substance which thedeponent desires to make shall be entered uponthe deposition by the officer with a statement ofthe reasons given by the deponent for makingthem. The deposition shall then be signed by thedeponent certifying that the deposition is a truerecord of the deponent’s testimony, unless theparties by stipulation waive the signing or the wit-ness is ill or cannot be found or refuses to sign.If the deposition is not signed by the deponentwithin thirty days after its submission to the depo-nent, the officer shall sign it and state on therecord the fact of the waiver or of the illness orabsence of the deponent or the fact of the refusalor failure to sign together with the reason, if any,given therefor; and the deposition may then beused as fully as though signed unless, on a motionto suppress under Section 13-31 (c) (4), the judi-cial authority holds that the reasons given for therefusal or failure to sign require rejection of thedeposition in whole or in part.

(e) The person recording the testimony shallcertify on the deposition that the witness was dulysworn by the person, that the deposition is a truerecord of the testimony given by the deponent,whether each adverse party or his agent was pres-ent, and whether each adverse party or his agentwas notified, and such person shall also certifythe reason for taking the deposition. The personshall then securely seal the deposition in an enve-lope endorsed with the title of the action, theaddress of the court where it is to be used andmarked ‘‘Deposition of (here insert the name ofthe deponent),’’ shall then promptly deliver it tothe party at whose request it was taken and giveto all other parties a notice that the deposition hasbeen transcribed and so delivered. The party atwhose request the deposition was taken shall filethe sealed deposition with the court at the timeof trial.

(f) Documents and things produced for inspec-tion during the examination of the deponent, shall,upon the request of a party, be marked for identifi-cation and annexed to and returned with the depo-sition, and may be inspected and copied by anyparty, except that (1) the person producing thematerials may substitute copies to be marked foridentification, if the person affords to all partiesfair opportunity to verify the copies by comparison

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with the originals, and (2) if the person producingthe materials requests their return, the officer shallmark them, give each party an opportunity toinspect and copy them, and return them to theperson producing them, and the materials maythen be used in the same manner as if annexedto and returned with the deposition to the court,pending final disposition of the case.

(g) The parties may stipulate in writing and filewith the court, or the court may upon motion order,that a deposition be taken by telephone, video-conference, or other remote electronic means. Forthe purposes of Sections 13-26 through 13-29and this section, such a deposition is deemedtaken at the place where the deponent is toanswer questions. Except as otherwise providedin this subsection, the rules governing the prac-tice, procedures and use of depositions shallapply to remote electronic means depositions.The following additional rules, unless otherwiseagreed in writing by the parties or ordered by thecourt, shall apply to depositions taken by remoteelectronic means:

(1) The deponent shall be in the presence ofthe officer administering the oath and recordingthe deposition.

(2) Any exhibits or other demonstrative evi-dence to be presented to the deponent by anyparty at the deposition shall be provided to theofficer administering the oath and all other partiesprior to the deposition.

(3) Nothing in subsection (g) shall prohibit anyparty from being with the deponent during thedeposition, at that party’s expense; provided,however, that a party attending a deposition shallgive written notice of that party’s intention toappear at the deposition to all other parties withina reasonable time prior to the deposition.

(4) The party at whose instance the remoteelectronic means deposition is taken shall pay allcosts of the remote electronic means depositionfor the transmission from the location of the depo-nent and one site for participation of counsellocated in the judicial district where the case ispending together with the cost of the steno-graphic, video or other electronic record. The costof participation in a remote electronic meansdeposition from any other location shall be paidby the party or parties participating from suchother location.

(h) Notwithstanding this section, a depositionmay be attended by any party by remote electronicmeans even if the party noticing the depositiondoes not elect to use remote electronic means if(i) a party desiring to attend by remote electronicmeans provides written notice of such intentionto all parties in either the notice of deposition or


a notice served in the same manner as a noticeof deposition and (ii) if the party electing to partici-pate by remote electronic means is not the partynoticing the deposition, such party pays all costsassociated with implementing such remote elec-tronic participation by that party.

(i) Nothing contained in any provision providingfor the use of remote electronic means deposi-tions shall prohibit any party from securing a rep-resentative to be present at the location wherethe deponent is located to report on the recordany events which occur in that location whichmight not otherwise be transmitted and/orrecorded by the electronic means utilized.

(j) The party on whose behalf a deposition istaken shall bear the cost of the original transcript,and any permanent electronic record includingaudio or videotape. Any party or the deponentmay obtain a copy of the deposition transcript andpermanent electronic record including audio orvideotape at its own expense.

(P.B. 1978-1997, Sec. 247.) (Amended June 26, 2000, totake effect Jan. 1, 2001; amended June 30, 2003, to takeeffect Jan. 1, 2004; amended June 21, 2004, to take effectJan. 1, 2005; amended June 30, 2008, to take effect Jan. 1,2009; amended June 20, 2011, to take effect Jan. 1, 2012.)

Sec. 13-31. —Use of Depositions in CourtProceedings(a) Use of Depositions.At the trial of a civil action, probate proceeding

or administrative appeal, or upon the hearing ofa motion or an interlocutory proceeding, any partor all of a deposition, so far as admissible underthe rules of evidence applied as though the wit-ness were there present and testifying, may beused against any party who was present or repre-sented at the taking of the deposition or who hadreasonable notice thereof, in accordance with anyof the following provisions:

(1) Any deposition may be used by any partyfor the purpose of contradicting or impeaching thetestimony of the deponent as a witness.

(2) The deposition of any physician, psycholo-gist, chiropractor, natureopathic physician, osteo-pathic physician or dentist licensed under theprovisions of the General Statutes may bereceived in evidence in lieu of the appearance ofsuch witness at the trial or hearing whether or notthe person is available to testify in person at thetrial or hearing.

(3) The deposition of a party or of anyone whoat the time of the taking of the deposition was anofficer, director, or managing agent or employeeor a person designated under Section 13-27 (h) totestify on behalf of a public or private corporation,partnership or association or governmental

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agency which is a party may be used by anadverse party for any purpose.

(4) The deposition of a witness other than aperson falling within the scope of subdivision (2)hereof, whether or not a party, may be used byany party for any purpose if the judicial authorityfinds: (A) that the witness is dead; (B) that thewitness is at a greater distance than thirty milesfrom the place of trial or hearing, or is out of thestate and will not return before the terminationof the trial or hearing, unless it appears that theabsence of the witness was procured by the partyoffering the deposition; (C) that the witness isunable to attend or testify because of age, illness,infirmity, or imprisonment; (D) that the party offer-ing the deposition has been unable to procure theattendance of the witness by subpoena; (E) thatthe parties have agreed that the deposition maybe so used; (F) upon application and notice, thatsuch exceptional circumstances exist as to makeit desirable, in the interest of justice and with dueregard to the importance of presenting the testi-mony of witnesses orally in open court, to allowthe deposition to be used.

(5) If only part of a deposition is offered in evi-dence by a party, an adverse party may requirethe party to introduce any other part which ought infairness to be considered with the part introduced,and any party may introduce any other parts.

(6) Substitution of parties does not affect theright to use depositions previously taken; andwhen an action in any court of the United Statesor of any state has been dismissed and anotheraction involving the same subject matter is after-ward brought between the same parties or theirrepresentatives or successors in interest, alldepositions lawfully taken and duly filed in theformer action may be used in the latter as if origi-nally taken therefor.

(b) Objections to Admissibility.Subject to the provisions of subsection (c) of

this section, objection may be made at the trial orhearing to receiving in evidence any depositionor part thereof for any reason which would requirethe exclusion of the evidence if the witness werethen present and testifying.

(c) Effect of Errors and Irregularities inDepositions.

(1) As to notice: All errors and irregularities inthe notice for taking a deposition are waivedunless written objection is promptly served uponthe party giving the notice.

(2) As to disqualification of officer: Objection totaking a deposition because of disqualification ofthe officer before whom it is to be taken is waivedunless made before the taking of the depositionbegins or as soon thereafter as the disqualification


becomes known or could be discovered with rea-sonable diligence.

(3) As to taking of deposition: (A) Objections tothe competency of a witness or to the compe-tency, relevancy or materiality of testimony arenot waived by failure to make them before or dur-ing the taking of the deposition, unless the groundof the objection is one which might have beenobviated or removed if presented at that time.(B) Errors and irregularities occurring at the oralexamination in the manner of taking the deposi-tion, in the form of the questions or answers, inthe oath or affirmation, or in the conduct of parties,and errors of any kind which might be obviated,removed, or cured if promptly presented, arewaived unless seasonable objection thereto ismade at the taking of the deposition.

(4) As to completion and return of deposition:Errors and irregularities in the manner in whichthe testimony is transcribed or the deposition isprepared, signed, certified, sealed, endorsed,transmitted, filed or otherwise dealt with by theofficer are waived unless a motion to suppressthe deposition or some part thereof is made withreasonable promptness after such defect is, orwith due diligence might have been, ascertained.

(P.B. 1978-1997, Sec. 248.)

Sec. 13-32. Stipulations regarding Discov-ery and Deposition ProcedureUnless the court orders otherwise, the parties

may by written stipulation (1) provide that deposi-tions may be taken before any person, at any time

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or place, upon any notice, and in any manner,and when so taken may be used as other deposi-tions, and (2) modify the procedures provided bythis chapter for other methods of discovery.

(P.B. 1978-1997, Sec. 249.)

Sec. 13-33. Claim of Privilege or Protectionafter Production(a) If papers, books, documents or electroni-

cally stored information produced in discovery aresubject to a claim of privilege or of protection astrial preparation material, the party making theclaim may notify any party that received the infor-mation of the claim and the basis for the claim.

(b) After being notified of a claim of privilege orof protection under subsection (a), a party shallimmediately sequester the specified informationand any copies it has and: (1) return or destroythe information and all copies and not use or dis-close the information until the claim is resolved; or(2) present the information to the judicial authorityunder seal for a determination of the claim andnot otherwise use or disclose the information untilthe claim is resolved.

(c) If a party that received notice under subsec-tion (b) disclosed the information subject to thenotice before being notified, the party shall takereasonable steps to retrieve the information.



CHAPTER 14

DOCKETS, TRIAL LISTS, PRETRIALS AND ASSIGNMENT LISTS

Sec. Sec.14-1. Claim for Statutory Exemption or Stay by Reason

of Bankruptcy14-2. Claim for Exemption from Docket Management

Program by Reason of Bankruptcy14-3. Dismissal for Lack of Diligence14-4. Maintenance of Case Records14-5. Definition of Administrative Appeals14-6. Administrative Appeals Are Civil Actions14-7. Administrative Appeals; Exceptions14-7A. —Administrative Appeals Brought Pursuant to

General Statutes § 4-183 et seq.; Appearances;Records, Briefs and Scheduling

14-7B. Administrative Appeals from Municipal Land Use,Historic and Resource Protection Agencies;Records, Briefs and Scheduling; Withdrawal orSettlement

14-8. Certifying That Pleadings Are Closed14-9. Privileged Cases in Assignment for Trial


Sec. 14-1. Claim for Statutory Exemption orStay by Reason of BankruptcyWhen a claim for a statutory exemption or stay

by reason of bankruptcy is filed, it shall be accom-panied by an affidavit setting forth the date thebankruptcy petition was filed, the district of thebankruptcy court in which it was filed and theaddress, the name of the bankruptcy debtor andthe number of the bankruptcy case.

When the stay has been relieved or terminated,the plaintiff, the person filing the petition, or anyother interested party shall file with the court acopy of the relief or termination of stay issued bythe bankruptcy court.


Sec. 14-2. Claim for Exemption from DocketManagement Program by Reason of Bank-ruptcy(Amended June 24, 2002, to take effect Jan. 1, 2003.)

When a claim for an exemption from the docketmanagement program by reason of bankruptcy isfiled, it shall be accompanied by an affidavit set-ting forth the date the bankruptcy petition wasfiled, the district of the bankruptcy court in whichit was filed and the address, the name of thebankruptcy debtor and the number of the bank-ruptcy case and shall be sworn to by the partyclaiming the exemption or that party’s attorney.

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14-10. Claims for Jury14-11. Pretrial; Assignment for Pretrial14-12. —When Case Not Disposed of at Pretrial14-13. —Pretrial Procedure14-14. —Orders at Pretrial14-15. Assignments for Trial in General14-16. Methods of Assigning Cases for Trial14-17. Immediate Trial14-18. Cases Reached for Trial14-19. Cases Marked Settled14-20. Order of Trial14-21. Clerk to Communicate with Counsel in Cases

Assigned for Week Certain14-22. Assignment for Trial on Motion of Garnishee14-23. Motions to Continue or Postpone Case Assigned

for Trial14-24. Motion to Postpone; Absent Witness; Missing

Evidence14-25. Availability of Counsel for Trial

An updated affidavit shall be filed every six monthsby that claimant.

(P.B. 1978-1997, Sec. 250B.) (Amended June 24, 2002,to take effect Jan. 1, 2003.)

Sec. 14-3. Dismissal for Lack of Diligence(a) If a party shall fail to prosecute an action

with reasonable diligence, the judicial authoritymay, after hearing, on motion by any party to theaction pursuant to Section 11-1, or on its ownmotion, render a judgment dismissing the actionwith costs. At least two weeks’ notice shall berequired except in cases appearing on an assign-ment list for final adjudication. Judgment files shallnot be drawn except where an appeal is taken orwhere any party so requests.

(b) If a case appears on a docket managementcalendar pursuant to the docket management pro-gram administered under the direction of the chiefcourt administrator, and a motion for default forfailure to plead is filed pursuant to Section 10-18,only those papers which close the pleadings byjoining issues, or raise a special defense, may befiled by any party, unless the judicial authorityotherwise orders.


Sec. 14-4. Maintenance of Case RecordsThe clerk in each judicial district and geographi-

cal area shall maintain and have available for


inspection during office hours a record concerningeach civil case and administrative appeal. Suchrecord shall designate whether the pleadings areclosed and shall distinguish those cases in whichthe amount, legal interest or property in demand,is less than $15,000, exclusive of interest andcosts, from cases in which the amount, legal inter-est or property in demand, is $15,000 or more,exclusive of interest and costs.

(P.B. 1978-1997, Sec. 254.)

Sec. 14-5. Definition of AdministrativeAppealsFor the purposes of these rules, administrative

appeals are those appeals taken pursuant to stat-ute from decisions of officers, boards, commis-sions or agencies of the state or of any politicalsubdivision of the state, and include specificallyappeals taken pursuant to:

(1) chapter 54 of the General Statutes;(2) chapters 124 through 134 of the General

Statutes; or(3) other enabling legislation.(P.B. 1978-1997, Sec. 255.)

Sec. 14-6. Administrative Appeals Are CivilActionsFor purposes of these rules, administrative

appeals are civil actions subject to the provisionsand exclusions of General Statutes § 4-183 etseq. and the Practice Book. Whenever these rulesrefer to civil actions, actions, civil causes, causesor cases, the reference shall include administra-tive appeals except that an administrative appealshall not be deemed an action for purposes ofSection 10-8 of these rules or for General Statutes§§ 52-48, 52-591, 52-592 or 52-593.


Sec. 14-7. Administrative Appeals; Excep-tions(Amended June 14, 2013, to take effect Jan. 1, 2014.)(a) Appeals from the employment security

board of review shall follow the procedure set forthin chapter 22 of these rules.

(b) Workers’ compensation appeals taken tothe appellate court shall follow the procedure setforth in the Rules of Appellate Procedure.

(c) Appeals in which the parties are entitled toa trial de novo, including but not limited to: (1)appeals from municipal boards of tax review orboards of assessment appeals taken pursuant toGeneral Statutes §§ 12-117a and 12-119; (2)appeals from municipal assessors taken pursuantto General Statutes § 12-103; (3) appeals fromthe commissioner of revenue services; and (4)appeals from the insurance commissioner taken

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pursuant to General Statutes § 38a-139, areexcluded from the procedures prescribed in Sec-tion 14-7A and 14-7B, and shall, subsequent tothe filing of the appeal, follow the same course ofpleading as that followed in ordinary civil actions.

(d) Administrative appeals are not subject tothe pretrial rules, except as otherwise provided inSections 14-7A and 14-7B.


Sec. 14-7A. —Administrative AppealsBrought Pursuant to General Statutes § 4-183 et seq.; Appearances; Records, Briefsand Scheduling(Amended June 14, 2013, to take effect Jan. 1, 2014.)(a) Administrative appeals brought pursuant to

General Statutes § 4-183 et seq. shall be servedin accordance with applicable law either by certi-fied or registered mail of the appeal, and a noticeof filing on a form substantially in compliance withForm JD-CV-137 or by personal service of theappeal, and a citation on a form substantially incompliance with Form JD-CV-138. The appealshall be filed with the court in accordance withGeneral Statutes § 4-183 (c).

(b) In administrative appeals brought pursuantto General Statutes § 4-183 et seq., the defendantshall file an appearance within thirty days of ser-vice made pursuant to General Statutes § 4-183(c). Within thirty days of the filing of the defend-ant’s appearance, or if a motion to dismiss is filed,within forty-five days of the denial of a motion todismiss, the agency shall file with the court andtransmit to all parties a certified list of the papersin the record as set forth in General Statutes § 4-183 (g), and, unless otherwise excluded by lawor subject to a pending motion by either party,shall make the existing listed papers available forinspection by the parties.

(c) Except as provided in Section 14-7, orexcept as otherwise permitted by the judicialauthority in its discretion, in an administrativeappeal brought pursuant to General Statutes § 4-183 et seq., the record shall be transmitted andfiled in accordance with this section. For the pur-poses of this section, the term ‘‘papers’’ shallinclude any and all documents, transcripts, exhib-its, plans, minutes, agendas, correspondence, orother materials, regardless of format, which arepart of the entire record of the proceedingappealed from described in General Statutes§§ 4-183 (g) and 4-177 (d), including additionsto the record pursuant to General Statutes § 4-183 (h).

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERS Sec. 14-7B

(d) No less than thirty days after the filing ofthe certified list of papers in the record under sub-section (b), the court and the parties will set up aconference to establish which of the contents ofthe record are to be transmitted and will set up ascheduling order, including dates for the filing ofthe designated contents of the record, for the filingof appropriate pleading and briefs, and for con-ducting appropriate conferences and hearings.No brief shall exceed thirty-five pages without per-mission of the judicial authority. At the conference,the court shall also determine which, if any, ofthe designated contents of the record shall betransmitted to the parties and/or the court in paperformat because such papers are either difficult toreproduce electronically or difficult to review inelectronic format.

(e) The agency shall transmit to the court certi-fied copies of the designated contents of therecord established in accordance with subsec-tion (d).

(f) If any party seeks to include in such party’sbrief or appendices, papers the party deemsmaterial to its claim or position, which were notpart of the designated contents of the recorddetermined under subsection (d), but were on thecertified list filed in accordance with subsection(b), such party shall file an amendment to therecord as of right attaching such papers. In theevent such an amendment to the record as ofright is filed, the scheduling order may be adjustedto provide either party with additional time to filea brief or reply brief.

(g) No party shall include in such party’s briefor appendices, papers that were neither part ofthe designated contents of the record under sub-section (d), nor on the certified list filed in accord-ance with subsection (b), unless the court requiresor permits subsequent corrections of additions tothe record under General Statutes § 4-183 (g) orunless an application for leave to present addi-tional evidence is filed and granted under GeneralStatutes § 4-183 (h) or (i).

(h) Disputes about the contents of the recordor other motion, application or objection will beheard as otherwise scheduled by the court.

(i) If a party is not in compliance with the sched-uling order, the judicial authority may, on its ownmotion or on motion of one of the parties, and afterhearing, make such order, including sanctions, asthe ends of justice require.

(j) Any hearings to consider the taxation of costsin accordance with General Statutes § 4-183 (g)shall be conducted after the court renders its deci-sion on the appeal.


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HISTORY—2017: Prior to 2017, subsection (a) read:‘‘Administrative appeals brought pursuant to General Statutes§ 4-183 et seq. shall be served in accordance with applicablelaw either by certified or registered mail of the appeal, and anotice of filing and recognizance on a form substantially incompliance with Form JD-CV-137 prescribed by the chief courtadministrator or by personal service of the appeal, and a cita-tion and recognizance on a form substantially in compliancewith Form JD-CV-138 prescribed by the chief court administra-tor. The appeal shall be filed with the court in accordance withGeneral Statutes § 4-183 (c).’’


Sec. 14-7B. Administrative Appeals fromMunicipal Land Use, Historic and ResourceProtection Agencies; Records, Briefs andScheduling; Withdrawal or Settlement(Amended June 14, 2013, to take effect Jan. 1, 2014.)(a) Except as provided in Sections 14-7 or 14-

7A, for appeals from municipal land use, historic,and resource protection agencies, the board oragency shall transmit and file the record in accord-ance with this section. For the purposes of thisSection 14-7B, the term ‘‘papers’’ shall includeany and all documents, transcripts, exhibits,plans, minutes, agendas, correspondence, orother materials, regardless of format, which arepart of the return of record described in GeneralStatutes § 8-8 (i), including additions to the recordper § 8-8 (k).

(b) Within thirty days of the return date, theboard or agency shall transmit a certified list ofthe papers in the record to all parties and shallmake the existing listed papers available forinspection by the parties.

(c) The first time that the appeal appears onthe administrative appeals calendar, the court andthe parties will establish, or will set up a confer-ence to establish, which of the contents of therecord are to be transmitted, and will set up ascheduling order, which will include dates for thefiling of the designated contents of the record, forthe filing of appropriate pleading and briefs, andfor conducting appropriate conferences and hear-ings. No brief shall exceed thirty-five pages with-out permission of the judicial authority. At theconference, the court shall also determine which,if any, of the designated contents of the recordshall be transmitted to the parties and/or the courtin paper format because such papers are eitherdifficult to reproduce electronically or difficult toreview in electronic format.

(d) The board or agency shall transmit to thecourt and all parties: (1) the certified list of papersin the record that was transmitted to the partiesunder subsection (b) of this section; and (2) certi-fied copies of the designated contents of the

SUPERIOR COURT—PROCEDURE IN CIVIL MATTERSSec. 14-7B

record established in accordance with subsec-tion (c).

(e) If any party seeks to include in such party’sbrief or appendices papers the party deems mate-rial to its claim or position, which were not part ofthe designated contents of the record determinedunder subsection (c) but were on the certified listfiled in accordance with subsection (b), such partyshall file an amendment to the record as of rightattaching such papers. In the event such anamendment to the record as of right is filed, thescheduling order may be adjusted to provideeither party with additional time to file a brief orreply brief.

(f) No party shall include in such party’s briefor appendices, papers that were neither part ofthe designated contents of the record under sub-section (c), nor on the certified list filed in accord-ance with subsection (b), unless the court grantspermission to supplement the records with suchpapers pursuant to General Statutes § 8-8 (k).

(g) Disputes about the contents of the recordsor other motions, applications or objections willbe heard on the administrative appeals calendaror as otherwise scheduled by the court.

(h) If a party is not in compliance with the sched-uling order, the judicial authority may, on its ownmotion or on motion of one of the parties, and afterhearing, make such order, including sanctions, asthe ends of justice require.

(i) Any hearings to consider taxation of costs inaccordance with General Statutes § 8-8 (i) shallbe conducted after the court renders its decisionon the appeal.

(j) No appeal under General Statutes §§ 8-8or 22a-43 shall be withdrawn and no settlementbetween the parties to any such appeal shall beeffective unless and until a hearing has been heldbefore the superior court and such court hasapproved such proposed withdrawal or settle-ment. No decision that is appealed under GeneralStatutes §§ 8-8 or 22a-43 shall be modified bysettlement or stipulated judgment unless theterms of the settlement or stipulated judgmenthave been approved at a public meeting of themunicipal agency that issued the decision. Theproposed settlement shall be identified on theagenda of such meeting, which agenda shall beposted in accordance with the applicable require-ments of General Statutes § 1-210 et seq., andthe reasons for such approval shall be stated onthe record during such public meeting of suchagency and before the court. The court mayinquire about the procedure followed by theagency, inquire of the parties whether settlementwas reached by coercion or intimidation, and con-sider any other factors that the court deems

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appropriate. No notice of the court proceedingother than normal publication of the calendar andnotice to the parties is required unless otherwiseordered by the court.


Sec. 14-8. Certifying That Pleadings AreClosed(a) A case may be scheduled for trial at any

time by order of the court. When the pleadingsare closed on the issue or issues in the caseas to all parties, an accurate certificate of closedpleadings shall be filed within ten days. Any partymay file the certificate. Upon the filing of the certifi-cate of closed pleadings, the case shall be sched-uled for a trial as soon as the court’s docketpermits if it has not already been scheduled fora trial.

(b) If the case is claimed as privileged, theground of privilege as defined in Section 14-9shall be stated. If the privilege claimed arises fromsome other statute or rule giving a matter prece-dence for trial, the applicable provisions shall becited with specificity.

(c) An administrative appeal may be placed onthe administrative appeal trial list at the directionof the judicial authority, pursuant to Section 14-7A or 14-7B or in accordance with subsections(a) and (b) of this section.

(d) This section shall not apply to summary pro-cess matters.


Sec. 14-9. Privileged Cases in Assignmentfor TrialThe following classes of cases shall be privi-

leged in respect to assignment for trial: (1) hear-ings under the fair employment practices act andthe labor relations act; (2) all actions, exceptactions upon probate bonds, brought by or onbehalf of the state, including informations on therelation of a private individual; (3) appeals fromthe employment security board of review; (4)appeals from probate and from the doings of com-missioners appointed by courts of probate; (5)actions brought by receivers of insolvent corpora-tions by order of court; (6) actions by or againstany person sixty-five years of age or older or whoreaches such age during the pendency of theaction; (7) appeals from findings, orders or otheractions of the public utilities control authority; (8)equitable actions tried to the court wherein theessential claim asserted is for a permanent injunc-tion and any claim for damages or other relief,


legal or equitable, is merely in lieu of, or supple-mental to, the claim for injunction; (9) habeas cor-pus proceedings; (10) motions to dissolvetemporary injunctions; (11) motions for temporaryinjunctions; (12) writs of ne exeat, prohibition andmandamus; (13) applications for appointment ofreceivers; (14) disclosures by garnishees; (15)actions by or against executors, administrators,or trustees in bankruptcy or insolvency; (16) hear-ings to the court in damages on default or caseswhere there is an issue as to damages after thejudicial authority has granted a summary judg-ment on the issue of liability; (17) cases remandedby the supreme and appellate courts for a newtrial and cases in which a verdict has been setaside, a new trial granted or a mistrial declared;(18) any other actions given precedence by stat-ute or rule.

(P.B. 1978-1997, Sec. 259.)

Sec. 14-10. Claims for JuryAll claims of cases for the jury shall be made

in writing, served on all other parties and filedwith the clerk within the time allowed by GeneralStatutes § 52-215. The jury claim fee shall be paidat the time the jury claim is filed.

(P.B. 1978-1997, Sec. 260.)

Sec. 14-11. Pretrial; Assignment for Pretrial(a) Cases in which the pleadings are closed

may be assigned by the caseflow coordinator orclerk in consultation with the presiding judge forpretrial.

(b) If there are reasons why a case scheduledfor pretrial cannot be pretried effectively, for exam-ple in cases in which the extent of the injuries areunknown or discovery has not been completed,then the judicial authority shall continue the caseto a date certain for pretrial and may limit the timefor the completion of discovery.

(P.B. 1978-1997, Sec. 263.)

Sec. 14-12. —When Case Not Disposed ofat PretrialIf the pretrial does not result in the disposition

of the case by settlement, judgment by stipulation,or withdrawal, then the judicial authority may (1)continue the matter for a reasonable period if theparties agree to participate in any form of alterna-tive dispute resolution, (2) enter appropriateorders to assure that the case is readied for trial,(3) order the case assigned for trial on a datecertain or a week certain in the future or, (4) assignthe case to a specific judge for trial on a datecertain. The date designated for trial shall, if possi-ble, be agreeable to the parties.

(P.B. 1978-1997, Sec. 264.)

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Sec. 14-13. —Pretrial ProcedureThe chief court administrator or the presiding

judge with the consent of the chief court adminis-trator may designate one or more available judgesor judge trial referees to hold pretrial sessions.Parties and their attorneys shall attend the pretrialsession; provided, that when a party againstwhom a claim is made is insured, an insuranceadjuster for such insurance company shall beavailable by telephone at the time of such pretrialsession unless the judge or judge referee, in hisor her discretion, requires the attendance of theadjuster at the pretrial. If any person fails to attendor to be available by telephone pursuant to thisrule, the judicial authority may make such orderas the ends of justice require, which may includethe entry of a nonsuit or default against the partyfailing to comply and an award to the complyingparty of reasonable attorney’s fees. Each partyclaiming damages or seeking relief of any kind,or such party’s attorney, shall obtain from the courtclerk a pretrial memo form, shall complete theform before the pretrial session and shall, at thecommencement of the pretrial session, distributecopies of the completed form to the judge and toeach other party. Such pretrial memoranda shallnot be placed in the court file unless otherwiseordered by the judicial authority who conductedthe pretrial.

The following matters shall be considered atthe pretrial session:

(1) A discussion of the possibility of settlement.(2) Simplification of the issues.(3) Amendments to pleadings.(4) Admissions of fact, including stipulations of

the parties concerning any material matter andadmissibility of evidence, particularly photo-graphs, maps, drawings and documents, in orderto minimize the time required for trial.

(5) The limitation of number of expert witnesses.(6) Inspection of hospital records and x-ray

films.(7) Exchange of all medical reports, bills and

evidences of special damage which have comeinto possession of the parties or of counsel sincecompliance with previous motions for disclosureand production for inspection.

(8) Scheduling of a trial management confer-ence and issuance of a trial management orderby the judicial authority with reference thereto.

(9) Consideration of alternative dispute resolu-tion options to trial.

(10) Such other procedures as may aid in thedisposition of the case, including the exchange ofmedical reports, and the like, which come into


possession of counsel subsequent to the pre-trial session.


Sec. 14-14. —Orders at PretrialThe judicial authority may make any appro-

priate order at pretrial, including the issuance ofa trial management order, and such order shallcontrol the subsequent conduct of the case unlessmodified at the trial to prevent manifest injustice.If any party fails to abide by any such order thejudicial authority may make such order as theends of justice require, which may include theentry of a nonsuit or default against the offendingparty and an award to a complying party of rea-sonable attorney’s fees.

(P.B. 1978-1997, Sec. 268.)

Sec. 14-15. Assignments for Trial in GeneralEach week a sufficient number of cases shall

be assigned to provide business for each trial dayof that week. Cases may be assigned for differentdays and different times of the same day. Indetermining the number of cases to be assigned,the caseflow coordinator or clerk, in consultationwith the presiding judge, will schedule only thenumber of cases that can reasonably be expectedto be tried that week. Cases not reached for trialon the day certain or during the week certain towhich they were assigned shall be assigned withpriority to a new date, which shall, if possible, beagreeable to the parties.

(P.B. 1978-1997, Sec. 270.)

Sec. 14-16. Methods of Assigning Casesfor Trial(a) In each court location the presiding judge,

subject to the approval of the chief court adminis-trator, shall assign to trial judges for trial thosecases not resolved at pretrial in accordance withSection 14-12.

(b) The presiding judge may, if circumstancesrequire, assign for trial a case that has notbeen pretried.

(c) Upon request of a party and for good causeshown, the presiding judge may postpone a caseor reassign it to another judge.

(P.B. 1978-1997, Sec. 271.)

Sec. 14-17. Immediate TrialThe judicial authority may, on its own motion

or on the motion of a party and upon a showingof extraordinary circumstances, order a case tobe assigned for immediate trial.

(P.B. 1978-1997, Sec. 273.)

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Sec. 14-18. Cases Reached for TrialWhen a case is reached on a day or week

certain it shall be tried, defaulted, dismissed pur-suant to Section 17-19 or nonsuited, unless forgood cause shown the judicial authority mayassign it for trial on a future date. Such reschedul-ing shall not displace cases already assignedfor trial.

(P.B. 1978-1997, Sec. 274.)

Sec. 14-19. Cases Marked SettledAny case that does not proceed to trial because

it has been reported to the judicial authority ashaving been settled shall be withdrawn withinthirty days or shall be dismissed thereafter unlessthe judicial authority, for good cause shown,extends the time for a withdrawal.

(P.B. 1978-1997, Sec. 274A.)

Sec. 14-20. Order of TrialParties and counsel shall be present and ready

to proceed to trial on the day and time specifiedby the judicial authority. The day specified shallbe during the week certain selected by counsel.

(P.B. 1978-1997, Sec. 276.)

Sec. 14-21. Clerk to Communicate withCounsel in Cases Assigned for WeekCertainThe caseflow coordinator or clerk, at the direc-

tion of the presiding judge, shall communicatewith counsel for the parties in the cases assignedfor each week certain for trial to keep the courtprovided with sufficient business for each day thecourt is in session. Cases shall not be assignedfor trial prior to the week certain that has beenassigned unless the parties consent.

(P.B. 1978-1997, Sec. 277.)

Sec. 14-22. Assignment for Trial on Motionof GarnisheeWhen, in an action commenced by process of

foreign attachment, the defendant does notappear, if the plaintiff does not take a default insuch action within four months after the day onwhich the process is returnable to such court, thejudicial authority may, at any time thereafter, uponmotion of any garnishee in such action, assignthe same for trial.

(P.B. 1978-1997, Sec. 278.)

Sec. 14-23. Motions to Continue or Post-pone Case Assigned for TrialWhenever a motion for a postponement or con-

tinuance of a case assigned for trial is made byeither party and such motion is granted, the courtmay require the party making the same to pay tothe adverse party such sum by way of indemnity


as it deems reasonable. (See General Statutes§ 52-196.)

(P.B. 1978-1997, Sec. 279.)

Sec. 14-24. Motion to Postpone; Absent Wit-ness; Missing Evidence(a) Whenever a motion is made for the post-

ponement or continuance of a cause assignedfor trial on account of the absence of a materialwitness, such motion, if the adverse party or thejudicial authority requires it, shall be supported byan affidavit stating the name of the absent witness,if known, and the particular facts which, it isbelieved, may be proved by him or her, with thegrounds of such belief. The judicial authority mayrefuse to continue such cause if there is no goodreason why the party making the request did notmake proper preparation to have the witness pres-ent or if the adverse party will admit that the absent

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witness would, if present, testify to the facts statedin the affidavit, and will agree that the same shallbe received as evidence on the trial, in like manneras if the witness were present and had testifiedthereto. Such agreement shall be made in writingat the foot of the affidavit and signed by the partyor attorney.

(b) The same rule shall apply where the motionis grounded on the want of any material documentor other evidence that might be used on the trial.

(P.B. 1978-1997, Sec. 280.)

Sec. 14-25. Availability of Counsel for TrialWhenever an attorney has cases assigned

simultaneously before the court and jury, the juryassignment shall take precedence over the courtassignment unless the attorney is actuallyengaged in the court trial.



CHAPTER 15

TRIALS IN GENERAL; ARGUMENT BY COUNSEL

Sec. Sec.15-1. Order of Trial15-2. Separate Trials15-3. Motion in Limine15-4. Medical Evidence15-5. Order of Parties Proceeding at Trial


Sec. 15-1. Order of TrialIn all cases, whether entered upon the docket

as jury cases or court cases, the judicial authoritymay order that one or more of the issues joinedbe tried before the others. Where the pleadingsin an action present issues both of law and of fact,the issues of law must be tried first, unless thejudicial authority otherwise directs. If some, butnot all, of the issues in a cause are put to the jury,the remaining issue or issues shall be tried first,unless the judicial authority otherwise directs.(See General Statutes § 52-205 and annotations.)

(P.B. 1978-1997, Sec. 283.)

Sec. 15-2. Separate TrialsThe judicial authority may, upon motion, for

good cause shown, order a separate trial betweenany parties.

(P.B. 1978-1997, Sec. 284.)

Sec. 15-3. Motion in LimineThe judicial authority to whom a case has been

assigned for trial may in its discretion entertain amotion in limine made by any party regarding theadmission or exclusion of anticipated evidence. Ifa case has not yet been assigned for trial, a judicialauthority may, for good cause shown, entertainthe motion. Such motion shall be in writing andshall describe the anticipated evidence and theprejudice which may result therefrom. All inter-ested parties shall be afforded an opportunity tobe heard regarding the motion and the reliefrequested. The judicial authority may grant therelief sought in the motion or such other relief asit may deem appropriate, may deny the motionwith or without prejudice to its later renewal, ormay reserve decision thereon until a later time inthe proceeding.

(P.B. 1978-1997, Sec. 284A.)

Sec. 15-4. Medical EvidenceA party who plans to offer a hospital record in

evidence shall have the record in the clerk’s office

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15-6. Opening Argument15-7. Time Limit on Argument15-8. Dismissal in Court Cases for Failure to Make Out a

Prima Facie Case

twenty-four hours prior to trial. The judge holdingthe civil jury shall, at the opening session, orderthat all such records be available for inspectionin the clerk’s office to any counsel of record underthe supervision of the clerk. Counsel must recog-nize their responsibility to have medical testimonyavailable when needed and shall, when neces-sary, subpoena medical witnesses to that end.

(P.B. 1978-1997, Sec. 290.)

Sec. 15-5. Order of Parties Proceeding atTrial(a) Unless the judicial authority for cause per-

mits otherwise, the parties shall proceed with thetrial and argument in the following order:

(1) The plaintiff shall present a case in chief.(2) The defendant may present a case in chief.(3) The plaintiff and the defendant may present

rebuttal evidence in successive rebuttals, asrequired. The judicial authority for cause may per-mit a party to present evidence not of a rebuttalnature, and if the plaintiff is permitted to presentfurther evidence in chief, the defendant mayrespond with further evidence in chief.

(4) The plaintiff shall be entitled to make theopening and final closing arguments.

(5) The defendant may make a single closingargument following the opening argument of theplaintiff.

(b) If there are two or more plaintiffs or two ormore defendants and they do not agree as to theirorder of proceeding, the judicial authority shalldetermine their order.

(P.B. 1978-1997, Sec. 295.)

Sec. 15-6. Opening ArgumentInstead of reading the pleadings, counsel for

any party shall be permitted to make a brief open-ing statement to the jury in jury cases, or in acourt case at the discretion of the presiding judge,to apprise the trier in general terms as to thenature of the case being presented for trial. The


presiding judge shall have discretion as to thelatitude of the statements of counsel.

(P.B. 1978-1997, Sec. 296.)

Sec. 15-7. Time Limit on Argument

The argument on behalf of any party shall notoccupy more than one hour, unless the judicialauthority, on motion for special cause, before thecommencement of such argument, allows alonger time. (See General Statutes § 52-209and annotations.)

(P.B. 1978-1997, Sec. 297.)

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Sec. 15-8. Dismissal in Court Cases for Fail-ure to Make Out a Prima Facie CaseIf, on the trial of any issue of fact in a civil

matter tried to the court, the plaintiff has producedevidence and rested, a defendant may move forjudgment of dismissal, and the judicial authoritymay grant such motion if the plaintiff has failed tomake out a prima facie case. The defendant mayoffer evidence in the event the motion is notgranted, without having reserved the right to doso and to the same extent as if the motion hadnot been made.



CHAPTER 16

JURY TRIALS

Sec. Sec.16-1. Deaf or Hearing Impaired Jurors16-2. Challenge to Array16-3. Preliminary Proceedings in Jury Selection16-4. Disqualification of Jurors and Selection of Panel16-5. Peremptory Challenges16-6. Voir Dire Examination16-7. Juror Questions and Note Taking16-8. Oath and Admonitions to Trial Jurors16-9. Questions of Law and Fact16-10. Order by Judicial Authority for Jury Trial of Factual

Issues in Equitable Actions16-11. Cases Presenting Both Legal and Equitable Issues16-12. View by Jury of Place or Thing Involved in Case16-13. Judgment of the Court16-14. Communications between Parties and Jurors16-15. Materials to Be Submitted to Jury16-16. Jury Deliberations16-17. Jury Returned for Reconsideration16-18. Interrogatories to the Jury16-19. Reading of Statement of Amount in Demand or

Statement of Claim; Arguing Amount Recov-erable

16-20. Requests to Charge and Exceptions; Necessity for


Sec. 16-1. Deaf or Hearing Impaired JurorsAt the request of a deaf or hearing impaired

juror or the judicial authority, an interpreter orinterpreters provided by the Commission on theDeaf and Hearing Impaired and qualified underGeneral Statutes § 46a-33a shall assist such jurorduring the juror orientation program and all subse-quent proceedings, and when the jury assemblesfor deliberation.

(P.B. 1978-1997, Sec. 303A.)

Sec. 16-2. Challenge to ArrayAny party may challenge an array on the ground

that there has been a material departure from therequirements of law governing the selection andsummoning of an array. Such challenge shall bemade within five days after notification of the hear-ing or trial date, unless the defect claimed hasarisen subsequent to the time required to makesuch motion.

(P.B. 1998.)

Sec. 16-3. Preliminary Proceedings in JurySelectionThe judicial authority shall cause prospective

jurors to be sworn or affirmed in accordance withGeneral Statutes §§ 1-23 and 1-25. The judicial

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16-21. —Requests to Charge on Specific Claims16-22. —Filing Requests16-23. —Form and Contents of Requests to Charge16-24. —Charge Conference16-25. Modification of Instructions for Correction or Clarifi-

cation16-26. Other Instructions after Additional Instructions16-27. Jury Request for Review of Testimony16-28. Jury Request for Additional Instructions16-29. Deadlocked Jury16-30. Verdict; Return of Verdict16-31. —Acceptance of Verdict16-32. —Poll of Jury after Verdict16-33. —Discharge of Jury16-34. —Impeachment of Verdict16-35. Motions after Verdict: Motions in Arrest of Judg-

ment, to Set Aside Verdict, for Additur or Remitti-tur, for New Trial, or for Collateral SourceReduction

16-36. Motions to Reduce Verdict [Repealed] (Transferredto Section 17-2A.)

16-37. Reservation of Decision on Motion for DirectedVerdict

16-38. Memorandum on Setting Verdict Aside

authority shall require counsel to make a prelimi-nary statement as to the names of other counselwith whom he or she is affiliated and other relevantfacts, and shall require counsel to disclose thenames, and if ordered by the judicial authority,the addresses of all witnesses counsel intends tocall at trial. The judicial authority may excuse anyprospective juror for cause.

(See Sec. 303C, P.B. 1978-1997.)(P.B. 1998.)

Sec. 16-4. Disqualification of Jurors andSelection of Panel

(a) A person shall be disqualified to serve as ajuror if such person is found by the judicial author-ity to exhibit any quality which will impair this per-son’s capacity to serve as a juror, except thatno person shall be disqualified on the basis ofdeafness or hearing impairment.

(b) The clerks shall keep a list of all personsdisqualified under this section and shall send acopy of that list to the jury administrator at suchtime as the jury administrator may direct.

(c) The clerk of the court, in impaneling the juryfor the trial of each cause, shall, when more jurorsare in attendance than are required of the panel,


designate by lot those who shall compose thepanel.

(P.B. 1978-1997, Sec. 303, 304.)

Sec. 16-5. Peremptory ChallengesEach party may challenge peremptorily the

number of jurors which each is entitled to chal-lenge by law. Where the judicial authority deter-mines a unity of interests exists, several plaintiffsor several defendants may be considered as asingle party for the purpose of making challenges,or the judicial authority may allow additionalperemptory challenges and permit them to beexercised separately or jointly. For the purposesof this section, a ‘‘unity of interest’’ means thatthe interests of the several plaintiffs or the severaldefendants are substantially similar. A unity ofinterest shall be found to exist among parties whoare represented by the same attorney or law firm.In addition, there shall be a presumption that aunity of interest exists among parties where nocross claims or apportionment complaints havebeen filed against one another. In all civil actions,the total number of peremptory challengesallowed to the plaintiff or plaintiffs shall not exceedtwice the number of peremptory challengesallowed to the defendant or defendants, and thetotal number of peremptory challenges allowed tothe defendant or defendants shall not exceedtwice the number of peremptory challengesallowed to the plaintiff or plaintiffs.

(P.B. 1998.) (Amended June 21, 2004, to take effect Jan.1, 2005.)

Sec. 16-6. Voir Dire ExaminationEach party shall have the right to examine, per-

sonally or by counsel, each juror outside the pres-ence of other prospective jurors as toqualifications to sit as a juror in the action, or asto the person’s interest, if any, in the subject mat-ter of the action, or as to the person’s relationswith the parties thereto. If the judicial authoritybefore whom such examination is held is of theopinion from such examination that any jurorwould be unable to render a fair and impartialverdict, such juror shall be excused by the judicialauthority from any further service upon the panel,or in such action, as the judicial authority deter-mines. The right of such examination shall not beabridged by requiring questions to be put to anyjuror in writing and submitted in advance of thecommencement of the trial.

(P.B. 1978-1997, Sec. 305.)

Sec. 16-7. Juror Questions and Note TakingThe members of the jury may, in the discretion

of the judicial authority, take notes and submit

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questions to be asked of witnesses during the trialof a civil action.

(P.B. 1978-1997, Sec. 305A.)

Sec. 16-8. Oath and Admonitions to TrialJurors(a) The judicial authority shall cause the jurors

selected for the trial to be sworn or affirmed inaccordance with General Statutes §§ 1-23 and 1-25. The judicial authority shall admonish the jurorsnot to read, listen to or view news reports of thecase or to discuss with each other or with anyperson not a member of the jury the cause underconsideration, except that after the case has beensubmitted to the jury for deliberation the jurorsshall discuss it among themselves in the juryroom.

(b) In the presence of the jury, the judicialauthority shall instruct any interpreter for a deafor hearing impaired juror to refrain from participat-ing in any manner in the deliberations of the juryand to refrain from having any communications,oral or visual, with any member of the jury exceptfor the literal translation of jurors’ remarks madeduring deliberations.

(P.B. 1998.)

Sec. 16-9. Questions of Law and FactThe judicial authority shall decide all issues of

law and all questions of law arising in the trial ofany issue of fact, and, in committing the cause tothe jury, shall direct it to find accordingly, and shallsubmit all questions of fact to the jury, with suchobservations on the evidence, for the jury’s infor-mation, as it thinks proper, without any directionhow the jury shall find the facts. After the causehas been committed to the jury, no pleas, argu-ments or evidence shall be received before theverdict is returned into court and recorded. (SeeGeneral Statutes § 52-216 and annotations.)

(P.B. 1978-1997, Sec. 306.)

Sec. 16-10. Order by Judicial Authority forJury Trial of Factual Issues in EquitableActionsNo issues of fact in an equitable action shall be

tried to the jury except upon order of the judicialauthority. Upon the application of any party, thejudicial authority may order any issue or issuesof fact in any action demanding equitable relief tobe tried by a jury, and such application shall bedeemed to be a request for a jury of six. (SeeGeneral Statutes § 52-218 and annotations.)

(P.B. 1978-1997, Sec. 307.)

Sec. 16-11. Cases Presenting Both Legaland Equitable IssuesA case presenting issues both in equity and law

may be claimed for the jury list, but, unless the


judicial authority otherwise orders, only the issuesat law shall be assigned for trial by the jury. When-ever such an action has been placed upon thedocket as a jury case, no determination of theequitable issues raised by the pleadings shall pre-vent a jury trial of the claim for damages, unlessboth parties agree in writing to waive a jury, orunless the determination of the equitable issueshas necessarily adjudicated all the facts uponwhich the claim for damages rests. (See GeneralStatutes § 52-219 and annotations.)

(P.B. 1978-1997, Sec. 308.)

Sec. 16-12. View by Jury of Place or ThingInvolved in CaseWhen the judicial authority is of the opinion that

a viewing by the jury of the place or thing involvedin the case will be helpful to the jury in determiningany material factual issue, it may in its discretion,at any time before the closing arguments, orderthat the jury be conducted to such place or locationof such thing. During the viewing, the jury mustbe kept together under the supervision of a properofficer appointed by the judicial authority. The judi-cial authority and a court reporter must be present,and, with the judicial authority’s permission, anyother person may be present. Counsel and self-represented parties may as a matter of right bepresent, but the right may be waived. The purposeof viewing shall be solely to permit visual observa-tion by the jury of the place or thing in questionand to permit a brief description of the site or thingbeing viewed by the judicial authority or by anywitness or witnesses as allowed by the judicialauthority. Any proceedings at the location, includ-ing examination of witnesses, shall be at the dis-cretion of the judicial authority. Neither the partiesnor counsel nor the jurors while viewing the placeor thing may engage in discussion of the signifi-cance or the implications of anything under obser-vation or of any issue in the case.

(See Sec. 844, P.B. 1978-1997.)(P.B.1998.)

Sec. 16-13. Judgment of the Court(a) Where a complaint embracing matters call-

ing for both legal and equitable relief is by orderof the judicial authority tried to the jury, the judicialauthority may render judgment, either for legalor equitable relief or both, not inconsistent withthe verdict.

(b) When an issue or issues of fact are deter-mined by the verdict, the judge presiding at thetrial shall, if possible, upon the evidence producedand after hearing the claims and arguments ofcounsel, determine the other issues in the caseand render final judgment at the session at whichthe verdict is rendered.

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(c) If additional evidence is required, the judgepresiding at the trial shall, if possible, hear thisand render final judgment at said session.

(P.B. 1978-1997, Sec. 309.)

Sec. 16-14. Communications between Par-ties and JurorsNo party, and no attorney, employee, represen-

tative or agent of any party or attorney, shall con-tact, communicate with or interview any juror oralternate juror, or any relative, friend or associateof any juror or alternate juror concerning the delib-erations or verdict of the jury or of any individualjuror or alternate juror in any action during trialuntil the jury has returned a verdict and/or thejury has been dismissed by the judicial authority,except upon leave of the judicial authority, whichshall be granted only upon the showing of goodcause. A violation of this section may be treatedas a contempt of court, and may be punishedaccordingly.

(P.B. 1978-1997, Sec. 309A.)

Sec. 16-15. Materials to Be Submitted toJury(a) The judicial authority shall submit to the jury

all exhibits received in evidence.(b) The judicial authority may, in its discretion,

submit to the jury:(1) The complaint, counterclaim and cross com-

plaint, and responsive pleadings thereto;(2) A copy or audio recording of the judicial

authority’s instructions to the jury;(3) In response to an inquiry by the jury, a copy

or audio recording of an appropriate portion of thejudicial authority’s instructions to the jury.

(P.B. 1978-1997, Sec. 309B.) (Amended June 20, 2011,to take effect Jan. 1, 2012; amended June 24, 2016, to takeeffect Jan. 1, 2017.)

HISTORY—2017: In 2017, in subsection (b) (3), ‘‘Uponrequest by the jury’’ was deleted and ‘‘In response to an inquiryby the jury’’ was added.

COMMENTARY—2017: The change to this section willallow the judicial authority to be responsive to an inquiry bythe jury regarding the judicial authority’s instructions, ratherthan a specific request for those instructions.

Sec. 16-16. Jury DeliberationsAfter the case has been submitted to the jury,

the jurors shall be in the custody of an officer whoshall permit no person to be present with them orto speak to them when assembled for delibera-tions except a qualified interpreter assisting a deafor hearing impaired juror. The jurors shall be kepttogether for deliberations as the judicial authorityreasonably directs. If the judicial authority permitsthe jury to recess its deliberations, the judicialauthority shall admonish the jurors not to discussthe case until they reconvene in the jury room.


The judicial authority shall direct the jurors toselect one of their members to preside over thedeliberations and to deliver any verdict agreedupon, and the judicial authority shall admonishthe jurors that until they are discharged in the casethey may communicate upon subjects connectedwith the trial only while they are convened in thejury room. If written forms of verdict are submittedto the jury, the member of the jury selected todeliver the verdict shall sign any verdict agreedupon.

(See Sec. 856, P.B. 1978-1997.)(P.B. 1998.)

Sec. 16-17. Jury Returned for Reconsid-erationThe judicial authority may, if it determines that

the jury has mistaken the evidence in the causeand has brought in a verdict contrary to it, or hasbrought in a verdict contrary to the direction ofthe judicial authority in a matter of law, return thejury to a second consideration, and for like reasonmay return it to a third consideration, and no more.(See General Statutes § 52-223 and annotations.)

(P.B. 1978-1997, Sec. 311.)

Sec. 16-18. Interrogatories to the JuryThe judicial authority may submit to the jury

written interrogatories for the purpose ofexplaining or limiting a general verdict, which shallbe answered and delivered to the clerk as a partof the verdict. The clerk will take the verdict andthen the answers to the several interrogatories,and thereafter the clerk will take the judicialauthority’s acceptance of the verdict returned andthe questions as answered, and proceedaccording to the usual practice. The judicialauthority will not accept a verdict until the interrog-atories which are essential to the verdict havebeen answered.

(P.B. 1978-1997, Sec. 312.)

Sec. 16-19. Reading of Statement of Amountin Demand or Statement of Claim; ArguingAmount RecoverableIn any action seeking damages for injury to the

person, the amount demanded in the complaintshall not be disclosed to the jury. In the event thatthe jury shall return a verdict which exceeds theamount demanded, the judicial authority shallreduce the award to, and render judgment in, theamount demanded. Counsel for any party to theaction may articulate to the jury during closingargument a lump sum or mathematical formulaas to damages claimed to be recoverable. Thejudicial authority shall issue cautionary instruc-tions pursuant to General Statutes § 52-216b.

(P.B. 1978-1997, Sec. 313.)

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Sec. 16-20. Requests to Charge and Excep-tions; Necessity forAn appellate court shall not be bound to con-

sider error as to the giving of, or the failure togive, an instruction unless the matter is coveredby a written request to charge or exception hasbeen taken by the party appealing immediatelyafter the charge is delivered. Counsel taking theexception shall state distinctly the matter objectedto and the ground of objection. The exception shallbe taken out of the hearing of the jury.

(P.B. 1978-1997, Sec. 315.)

Sec. 16-21. —Requests to Charge on Spe-cific ClaimsAny party intending to claim the benefit of the

doctrines of supervening negligence, supersedingcause, intervening cause, assumption of risk, orthe provisions of any specific statute shall file awritten request to charge on the legal principleinvolved.

(P.B. 1978-1997, Sec. 316.)

Sec. 16-22. —Filing RequestsWritten requests to charge the jury and written

requests for jury interrogatories must be filed withthe clerk before the beginning of arguments or atsuch an earlier time as the judicial authoritydirects, and the clerk shall file them and forthwithhand one copy to the judicial authority and oneto opposing counsel. A party’s request to chargemay be amended in writing as a matter of rightat any time prior to the beginning of the chargeconference.

(P.B. 1978-1997, Sec. 317.)

Sec. 16-23. —Form and Contents of Re-quests to Charge(a) When there are several requests, they shall

be in separate and numbered paragraphs, eachcontaining a single proposition of law clearly andconcisely stated with the citation of authority uponwhich it is based, and the evidence to which theproposition would apply. Requests to chargeshould not exceed fifteen in number unless, forgood cause shown, the judicial authority permitsthe filing of an additional number. If the requestis granted, the judicial authority shall apply theproposition of law to the facts of the case.

(b) A principle of law should be stated in butone request and in but one way. Requestsattempting to state in different forms the sameprinciple of law as applied to a single issue areimproper.

(P.B. 1978-1997, Sec. 318.)


Sec. 16-24. —Charge ConferenceAfter the close of evidence but before argu-

ments to the jury, the judicial authority shall, ifrequested, inform counsel out of the presence ofthe jury of the substance of its proposedinstructions.

(P.B. 1978-1997, Sec. 318A.)

Sec. 16-25. Modification of Instructions forCorrection or ClarificationThe judicial authority, after exceptions to the

charge, or upon its own motion, may recall thejury to the courtroom and give it additional instruc-tions in order to:

(1) Correct or withdraw an erroneous in-struction;

(2) Clarify an ambiguous instruction; or(3) Instruct the jury on any matter which should

have been covered in the original instructions.(P.B. 1998; see Sec. 860.)

Sec. 16-26. Other Instructions after Addi-tional InstructionsIf the judicial authority gives additional instruc-

tions, it also may give or repeat other instructionsin order to avoid undue emphasis on the additionalinstructions. Additional instructions shall be gov-erned by the procedures set forth in Section 16-25 concerning exceptions.

(See Sec. 861, P.B. 1978-1997.)(P.B. 1998.)

Sec. 16-27. Jury Request for Review of Tes-timonyIf the jury after retiring for deliberations requests

a review of certain testimony, the jury shall beconducted to the courtroom. Whenever the jury’srequest is reasonable, the judicial authority, afternotice to and consultation with counsel, shall havethe requested parts of the testimony read to thejury.

(See Sec. 863, P.B. 1978-1997.)(P.B. 1998.)

Sec. 16-28. Jury Request for AdditionalInstructionsIf the jury, after retiring for deliberations,

requests additional instructions, the judicialauthority, after providing notice to the parties andan opportunity for suggestions by counsel, shallrecall the jury to the courtroom and give additionalinstructions necessary to respond properly to therequest or to direct the jury’s attention to a portionof the original instructions.

(See Sec. 864, P.B. 1978-1997.)(P.B. 1998.)

Sec. 16-29. Deadlocked JuryIf it appears to the judicial authority that the jury

has been unable to agree, it may require the juryto continue its deliberations. The judicial authorityshall not require or threaten to require the jury to

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deliberate for an unreasonable length of time orfor unreasonable intervals. It may also instructthe jury as to disagreements in accordance withthe law.

(See Sec. 865, P.B. 1978-1997.)(P.B. 1998.)

Sec. 16-30. Verdict; Return of VerdictThe verdict shall be unanimous and shall be

announced by the jury in open court.(See Sec. 867, P.B. 1978-1997.)(P.B. 1998.)

Sec. 16-31. —Acceptance of VerdictSubject to the provisions of Section 16-17, the

judicial authority shall, if the verdict is in order andis technically correct, accept it without comment.

(See Sec. 868, P.B. 1978-1997.)(P.B. 1998; amended June29, 1998, to take effect Jan.1, 1999.)

Sec. 16-32. —Poll of Jury after VerdictSubject to the provisions of Section 16-17, after

a verdict has been returned and before the juryhas been discharged, the jury shall be polled atthe request of any party or upon the judicialauthority’s own motion. The poll shall be con-ducted by the clerk of the court by asking eachjuror individually whether the verdict announcedis such juror’s verdict. If upon the poll there is notunanimous concurrence, the jury may be directedto retire for further deliberations or it may be dis-charged.

(See Sec. 869, P.B. 1978-1997.)(P.B. 1998; amended June29, 1998, to take effect Jan. 1, 1999.)

Sec. 16-33. —Discharge of JurySubject to the provisions of Section 16-17, the

judicial authority shall discharge the jury after ithas rendered its verdict or after a mistrial hasbeen declared.

(See Sec. 870, P.B. 1978-1997.)(P.B. 1998; amended June29, 1998, to take effect Jan. 1, 1999.)

Sec. 16-34. —Impeachment of VerdictUpon an inquiry into the validity of a verdict, no

evidence shall be received to show the effect ofany statement, conduct, event or condition uponthe mind of a juror nor any evidence concerningmental processes by which the verdict was deter-mined. Subject to these limitations, a juror’s testi-mony or affidavit shall be received when itconcerns any misconduct which by law permits ajury to be impeached.

(See Sec. 871, P.B. 1978-1997.)(P.B. 1998.)

Sec. 16-35. Motions after Verdict: Motions inArrest of Judgment, to Set Aside Verdict,for Additur or Remittitur, for New Trial, orfor Collateral Source ReductionMotions in arrest of judgment, whether for

extrinsic causes or causes apparent on therecord, motions to set aside a verdict, motions for


remittitur, motions for additur, motions for newtrials, unless brought by petition served on theadverse party or parties, and motions pursuant toGeneral Statutes § 52-225a for reduction of theverdict due to collateral source payments mustbe filed with the clerk within ten days after the daythe verdict is accepted; provided that for goodcause the judicial authority may extend this time.The clerk shall notify the trial judge of such filing.Such motions shall state the specific groundsupon which counsel relies.

(P.B. 1978-1997, Sec. 320.)

Sec. 16-36. Motions to Reduce Verdict[Transferred as of Jan. 1, 2012, to Section 17-2A.]

Sec. 16-37. Reservation of Decision onMotion for Directed VerdictWhenever a motion for a directed verdict made

at any time after the close of the plaintiff’s casein chief is denied or for any reason is not granted,the judicial authority is deemed to have submittedthe action to the jury subject to a later determina-tion of the legal questions raised by the motion.The defendant may offer evidence in the eventthe motion is not granted, without having reservedthe right to do so and to the same extent as if the

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motion had not been made. After the acceptanceof a verdict and within the time stated in Section16-35 for filing a motion to set a verdict aside, aparty who has moved for a directed verdict maymove to have the verdict and any judgment ren-dered thereon set aside and have judgment ren-dered in accordance with his or her motion for adirected verdict; or if a verdict was not returnedsuch party may move for judgment in accordancewith his or her motion for a directed verdict withinthe aforesaid time after the jury has been dis-charged from consideration of the case. If a verdictwas returned, the judicial authority may allow thejudgment to stand or may set the verdict asideand either order a new trial or direct the entry ofjudgment as if the requested verdict had beendirected. If no verdict was returned, the judicialauthority may direct the entry of judgment as ifthe requested verdict had been directed or mayorder a new trial.

(P.B. 1978-1997, Sec. 321.)

Sec. 16-38. Memorandum on Setting Ver-dict AsideWhen the judicial authority grants a motion to

set a verdict aside, it shall file a memorandumstating the grounds of its decision.

(P.B. 1978-1997, Sec. 322.)


CHAPTER 17

JUDGMENTS

Sec. Sec.17-1. Judgments in General17-2. Judgment on Verdict and Otherwise17-2A. Motions to Reduce Verdict17-3. Remittitur where Judgment Too Large17-4. Setting Aside or Opening Judgments17-4A. Motions for New Trial17-5. Record of Proceeding; Facts Supporting Judgment

to Appear on Record17-6. Form of Finding17-7. Special Finding; Request17-8. —Functions of Special Finding17-9. —Form and Contents of Special Finding17-10. Modifying Judgment after Appeal17-11. Offer of Compromise by Defendant; How Made17-12. —Acceptance of Defendant’s Offer17-13. —Defendant’s Offer Not Accepted17-14. Offer of Compromise by Plaintiff; How Made17-14A. —Alleged Negligence of Health Care Provider17-15. —Acceptance of Plaintiff’s Offer17-16. —Plaintiff’s Offer Not Accepted17-17. —Offer of Compromise and Acceptance Included

in Record17-18. —Judgment where Plaintiff Recovers an Amount

Equal to or Greater than Offer17-19. Procedure where Party Fails to Comply with Order

of Judicial Authority or to Appear for Trial17-20. Motion for Default and Nonsuit for Failure to Appear17-21. Defaults under Servicemembers Civil Relief Act17-22. Notice of Judgments of Nonsuit and Default for

Failure to Enter an Appearance17-23. Contract Actions to Pay a Definite Sum where There

is a Default for Failure to Appear; Limitations17-24. —Promise to Pay Liquidated Sum17-25. —Motion for Default and Judgment; Affidavit of

Debt; Military Affidavit; Bill of Costs; DebtInstrument

17-26. —Order for Weekly Payments


Sec. 17-1. Judgments in General

In all actions, whether the relief sought be legalor equitable in its nature, judgment may be givenfor or against one or more of several plaintiffs,and for or against one or more of several defend-ants; and the judicial authority may grant to adefendant any affirmative relief to which thedefendant may be entitled, and may determinethe rights of the parties on each side as betweenthemselves insofar as a consideration of theissues between them is necessary to a full adjudi-cation as regards the claim stated in the com-plaint. (See General Statutes § 52-227.)

(P.B. 1978-1997, Sec. 323.)

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17-27. —Entry of Judgment17-28. —Enforcement of Judgment17-29. —Default Motion Not on Short Calendar17-30. Summary Process; Default and Judgment for Fail-

ure to Appear or Plead17-31. Procedure where Party is in Default17-32. Where Defendant is in Default for Failure to Plead17-33. When Judgment May Be Rendered after a Default17-33A. Motions for Judgment of Foreclosure17-34. Hearings in Damages; Notice of Defenses17-35. —Requirements of Notice; Time17-36. —Notice by Clerk17-37. —Notice of Defense to Be Specific17-38. —Amending Notice of Defense17-39. —No Reply Allowed17-40. —Evidence to Reduce Damages17-41. Relief Permissible on Default17-42. Opening Defaults where Judgment Has Not

Been Rendered17-43. Opening Judgment upon Default or Nonsuit17-44. Summary Judgments; Scope of Remedy17-45. —Proceedings upon Motion for Summary Judg-

ment; Request for Extension of Time to Respond17-46. —Form of Affidavits17-47. —When Appropriate Documents Are Unavailable17-48. —Affidavits Made in Bad Faith17-49. —Judgment17-50. —Triable Issue as to Damages Only17-51. —Judgment for Part of Claim17-52. Executions17-53. Summary Process Executions17-54. Declaratory Judgment; Scope17-55. —Conditions for Declaratory Judgment17-56. —Procedure for Declaratory Judgment17-57. —Costs in Declaratory Judgment17-58. —Declaratory Judgment Appealable17-59. —Order of Priorities in Declaratory Judgment

Sec. 17-2. Judgment on Verdict andOtherwiseThe judicial authority shall render judgment on

all verdicts of the jury, according to the jury’s find-ing, subject to statutory adjustments, with costs,unless the verdict is set aside; and in all caseswhere judgment is rendered otherwise than on averdict, in favor of the plaintiff, the court shallassess the damages which the plaintiff shallrecover. If no motions under Sections 16-35 or16-36 are filed, upon the expiration of the timeprovided for the filing of such motions, judgmenton the verdict shall be rendered in accordancewith the verdict, and the date of the judgment shallbe the date the verdict was accepted. If motions


are filed pursuant to Sections 16-35 or 16-36,judgment shall be rendered at the time of and inaccordance with the decision on such motions.Whenever a judgment is rendered in a civil jurycase, the clerk shall send notice of such judgmentto all attorneys and self-represented parties ofrecord. (See General Statutes § 52-225 andannotations.)

(P.B. 1978-1997, Sec. 324.)

Sec. 17-2A. Motions to Reduce VerdictMotions to reduce the amount of a verdict or

award pursuant to General Statutes §§ 52-225aor 52-216a shall be filed within ten days after theday the verdict or award is accepted and shall beheard by the judge who conducted the trial. Inmatters referred to an arbitrator under the provi-sions of Section 23-61, motions to reduce theamount of an award shall be filed within ten daysafter the decision of the arbitrator becomes a judg-ment of the court pursuant to subsection (a) ofSection 23-66.

(P.B. 1978-1997, Sec. 320A.) (Amended June 28, 1999,on an interim basis pursuant to the provisions of Sec. 1-9 (c)to take effect Jan. 1, 2000, and amendment adopted June 26,2000, to take effect Jan. 1, 2001; transferred June 20, 2011,to take effect Jan. 1, 2012.)

Sec. 17-3. Remittitur where Judgment TooLargeIf any judgment is rendered, by mistake or cleri-

cal error, for a larger sum than is due, the excessmay be remitted by the party recovering the judg-ment, at any time, reasonable notice being firstgiven to the adverse party or that party’s attorney;and the judicial authority may thereupon orderthe record of such judgment to be corrected, andaffirm the same for the amount to which it hasbeen remitted. (See General Statutes § 52-228and annotations.)

(P.B. 1978-1997, Sec. 325.)

Sec. 17-4. Setting Aside or OpeningJudgments(a) Unless otherwise provided by law and

except in such cases in which the court has contin-uing jurisdiction, any civil judgment or decree ren-dered in the superior court may not be opened orset aside unless a motion to open or set aside isfiled within four months succeeding the date onwhich notice was sent. The parties may waive theprovisions of this subsection or otherwise submitto the jurisdiction of the court.

(b) Upon the filing of a motion to open or setaside a civil judgment, except a judgment in ajuvenile matter, the moving party shall pay to theclerk the filing fee prescribed by statute unlesssuch fee has been waived by the judicial authority.

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(c) The expedited procedures set forth in thissubsection may be followed with regard to amotion to open a judgment of foreclosure filed bya plaintiff in which the filing fee has been paid,the motion has been filed prior to the vesting oftitle or the sale date, the plaintiff states in themotion that the committee and appraisal feeshave been paid or will be paid within thirty daysof court approval, and the motion has been servedon each party as provided by Sections 10-12through 10-17 and with proof of serviceendorsed thereon.

(1) Parties shall have five days from the filingof the motion to file an objection with the court.Unless otherwise ordered by the judicial authority,the motion shall be heard not less than sevendays after the date the motion was filed. If theplaintiff states in the motion that all appearingparties have received actual notice of the motionand are in agreement with it, the judicial authoritymay grant the motion without a hearing.

(2) When a motion to open judgment is filedpursuant to this subsection, the court will retainjurisdiction over the action to award committeefees and expenses and appraisal fees, if neces-sary. If judgment is not entered or the case has notbeen withdrawn within 120 days of the granting ofthe motion, the judicial authority shall forthwithenter a judgment of dismissal.


Sec. 17-4A. Motions for New TrialMotions for new trials in cases tried to the court,

unless brought by petition served on the adverseparty or parties, must be filed with the clerk withinten days after the day the judgment is rendered;provided that for good cause the judicial authoritymay extend this time. The clerk shall notify thetrial judge of such filing. Such motions shall statethe specific grounds upon which counsel relies.


Sec. 17-5. Record of Proceeding; Facts Sup-porting Judgment to Appear on RecordEach judicial authority shall keep a record of its

proceedings and cause the facts on which it foundits final judgments and decrees to appear on therecord; and any such finding if requested by anyparty shall specially set forth such facts. (SeeGeneral Statutes § 52-231 and annotations.)

(P.B. 1978-1997, Sec. 327.)

Sec. 17-6. Form of FindingWhen all the material allegations put in issue

in any action, whether brought for legal or forequitable relief, are found for either plaintiff or


defendant, the finding of the issue or issues forthe plaintiff or defendant, as the case may be, willbe deemed equivalent to a finding that all materialallegations which were put in issue are true, andwill be a sufficient compliance with Section 17-5.Where only a part of the material allegations put inissue by the pleadings are found for the prevailingparty the judgment must indicate the particularfacts that are found.

(P.B. 1978-1997, Sec. 328.)

Sec. 17-7. Special Finding; RequestA request for a special finding of facts under

General Statutes § 52-226, shall be by writtenmotion filed within fourteen days after the entryof judgment.


Sec. 17-8. —Functions of Special FindingA special finding of facts under Section 17-5

should rarely be requested or made but whenmade it becomes a part of the record with thesame effect as though the facts were included inthe judgment and claims of error may be basedupon it as appearing of record. If the special find-ing is insufficient to support the judgment, theerror is one upon the record. The purpose of aspecial finding is to place upon the record thematerial facts upon which the judgment is based;other matters have no place in it and can only bepresented in a finding made for the purpose ofan appeal. A special finding is an incident to thejudgment, and interlocutory rulings should not beincluded in it. The rules as to seeking correctionsin a finding for an appeal have no application toa special finding.

(P.B. 1978-1997, Sec. 333.)

Sec. 17-9. —Form and Contents of SpecialFindingThe special findings of fact required by Section

17-5 to be made, if requested, as an incident tothe judgment should ordinarily form a part of thejudgment file. It should contain only facts materialto the issues tried. When any fact upon which finaljudgment is founded is simply a bare conclusionof law from more detailed and subordinate facts,as, for instance, in cases of constructive fraud,the finding, if a special one be requested, mustspecially set forth the subordinate facts fromwhich, as such conclusion of law, the judicialauthority finds the principal fact. In such casesthe finding should be such as distinctly to showany conclusion of law thus drawn. When a mate-rial fact is found from more detailed or subordinate

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facts, not as a conclusion of law but as a conclu-sion of fact, only the main or resulting fact shouldbe set forth in the finding.

(P.B. 1978-1997, Sec. 334.)

Sec. 17-10. Modifying Judgment afterAppealIf a judgment fixing a set time for the perfor-

mance of an act is affirmed on appeal by thesupreme court and such time has elapsed pend-ing the appeal, the judicial authority which ren-dered the judgment appealed from may, onmotion and after due notice, modify it by extendingthe time.

(P.B. 1978-1997, Sec. 340.)

Sec. 17-11. Offer of Compromise by Defend-ant; How Made(Amended June 26, 2006, to take effect Jan. 1, 2007.)

In any action on contract, or seeking the recov-ery of money damages, whether or not other reliefis sought, the defendant may not later than thirtydays before the commencement of jury selectionin a jury trial or before the commencement ofevidence in a court trial file with the clerk of thecourt a written offer of compromise signed by thedefendant or the defendant’s attorney, directed tothe plaintiff or the plaintiff’s attorney, offering tosettle the claim underlying the action for a sumcertain. (See General Statutes § 52-193 andannotations.)


Sec. 17-12. —Acceptance of Defendant’sOfferThe plaintiff may, within sixty days after being

notified by the defendant of the filing of an offerof compromise, file with the clerk of the court awritten acceptance of the offer signed by the plain-tiff or the plaintiff’s attorney agreeing to settle theunderlying action for the sum certain specified inthe defendant’s offer of compromise. Upon thefiling of the written acceptance and receipt by theplaintiff of such sum certain, the plaintiff shall filea withdrawal of the action with the clerk of thecourt and the clerk shall record the withdrawal ofthe action against the defendant accordingly. Notrial shall be postponed because the period withinwhich the plaintiff may accept such offer has notexpired, except at the discretion of the judicialauthority. (See General Statutes § 52-194 andannotations.)



Sec. 17-13. —Defendant’s Offer NotAcceptedIf the plaintiff does not, within the time allowed

for acceptance of the offer of compromise andbefore any evidence is offered at the trial, file theplaintiff’s notice of acceptance, the offer shall bedeemed to be withdrawn and shall not be givenin evidence; and the plaintiff, unless recoveringmore than the sum specified in the offer, withinterest from its date, shall recover no costs accru-ing after the plaintiff received notice of the filingof such offer, but shall pay the defendant’s costsaccruing after said time. Such costs may includereasonable attorney’s fees in an amount not toexceed $350. Nothing in this section shall be inter-preted to abrogate the contractual rights of anyparty concerning the recovery of attorney’s feesin accordance with the provisions of any writtencontract between the parties to the action. Theprovisions of this section shall not apply to casesin which nominal damages have been assessedupon a hearing after a default or after a motionto strike has been denied. (See General Statutes§ 52-195 and annotations.)


Sec. 17-14. Offer of Compromise by Plain-tiff; How Made(Amended June 26, 2006, to take effect Jan. 1, 2007.)After commencement of any civil action based

upon contract or seeking the recovery of moneydamages, whether or not other relief is sought,the plaintiff may, not earlier than one hundredeighty days after service of process is made uponthe defendant in such action but not later thanthirty days before the commencement of juryselection in a jury trial or the commencement ofevidence in a court trial, file with the clerk of thecourt a written offer of compromise signed by theplaintiff or the plaintiff’s attorney, directed to thedefendant or the defendant’s attorney, offering tosettle the claim underlying the action for a sumcertain. For the purposes of this section, suchplaintiff includes a counterclaim plaintiff underGeneral Statutes § 8-132. The plaintiff shall givenotice of such offer of compromise to the defend-ant’s attorney, or if the defendant is not repre-sented by an attorney, to the defendant.


Sec. 17-14A. —Alleged Negligence of HealthCare ProviderIn the case of any action to recover damages

resulting from personal injury or wrongful death,

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whether in tort or in contract, in which it is allegedthat such injury or death resulted from the negli-gence of a health care provider, an offer of com-promise pursuant to Section 17-14 may be filednot earlier than 365 days after service of processis made on the defendant in such action and, ifthe offer of compromise is not accepted withinsixty days and prior to the rendering of a verdictby the jury or an award by the court, the offer ofcompromise shall be considered rejected and notsubject to acceptance unless refiled.


Sec. 17-15. —Acceptance of Plaintiff’s OfferWithin thirty days after being notified of the filing

of such offer of compromise and prior to the ren-dering of a verdict by the jury or an award by thejudicial authority, the defendant or the defendant’sattorney may file with the clerk of the court a writ-ten acceptance of the offer of compromise agree-ing to settle the claim underlying the action forthe sum certain specified in the plaintiff’s offer.Upon such filing and the receipt by the plaintiff ofsuch sum certain, the plaintiff shall file a with-drawal of the action with the clerk and the clerkshall record the withdrawal of the action againstthe defendant accordingly.


Sec. 17-16. —Plaintiff’s Offer Not AcceptedIf such offer of compromise is not accepted

within thirty days and prior to the rendering of averdict by the jury or an award by the judicialauthority, such offer of compromise shall be con-sidered rejected and not subject to acceptanceunless refiled.

(P.B. 1978-1997, Sec. 348.) (Amended June 24, 2002, totake effect Jan. 1, 2003; amended June 26, 2006, to takeeffect, Jan. 1, 2007.)

Sec. 17-17. —Offer of Compromise andAcceptance Included in Record(Amended June 26, 2006, to take effect Jan. 1, 2007.)Any such offer of compromise and any accep-

tance of the offer of compromise shall be includedby the clerk in the record of the case.


Sec. 17-18. —Judgment where PlaintiffRecovers an Amount Equal to or Greaterthan OfferAfter trial the judicial authority shall examine

the record to determine whether the plaintiff madean offer of compromise which the defendant failedto accept. If the judicial authority ascertains fromthe record that the plaintiff has recovered an


amount equal to or greater than the sum certainspecified in that plaintiff’s offer of compromise,the judicial authority shall add to the amount sorecovered 8 percent annual interest on saidamount. In the case of a counterclaim plaintiffunder General Statutes § 8-132, the judicialauthority shall add to the amount so recovered 8percent annual interest on the difference betweenthe amount so recovered and the sum certainspecified in the counterclaim plaintiff’s offer ofcompromise. Any such interest shall be computedas provided in General Statutes § 52-192a. Thejudicial authority may award reasonable attor-ney’s fees in an amount not to exceed $350 andshall render judgment accordingly. Nothing in thissection shall be interpreted to abrogate the con-tractual rights of any party concerning the recov-ery of attorney’s fees in accordance with theprovisions of any written contract between theparties to the action.


Sec. 17-19. Procedure where Party Fails toComply with Order of Judicial Authority orto Appear for TrialIf a party fails to comply with an order of a

judicial authority or a citation to appear or failswithout proper excuse to appear in person or bycounsel for trial, the party may be nonsuited ordefaulted by the judicial authority.

(P.B. 1978-1997, Sec. 351.)

Sec. 17-20. Motion for Default and Nonsuitfor Failure to Appear(a) Except as provided in subsection (b), if no

appearance has been entered for any party to anyaction on or before the second day following thereturn day, any other party to the action may makea motion that a nonsuit or default be entered forfailure to appear.

(b) In an action commenced by a mortgageeprior to July 1, 2014, for the foreclosure of (1) amortgage on residential real property consistingof a one to four-family dwelling occupied as theprimary residence of the mortgagor, with a returndate on or after July 1, 2008, or (2) a mortgageon real property owned by a religious organizationwith a return date during the period from October1, 2011, to June 30, 2014, inclusive, if no appear-ance has been entered for the mortgagor on orbefore the fifteenth day after the return day or,if the court has extended the time for filing anappearance and no appearance has been enteredon or before the date ordered by the court, anyother party to the action may make a motion thata default be entered for failure to appear.

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(c) It shall be the responsibility of counsel filinga motion for default for failure to appear to servethe defaulting party with a copy of the motion.Service and proof thereof may be made in accord-ance with Sections 10-12, 10-13 and 10-14. Upongood cause shown, the judicial authority may dis-pense with this requirement when judgment isrendered.

(d) Except as provided in Sections 17-23through 17-30, motions for default for failure toappear shall be acted on by the clerk not lessthan seven days from the filing of the motion andshall not be printed on the short calendar. Themotion shall be granted by the clerk if the partywho is the subject of the motion has not filed anappearance. The provisions of Section 17-21 shallnot apply to such motions, but such provisionsshall be complied with before a judgment may beentered after default. If the defaulted party filesan appearance in the action prior to the entry ofjudgment after default, the default shall automati-cally be set aside by operation of law. A claim fora hearing in damages shall not be filed before theexpiration of fifteen days from the entry of a defaultunder this subsection, except as provided in Sec-tions 17-23 through 17-30.

(e) A motion for nonsuit for failure to appearshall be placed on the short calendar. If it is properto grant the motion, the judicial authority shallgrant it without the need for the moving party toappear at the short calendar.

(f) The granting of a motion for nonsuit for failureto appear or a motion for judgment after defaultfor failure to appear shall be subject to the provi-sions of Sections 9-1 and 17-21. Such motionshall contain either (1) a statement that a militaryaffidavit is attached thereto or (2) a statement,with reasons therefor, that it is not necessary toattach a military affidavit to the motion.

(P.B. 1978-1997, Sec. 352.) (Amended June 21, 2004, totake effect Jan. 1, 2005; amended June 22, 2009, to takeeffect Jan. 1, 2010; amended June 21, 2010, to take effectJan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,2012; amended June 15, 2012, to take effect Jan. 1, 2013.)

Sec. 17-21. Defaults under ServicemembersCivil Relief Act(a) An affidavit must be filed in every case in

which there is a nonappearing defendant, either(1) stating that such defendant is in military ser-vice, within the meaning of the ServicemembersCivil Relief Act, or that the plaintiff is unable todetermine whether or not such defendant is insuch service, or (2) setting forth facts showingthat such defendant is not in such service.

(b) If it appears that the defendant is in suchservice the judicial authority shall, and if it is unde-termined whether the defendant is in such service


or not the judicial authority may, appoint an attor-ney to represent such defendant before judgmentis rendered. No such attorney shall have thepower to waive any right of the person for whomhe or she is appointed or to bind such person byhis or her acts.

(c) Unless it appears that the defendant is notin such service, the judicial authority may requireas a condition before judgment is rendered thatthe plaintiff file a bond approved by the judicialauthority conditioned to indemnify the defendant,if in military service, against any loss or damagethat such defendant may suffer by reason of anyjudgment should the judgment be thereafter setaside in whole or in part.

(d) If it appears that the defendant is in militaryservice, the judicial authority shall grant a stay ofproceedings for a minimum period of ninety daysupon application of counsel or on the judicialauthority’s own motion, if the judicial authoritydetermines that: (1) there may be a defense tothe action which cannot be presented without thedefendant’s presence, or (2) counsel has beenunable to contact the defendant or otherwisedetermine if a meritorious defense exists.

(e) If the defendant is in military service or iswithin ninety days after termination of or releasefrom such service and has received notice of theproceedings, the following provisions apply. Atany stage before final judgment the judicialauthority may on its own motion and shall, uponapplication by the defendant, stay the action fora period of not less than ninety days if the applica-tion includes (1) a letter or other communicationcontaining facts stating how current military dutyrequirements materially affect the defendant’sability to appear and stating a date when thedefendant will be able to appear, and (2) a letteror other communication from the defendant’scommanding officer stating that current militaryduty prevents appearance and that military leaveis not authorized at the time of the letter.

(f) (1) A defendant who is granted a stay undersubsection (e) may apply for an additional staybased on the continuing material effect of militaryduty on the defendant’s ability to appear. Theapplication may be made at the time of the initialapplication or when it appears that the defendantis unable to appear to defend the action. Theapplication shall include the same informationrequired under subparagraphs (1) and (2) of sub-section (e).

(2) If the judicial authority denies the applicationfor an additional stay, the judicial authority shallappoint counsel to represent the defendant.

(g) The findings made under the six precedingsubsections shall be recited in the judgment.

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(h) An application for a stay under this sectiondoes not constitute an appearance for jurisdic-tional purposes and does not constitute a waiverof any substantive or procedural defense.


Sec. 17-22. Notice of Judgments of Nonsuitand Default for Failure to Enter anAppearanceA notice of every nonsuit for failure to enter an

appearance or judgment after default for failureto enter an appearance, which notice includes theterms of the judgment, shall be sent by mail orelectronic delivery within ten days of the entry ofjudgment by counsel of the prevailing party to theparty against whom it is directed and a copy ofsuch notice shall be filed with the clerk’s office.Proof of service shall be in accordance with Sec-tion 10-14.


Sec. 17-23. Contract Actions to Pay a Defi-nite Sum where There is a Default for Failureto Appear; LimitationsSections 17-24 through 17-27 shall not be appli-

cable to: (1) any action wherein any defendantagainst whom judgment is sought is in the militaryor naval service of the United States when judg-ment is rendered; or (2) any action brought underthe small claims rules.

(P.B. 1978-1997, Sec. 356.)

Sec. 17-24. —Promise to Pay LiquidatedSum(a) In any action based upon an express or

implied promise to pay a definite sum and claimingonly liquidated damages, which may include inter-est, a reasonable attorney’s fee and other lawfulcharges, the procedure set forth in Section 17-20 and in Sections 17-25 through 17-28 shall befollowed, if there is a default of appearance. Acertificate of closed pleadings shall not be filed inmatters which fall within the scope of these rulesbecause such matters shall not proceed on theinventory of pending cases requiring a hearingin damages.

(b) When moving for default and judgment pur-suant to Sections 17-25 through 17-28, a partyshall move for default and judgment on forms pre-scribed by the office of the chief court adminis-trator.



Sec. 17-25. —Motion for Default and Judg-ment; Affidavit of Debt; Military Affidavit;Bill of Costs; Debt Instrument(a) The plaintiff shall file a motion for default for

failure to appear and judgment, a bill of costs, aproposed judgment and notice to all parties and,if applicable, a request for an order of weeklypayments pursuant to Section 17-26.

(b) The motion shall have attached to it thefollowing affidavits:

(1) An affidavit of debt signed by the plaintiff orby an authorized representative of the plaintiff whois not the plaintiff’s attorney. The affidavit shallstate the amount due or the principal owed andcontain an itemization of interest, attorney’s feesand other lawful charges claimed. The affidavitshall contain a statement that any documentsattached to it are true copies of the originals. Anyplaintiff claiming interest shall separately state theinterest and shall specify the dates from whichand to which interest is computed, the rate ofinterest, the manner in which it was calculatedand the authority upon which the claim for interestis based.

(A) If the instrument on which the contract isbased is a negotiable instrument or assigned con-tract, the affidavit shall state that the instrumentor contract is now owned by the plaintiff, and acopy of the executed instrument or contract shallbe attached to the affidavit. If the plaintiff is notthe original party with whom the instrument orcontract was made, the plaintiff shall either (i)attach all bills of sale back to the original creditorand swear to its purchase of the debt from the lastowner in its affidavit of debt or (ii) in the affidavit ofdebt, recite the names of all prior owners of thedebt with the date of each prior sale and alsoinclude the most recent bill of sale from the plain-tiff’s seller and swear to its purchase of the debtfrom its seller in the affidavit of debt.

(B) If the plaintiff claims any lawful fees orcharges other than interest, including a reason-able attorney’s fee, the plaintiff shall attach to theaffidavit of debt a copy of the portion of the con-tract containing the terms of the contract providingfor such fees or charges and the amount claimed.

(C) If a claim for a reasonable attorney’s fee ismade, the plaintiff shall include in the affidavit ofdebt the reasons for the specific amountrequested in order that the judicial authority maydetermine the relationship between the feerequested and the actual and reasonable costswhich are incurred by counsel.

(2) A military affidavit as required by Section17-21.

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(c) Nothing contained in this section shall pre-vent the judicial authority from requiring the sub-mission of additional written documentation or thepresence of the plaintiff, the authorized represen-tative of the plaintiff or other affiants, as well ascounsel, before the court prior to rendering judg-ment if it appears to the judicial authority thatadditional information or evidence is required inorder to enter judgment.


Sec. 17-26. —Order for Weekly PaymentsIf the moving party seeks and is entitled to an

order for payments under the General Statutes inexcess of a nominal amount, the judicial authoritymay make, as part of the judgment, an order forweekly payment of such sums as shall appear tothe judicial authority to be reasonable. If suchorder is sought, the proposed notice and form ofjudgment shall contain substantially the followinglanguage: It is further adjudged that the defendantmake weekly payments of $ on this judgmentto commencing on .

(P.B. 1978-1997, Sec. 359.)

Sec. 17-27. —Entry of JudgmentNot less than seven days from receipt of the

motion and affidavits, the clerk shall bring themotion and affidavits to the attention of the judicialauthority. If the judicial authority orders judgmententered, the clerk shall complete the proposedjudgment and notice to all parties in accordancewith the terms of the judgment. The clerk shallimmediately mail or electronically deliver one copyof the judgment and notice to all parties to theplaintiff or plaintiff’s attorney.


Sec. 17-28. —Enforcement of JudgmentExecution upon such judgment shall be stayed

until twenty days after the clerk receives from theplaintiff, or plaintiff’s attorney, one copy of thejudgment and notice to all parties, with a certifica-tion that one copy thereof was served upon eachjudgment debtor. Service and proof thereof mustbe made in accordance with Sections 10-12through 10-14.

(P.B. 1978-1997, Sec. 361.)

Sec. 17-29. —Default Motion Not on ShortCalendarNo motion for default and judgment filed under

Sections 17-24 through 17-28 shall be placed onthe short calendar, unless the judicial authorityshall so order. No short calendar claim shall befiled with this motion. Other than as provided for


in those sections and in Section 17-20 no noticeof a default or of a judgment after default shall berequired in connection with any such motion.


Sec. 17-30. Summary Process; Default andJudgment for Failure to Appear or Plead(Amended June 26, 2000, to take effect Jan. 1, 2001.)(a) If the defendant in a summary process action

does not appear within two days after the returnday and a motion for judgment for failure to appearand the notice to quit signed by the plaintiff orplaintiff’s attorney and endorsed, with his or herdoings thereon, by the proper officer or indifferentperson who served such notice to quit is filed withthe clerk, the judicial authority shall, not later thanthe first court day after the filing of such motion,enter judgment that the plaintiff recover posses-sion or occupancy of the premises with costs, andexecution shall issue subject to the statutory pro-visions.

(b) If the defendant in a summary process actionappears but does not plead within two days afterthe return day or within three days after the filingof the preceding pleading or motion, the plaintiffmay file a motion for judgment for failure to plead,served in accordance with Sections 10-12 through10-17. If the defendant fails to plead within threedays after receipt of such motion by the clerk, thejudicial authority shall forthwith enter judgmentthat the plaintiff recover possession or occupancywith costs.

(c) In summary process actions, a motion forjudgment by default that is sent to the court eitherelectronically or is hand-delivered to the courtshall be deemed to be filed on the third businessday following such delivery unless the party filingthe motion for judgment by default certifies thatthe motion has also been sent electronically orhand-delivered on the same day to all opposingparties or their counsel.

(P.B. 1978-1997, Sec. 362A.) (Amended June 26, 2000,to take effect Jan. 1, 2001; amended June 20, 2005, to takeeffect Jan. 1, 2006; amended June 12, 2015, to take effectJan. 1, 2016.)

Sec. 17-31. Procedure where Party is inDefaultWhere either party is in default by reason of

failure to comply with Sections 10-8, 10-35, 13-6through 13-8, 13-9 through 13-11, the adverseparty may file a written motion for a nonsuit ordefault or, where applicable, an order pursuant toSection 13-14. Except as otherwise provided inSections 17-30 and 17-32, any such motion, afterservice upon each adverse party as provided bySections 10-12 through 10-17 and with proof ofservice endorsed thereon, shall be filed with the

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clerk of the court in which the action is pending,and, unless the pleading in default be filed or thedisclosure be made within ten days thereafter, theclerk shall, upon the filing of a short calendar claimby the moving party, place the motion on the nextavailable short calendar list.

(P.B. 1978-1997, Sec. 363.)

Sec. 17-32. Where Defendant is in Defaultfor Failure to Plead(a) Where a defendant is in default for failure

to plead pursuant to Section 10-8, the plaintiff mayfile a written motion for default which shall beacted on by the clerk not less than seven daysfrom the filing of the motion, without placementon the short calendar.

(b) If a party who has been defaulted under thissection files an answer before a judgment afterdefault has been rendered by the judicial author-ity, the default shall automatically be set aside byoperation of law unless a claim for a hearing indamages or a motion for judgment has been filed.If a claim for a hearing in damages or a motionfor judgment has been filed, the default may beset aside only by the judicial authority. A claim fora hearing in damages or motion for judgment shallnot be filed before the expiration of fifteen daysfrom the date of notice of issuance of the defaultunder this subsection.

(P.B. 1978-1997, Sec. 363A.) (Amended June 21, 2010,to take effect Jan. 1, 2011; amended on an interim basispursuant to Section 1-9 (c) on June 12, 2015, to take effectAug. 1, 2015; amended June 24, 2016, to take effect Jan.1, 2017.)

COMMENTARY—2017: The judges of the superior courtadopted a revision to subsection (b) of this rule on June 12,2015, on an interim basis pursuant to Section 1-9 (c), to takeeffect August 1, 2015. This revision was published in the 2016edition of the Practice Book, and was adopted June 24, 2016,to take effect January 1, 2017. The revision to subsection (b)of this rule was intended to incorporate the language of Section17-20 on setting aside a default for failure to appear in orderto make the setting aside of a default for failure to pleadmore efficient.

Sec. 17-33. When Judgment May Be Ren-dered after a Default(a) If a defendant is defaulted for failure to

appear for trial, evidence may be introduced andjudgment rendered without notice to thedefendant.

(b) Since the effect of a default is to precludethe defendant from making any further defensein the case so far as liability is concerned, thejudicial authority, at or after the time it renders thedefault, notwithstanding Section 17-32 (b), mayalso render judgment in foreclosure cases, inactions similar thereto and in summary processactions, provided the plaintiff has also made amotion for judgment and provided further that any


necessary affidavits of debt or accounts or state-ments verified by oath, in proper form, are submit-ted to the judicial authority. The judicial authoritymay render judgment in any contract action wherethe damages are liquidated provided that theplaintiff has made a motion for judgment and sub-mitted the affidavits and attachments specified inSection 17-25 (b) (1).

(c) If the taking of testimony is required, theprocedures in Section 17-34 shall be followedbefore judgment is rendered.


Sec. 17-33A. Motions for Judgment of Fore-closureIn all foreclosure actions, motions for judgment

shall not be filed prior to the expiration of 30 daysafter the return date.


Sec. 17-34. Hearings in Damages; Noticeof Defenses(a) In any hearing in damages upon default, the

defendant shall not be permitted to offer evidenceto contradict any allegations in the plaintiff’s com-plaint, except such as relate to the amount ofdamages, unless notice has been given to theplaintiff of the intention to contradict such allega-tions and of the subject matter which the defend-ant intends to contradict, nor shall the defendantbe permitted to deny the right of the plaintiff tomaintain such action, nor shall the defendant bepermitted to prove any matter of defense, unlesswritten notice has been given to the plaintiff of theintention to deny such right or to prove such matterof defense.

(b) This notice shall apply to defaults enteredon all claims, counterclaims, cross claims, andother claims for affirmative relief. (See GeneralStatutes § 52-221 and annotations.)

(P.B. 1978-1997, Sec. 367.)

Sec. 17-35. —Requirements of Notice; Time(a) The notices required by Section 17-34 shall

be given in the manner provided in Sections 10-12 through 10-14, the original with proof of servicebeing filed with the clerk.

(b) In all actions in which there may be a hearingin damages, notice of defenses must be filedwithin ten days after notice from the clerk to thedefendant that a default has been entered.

(P.B. 1978-1997, Sec. 368.)

Sec. 17-36. —Notice by ClerkThe clerk shall give notice of entry of a default,

in the case of a defendant who has filed anappearance, in person to the defendant or the

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defendant’s attorney, by mail, or by electronicnotice, and in the case of a nonappearing defend-ant, by mailing such notice to the defendant athis or her last known address. The clerk shallenter on the docket the date when the clerk gives,mails or sends the notice, and said period of tendays shall run from said date.


Sec. 17-37. —Notice of Defense to BeSpecificThe notice shall not contain a general denial,

but shall specify which, if any, of the allegations,or parts thereof, of the complaint will be contro-verted; and only those allegations should be spec-ified which it is intended to controvert by proof.The denial of the right of the plaintiff to maintainthe action must go to the plaintiff’s right to maintainit in the capacity in which the plaintiff sues, andnot otherwise controvert the right of action. Anynew matter by way of confession and avoidancemust be specified. The defense of contributorynegligence must be specified and the groundsstated. Partial defenses must be specified in thesame manner as complete defenses.

(P.B. 1978-1997, Sec. 371.)

Sec. 17-38. —Amending Notice of DefenseThe judicial authority may, for cause shown,

and upon such terms as it may impose, permitsuch notice to be filed or amended at any time.

(P.B. 1978-1997, Sec. 372.)

Sec. 17-39. —No Reply AllowedThe plaintiff shall file no pleading to such notice,

but may meet the facts set up therein by anyproper evidence.

(P.B. 1978-1997, Sec. 373.)

Sec. 17-40. —Evidence to Reduce DamagesThe defendant may, without notice, offer evi-

dence to reduce the amount of damages claimed.(P.B. 1978-1997, Sec. 374.)

Sec. 17-41. Relief Permissible on DefaultUpon a default, the plaintiff can have no greater

relief than that demanded in the complaint; but inany other case the judicial authority may, upon aproper amendment, grant the plaintiff any otherrelief consistent with the case made on the trialand embraced within the issues.

(P.B. 1978-1997, Sec. 375.)

Sec. 17-42. Opening Defaults where Judg-ment Has Not Been RenderedA motion to set aside a default where no judg-

ment has been rendered may be granted by thejudicial authority for good cause shown upon such


terms as it may impose. As part of its order, thejudicial authority may extend the time for filingpleadings or disclosure in favor of a party whohas not been negligent. Certain defaults may beset aside by the clerk pursuant to Sections 17-20and 17-32.

(P.B. 1978-1997, Sec. 376.)

Sec. 17-43. Opening Judgment upon Defaultor Nonsuit(a) Any judgment rendered or decree passed

upon a default or nonsuit may be set aside withinfour months succeeding the date on which noticewas sent, and the case reinstated on the docketon such terms in respect to costs as the judicialauthority deems reasonable, upon the writtenmotion of any party or person prejudiced thereby,showing reasonable cause, or that a good causeof action or defense in whole or in part existed atthe time of the rendition of such judgment or thepassage of such decree, and that the plaintiff orthe defendant was prevented by mistake, accidentor other reasonable cause from prosecuting orappearing to make the same. Such written motionshall be verified by the oath of the complainant orthe complainant’s attorney, shall state in generalterms the nature of the claim or defense and shallparticularly set forth the reason why the plaintiffor the defendant failed to appear. The judicialauthority shall order reasonable notice of the pen-dency of such written motion to be given to theadverse party, and may enjoin that party againstenforcing such judgment or decree until the deci-sion upon such written motion.

(b) If the judicial authority opens a nonsuitentered pursuant to Section 17-31, the judicialauthority as part of its order may extend the timefor filing pleadings or disclosure. (See GeneralStatutes § 52-212.)

(P.B. 1978-1997, Sec. 377.)

Sec. 17-44. Summary Judgments; Scope ofRemedyIn any action, including administrative appeals

which are enumerated in Section 14-7, any partymay move for a summary judgment as to anyclaim or defense as a matter of right at any timeif no scheduling order exists and the case has notbeen assigned for trial. If a scheduling order hasbeen entered by the court, either party may movefor summary judgment as to any claim or defenseas a matter of right by the time specified in thescheduling order. If no scheduling order exists butthe case has been assigned for trial, a party mustmove for permission of the judicial authority to filea motion for summary judgment. These rules shallbe applicable to counterclaims and cross com-plaints, so that any party may move for summary

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judgment upon any counterclaim or cross com-plaint as if it were an independent action. Thependency of a motion for summary judgment shalldelay trial only at the discretion of the trial judge.


Sec. 17-45. —Proceedings upon Motion forSummary Judgment; Request for Extensionof Time to Respond(Amended June 30, 2003, to take effect Jan. 1, 2004.)(a) A motion for summary judgment shall be

supported by appropriate documents, includingbut not limited to affidavits, certified transcripts oftestimony under oath, disclosures, written admis-sions and other supporting documents.

(b) Unless otherwise ordered by the judicialauthority, any adverse party shall file and servea response to the motion for summary judgmentwithin forty-five days of the filing of the motion,including opposing affidavits and other availabledocumentary evidence.

(c) Unless otherwise ordered by the judicialauthority, the moving party shall not claim themotion for summary judgment to the short calen-dar less than forty-five days after the filing of themotion for summary judgment.


HISTORY—2017: Prior to 2017, this section read: ‘‘Amotion for summary judgment shall be supported by suchdocuments as may be appropriate, including but not limitedto affidavits, certified transcripts of testimony under oath, dis-closures, written admissions and the like. The motion shall beplaced on the short calendar to be held not less than fifteendays following the filing of the motion and the supporting mate-rials, unless the judicial authority otherwise directs. Anyadverse party may, within ten days of the filing of the motionwith the court, file a request for extension of time to respondto the motion. The clerk shall grant such request and causethe motion to appear on the short calendar not less than thirtydays from the filing of the request. Any adverse party shall atleast five days before the date the motion is to be considered onthe short calendar file opposing affidavits and other availabledocumentary evidence. Affidavits, and other documentaryproof not already a part of the file, shall be filed and servedas are pleadings.’’

COMMENTARY—2017: This revision increases the timefor filing a response to a motion for summary judgment toforty-five days in order to provide parties with sufficient timeto review and gather information to respond to the motion. Byextending the time, it is expected that parties will not find itnecessary to seek an extension of time. The rule, therefore,also eliminates the provision for filing a request for extensionof time, although parties would not be precluded from filing amotion for an extension of time if needed. The rule alsorequires the moving party to claim the motion to the shortcalendar not less than forty-five days from the filing of themotion to accommodate the additional time for filing aresponse. Previously, a motion for summary judgment would


be placed on the calendar automatically. The judicial authoritycan order parties to comply with a shorter or longer time framefor the filing of a motion for summary judgment and responseat any time. The revision also separates the rule into threedistinct sections: filing the motion and supporting materials;filing the response to the motion, including opposing affidavitsand other documentary evidence; and claiming the motion tothe short calendar.

Sec. 17-46. —Form of AffidavitsSupporting and opposing affidavits shall be

made on personal knowledge, shall set forth suchfacts as would be admissible in evidence, andshall show affirmatively that the affiant is compe-tent to testify to the matters stated therein. Swornor certified copies of all papers or parts thereofreferred to in an affidavit shall be attached thereto.

(P.B. 1978-1997, Sec. 381.)

Sec. 17-47. —When Appropriate DocumentsAre UnavailableShould it appear from the affidavits of a party

opposing the motion that such party cannot, forreasons stated, present facts essential to justifyopposition, the judicial authority may deny themotion for judgment or may order a continuanceto permit affidavits to be obtained or discovery tobe had or may make such other order as is just.

(P.B. 1978-1997, Sec. 382.)

Sec. 17-48. —Affidavits Made in Bad FaithShould it appear to the satisfaction of the judicial

authority at any time that any affidavit is made orpresented in bad faith or solely for the purposeof delay, the judicial authority shall forthwith orderthe offending party to pay to the other party thereasonable expenses which the filing of the affida-vit caused that party to incur, including attorney’sfees. Any offending party or attorney may beadjudged guilty of contempt, and any offendingattorney may also be disciplined by the judicialauthority.

(P.B. 1978-1997, Sec. 383.)

Sec. 17-49. —JudgmentThe judgment sought shall be rendered forth-

with if the pleadings, affidavits and any other proofsubmitted show that there is no genuine issue asto any material fact and that the moving party isentitled to judgment as a matter of law.

(P.B. 1978-1997, Sec. 384.)

Sec. 17-50. —Triable Issue as to DamagesOnlyA summary judgment, interlocutory in charac-

ter, may be rendered on the issue of liability alone,although there is a genuine issue as to damages.In such case the judicial authority shall order animmediate hearing before a judge trial referee,

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before the court, or before a jury, whichever maybe proper, to determine the amount of the dam-ages. If the determination is by a jury, the usualprocedure for setting aside the verdict shall beapplicable. Upon the conclusion of these proceed-ings, the judicial authority shall forthwith renderthe appropriate summary judgment.

(P.B. 1978-1997, Sec. 385.)

Sec. 17-51. —Judgment for Part of ClaimIf it appears that the defense applies to only

part of the claim, or that any part is admitted, themoving party may have final judgment forthwithfor so much of the claim as the defense does notapply to, or as is admitted, on such terms as maybe just; and the action may be severed and pro-ceeded with as respects the remainder of theclaim.

(P.B. 1978-1997, Sec. 386.)

Sec. 17-52. ExecutionsPursuant to the General Statutes, the judgment

creditor or the attorney for the judgment creditormay file a written application with the court for anexecution to collect an unsatisfied moneyjudgment.

(P.B. 1978-1997, Sec. 387.)

Sec. 17-53. Summary Process ExecutionsWhenever a summary process execution is

requested because of a violation of a term in ajudgment by stipulation or a judgment with a stayof execution beyond the statutory stay, a hearingshall be required. If the violation consists of non-payment of a sum certain, an affidavit with servicecertified in accordance with Sections 10-12through 10-17 shall be accepted in lieu of a hear-ing unless an objection to the execution is filedby the defendant prior to the issuance of the exe-cution. The execution shall issue on the third busi-ness day after the filing of the affidavit.

An affidavit asserting nonpayment of a sum cer-tain that is sent to the court either electronicallyor is hand-delivered to the court shall be deemedto be filed on the third business day following suchdelivery unless the party filing the affidavit certifiesthat the affidavit has also been sent electronicallyor hand-delivered on the same day to all opposingparties or their counsel.

(P.B. 1978-1997, Sec. 387A.) (Amended June 26, 2000,to take effect Jan. 1, 2001; amended June 25, 2001, to takeeffect Jan. 1, 2002; amended June 12, 2015, to take effectJan. 1, 2016.)

Sec. 17-54. Declaratory Judgment; ScopeThe judicial authority will, in cases not herein

excepted, render declaratory judgments as to theexistence or nonexistence (1) of any right, power,privilege or immunity; or (2) of any fact upon which


the existence or nonexistence of such right,power, privilege or immunity does or may depend,whether such right, power, privilege or immunitynow exists or will arise in the future.

(P.B. 1978-1997, Sec. 389.)

Sec. 17-55. —Conditions for DeclaratoryJudgmentA declaratory judgment action may be main-

tained if all of the following conditions havebeen met:

(1) The party seeking the declaratory judgmenthas an interest, legal or equitable, by reason ofdanger of loss or of uncertainty as to the party’srights or other jural relations;

(2) There is an actual bona fide and substantialquestion or issue in dispute or substantial uncer-tainty of legal relations which requires settlementbetween the parties; and

(3) In the event that there is another form ofproceeding that can provide the party seeking thedeclaratory judgment immediate redress, thecourt is of the opinion that such party should beallowed to proceed with the claim for declaratoryjudgment despite the existence of such alter-nate procedure.


Sec. 17-56. —Procedure for DeclaratoryJudgment(a) Procedure in actions seeking a declaratory

judgment shall be as follows:(1) The form and practice prescribed for civil

actions shall be followed.(2) The prayer for relief shall state with precision

the declaratory judgment desired and no claim forconsequential relief need be made.

(3) Actions claiming coercive relief may also beaccompanied by a claim for a declaratory judg-ment, either as an alternative remedy or as anindependent remedy.

(4) Subject to the provisions of Sections 10-21through 10-24, causes of action for other reliefmay be joined in complaints seeking declara-tory judgments.

(5) The defendant in any appropriate action mayseek a declaratory judgment by a counterclaim.

(6) Issues of fact necessary to the determinationof the cause may be submitted to the jury as inother actions.

(b) All persons who have an interest in the sub-ject matter of the requested declaratory judgment

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that is direct, immediate and adverse to the inter-est of one or more of the plaintiffs or defendantsin the action shall be made parties to the actionor shall be given reasonable notice thereof. If theproceeding involves the validity of a municipalordinance, persons interested in the subject mat-ter of the declaratory judgment shall include suchmunicipality, and if the proceeding involves thevalidity of a state statute, such persons shallinclude the attorney general.

The party seeking the declaratory judgmentshall append to its complaint or counterclaim acertificate stating that all such interested personshave been joined as parties to the action or havebeen given reasonable notice thereof. If noticewas given, the certificate shall list the names, ifknown, of all such persons, the nature of theirinterest and the manner of notice.

(c) Except as provided in Sections 10-39 and10-44, no declaratory judgment action shall bedefeated by the nonjoinder of parties or the failureto give notice to interested persons. The exclusiveremedy for nonjoinder or failure to give noticeto interested persons is by motion to strike asprovided in Sections 10-39 and 10-44.

(d) Except as otherwise provided by law, nodeclaration shall be binding against any personsnot joined as parties. If it appears to the court thatthe rights of nonparties will be prejudiced by itsdeclaration, it shall order entry of judgment in suchform as to affect only the parties to the action.


Sec. 17-57. —Costs in Declaratory Judg-mentCosts shall be discretionary and may be

granted to or against any party to the action.(P.B. 1978-1997, Sec. 392.)

Sec. 17-58. —Declaratory Judgment Ap-pealableThe decision of the judicial authority shall be

final between the parties to the action as to thequestion or issue determined, and shall be subjectto review by appeal as in other causes.

(P.B. 1978-1997, Sec. 393.)

Sec. 17-59. —Order of Priorities in Declara-tory JudgmentIn any action in which order of priorities could

be determined under scire facias proceedings,such order of priorities may be determined bydeclaratory judgment proceedings. (See GeneralStatutes § 52-235a.)

(P.B. 1978-1997, Sec. 394.)


CHAPTER 18

FEES AND COSTS

Sec. Sec.18-1. Vouchers for Court Expenses18-2. Costs on Appeal from Commissioners18-3. Costs on Creditor’s Appeal18-4. Eminent Domain; Clerk’s Fees18-5. Taxation of Costs; Appeal18-6. Costs on Writ of Error18-7. Costs on Interlocutory Proceedings18-8. Jury Fee where More than One Trial18-9. Nonresident Witnesses; Fees18-10. Witness Fees in Several Suits


Sec. 18-1. Vouchers for Court ExpensesNo costs shall be taxed for court expenses

unless each item of payment of over $50 shall beaccompanied by a proper voucher. No part of theclerk’s bill or fees shall be included for taxation inthe state marshal’s bill, or in any bill of a commu-nity correctional center.



Sec. 18-2. Costs on Appeal from Commis-sionersIf an executor, administrator or trustee upon an

estate shall appeal from the report of the commis-sioners in allowing a claim to a creditor and suchclaim is disallowed upon the appeal, or if a creditorshall appeal from the disallowance of claim inwhole or in part and shall recover no more thanwas allowed by the commissioners, judgment forcosts shall be rendered against the creditor. Ifupon an appeal by an executor, administrator ortrustee the creditor shall recover as large a sumas, or a larger sum than, was allowed to the credi-tor by the commissioners, or if upon the creditor’sown appeal from the disallowance of claim inwhole or in part, a creditor shall recover a greatersum than was allowed by the commissioners,costs will be taxed in the creditor’s favor againstthe estate. In any other case, costs shall be discre-tionary with the judicial authority.

(P.B. 1978-1997, Sec. 409.)

Sec. 18-3. Costs on Creditor’s AppealIf any creditor of such an estate shall appeal

from the doings or report of the commissioners inallowing the claim of any other creditor, costs, atthe discretion of the judicial authority, may be

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18-11. Witness Not Called; Fees18-12. Costs where Several Issues18-13. Several Defendants; Costs18-14. Fees and Costs where Plaintiffs Join or Actions

Are Consolidated18-15. Costs where Both Legal and Equitable Issues18-16. Costs on Complaint and Counterclaim18-17. Costs on Counterclaim18-18. Costs for Exhibits18-19. Proceedings before Judge; No Costs

taxed in favor of the prevailing party against theother. No costs shall be allowed against theestate.

(P.B. 1978-1997, Sec. 410.)

Sec. 18-4. Eminent Domain; Clerk’s FeesIf, by the provisions of the charter of any railroad

company, canal company, bridge company, or thelike, it shall be made the duty of the judicial author-ity to appoint appraisers, assessors, commission-ers, etc., the clerk’s fees must be paid as inother causes.

(P.B. 1978-1997, Sec. 411.)

Sec. 18-5. Taxation of Costs; Appeal(a) Except as otherwise provided in this section,

costs may be taxed by the clerk in civil casesfourteen days after the filing of a written bill ofcosts provided that no objection is filed. If a writtenobjection is filed within the fourteen day period,notice shall be given by the clerk to all appearingparties of record of the date and time of the clerk’staxation. The parties may appear at such taxationand have the right to be heard by the clerk.

(b) Either party may move the judicial authorityfor a review of the taxation by the clerk by filinga motion for review of taxation of costs withintwenty days of the issuance of the notice of taxa-tion by the clerk.

(c) Notwithstanding the provisions of subsec-tion (a), the costs paid as an application fee for anyexecution on a money judgment shall be taxed bythe clerk upon the issuance of the execution.


Sec. 18-6. Costs on Writ of ErrorNo copy of a record upon which a writ of error

shall be pending shall be taxed in the bill of costs


on such writ, unless such copy shall become nec-essary by reason of a defense of nul tiel record.

(P.B. 1978-1997, Sec. 413.)

Sec. 18-7. Costs on Interlocutory Pro-ceedingsCosts taxed on any interlocutory proceedings

must be paid before any further pleading may befiled or other step taken in the cause by the partyagainst whom they were awarded, unless the judi-cial authority specially directs otherwise or thewritten consent of the adverse party is given.

(P.B. 1978-1997, Sec. 414.)

Sec. 18-8. Jury Fee where More than OneTrialIf more than one trial to the jury of a case is

had, no more than one jury fee shall be requiredto be paid.

(P.B. 1978-1997, Sec. 415.)

Sec. 18-9. Nonresident Witnesses; FeesThe mileage or travel of witnesses residing out

of the state will be computed and taxed from thestate line, on the usual course of travel.

(P.B. 1978-1997, Sec. 416.)

Sec. 18-10. Witness Fees in Several SuitsIf a witness be in attendance in more cases

than one, between the same parties, at the sametime, and on behalf of the same party, the feesof the witness for travel and attendance will betaxed for one case only.

(P.B. 1978-1997, Sec. 417.)

Sec. 18-11. Witness Not Called; FeesIf witnesses, having been duly summoned,

attend as witnesses, but are not called to testify,their fees shall be taxed in the bill of costs, if itappears to the judicial authority that they weresummoned in good faith and with the expectationof using them, and if their testimony would havebeen admissible.

(P.B. 1978-1997, Sec. 418.)

Sec. 18-12. Costs where Several Issues(a) Whenever in any action there shall be two

or more issues joined on material allegations, anda part of such issues shall be found for the defend-ant and the remainder for the plaintiff, the defend-ant shall recover such costs as were incurredupon the issues found in defendant’s favor, includ-ing fees of witnesses and the expense of sum-moning them. If several distinct claims shall bemade under one count, and the plaintiff shallrecover upon some and not upon others, plaintiffshall not recover costs incurred in attempting tosupport the claims which plaintiff shall fail toestablish.

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(b) When costs are awarded to both parties,the judicial authority upon motion of either partymay order a setoff of the same, and executionwill then issue only for the balance.

(P.B. 1978-1997, Sec. 419.)

Sec. 18-13. Several Defendants; CostsIn all cases where there are several defendants,

the judicial authority may make such order as itmay deem just to prevent any defendant frombeing embarrassed or put to expense by beingrequired to attend upon any proceedings in theaction in which such defendant may have no inter-est; and no costs shall be taxed against anydefendant with which that defendant is notjustly chargeable.

(P.B. 1978-1997, Sec. 420.)

Sec. 18-14. Fees and Costs where PlaintiffsJoin or Actions Are Consolidated(a) Where plaintiffs join under Section 9-4, or

actions are consolidated, and the case is claimedfor the jury, there shall be but one jury fee, exceptthat if separate jury trials are ordered, a jury feeshall be paid for each such trial.

(b) Each party who prevails shall be entitled torecover from the losing party or parties indemnity,trial and witness fees to the same extent as thoughthe plaintiffs who have several rights had broughtseparate actions.

(P.B. 1978-1997, Sec. 421.)

Sec. 18-15. Costs where Both Legal andEquitable IssuesWhere legal and equitable matters or claims

for relief arising out of the same transaction ortransactions connected with the same subject ofaction are joined in the same complaint, or whereany pleading setting forth a matter which, beforeJanuary 1, 1980, would have been cognizableonly at law is met by setting up some equitablematter, either by itself or in connection with a legaldefense, the costs upon the whole case shall beat the discretion of the judicial authority; but wherelegal and equitable causes of action which arewholly unconnected with each other are joined inthe same complaint, the costs upon the judgmenton the equitable causes of action only shall be dis-cretionary.

(P.B. 1978-1997, Sec. 422.)

Sec. 18-16. Costs on Complaint and Coun-terclaimWhen judgment shall be for the defendant on

the complaint and for the plaintiff on a counter-claim, costs shall be taxed for the defendant as


the prevailing party under General Statutes § 52-257, unless the judicial authority shall directotherwise.

(P.B. 1978-1997, Sec. 423.)

Sec. 18-17. Costs on Counterclaim

No costs shall be taxed in favor of a defendantrecovering judgment on a counterclaim or setoff,which were incurred before the same was filed.

(P.B. 1978-1997, Sec. 424.)

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Sec. 18-18. Costs for ExhibitsThe sum to be taxed to the prevailing party

under General Statutes § 52-257, for maps, plans,mechanical drawings, and photographs shall bedetermined by the judicial authority.

(P.B. 1978-1997, Sec. 425.)

Sec. 18-19. Proceedings before Judge; NoCostsIn proceedings before a judge no costs shall

be taxed in favor of either party unless otherwiseprovided by statute.

(P.B. 1978-1997, Sec. 427.)


CHAPTER 19

REFERENCES

Sec. Sec.19-1. Application of Chapter19-2. Reference to Committee19-2A. Reference to Attorney Trial Referee19-3. Reference to Judge Trial Referee19-3A. Reference to Special Assignment Probate Judge19-4. Attorney Trial Referees and Special Assignment

Probate Judges; Time to File Report19-5. Appointment of Committee or Referee19-6. Effect of Reference19-7. Pleadings19-8. Report


Sec. 19-1. Application of ChapterThe provisions of this chapter shall govern the

procedure in matters, except dissolution of mar-riage or civil union, legal separation, annulment,and juvenile matters, referred to committees, statereferees and senior judges, attorney trial referees,special assignment probate judges, and, so faras applicable, to auditors, appraisers or other per-sons designated to make reports to the court.


Sec. 19-2. Reference to CommitteeThe court or any judge thereof may send to a

committee for a finding of facts any case whereinthe parties are not, as a matter of right, entitled toa trial by jury. A committee shall not be appointedwithout the consent of all parties appearing,unless the court, after a hearing upon motion forappointment of a committee, is of the opinion thatthe questions involved are such as clearly oughtto be sent to a committee.

(P.B. 1978-1997, Sec. 429.)

Sec. 19-2A. Reference to Attorney TrialRefereeThe court or judicial authority may refer to an

attorney trial referee any civil nonjury case inwhich the issues have been closed, provided thatthe appearing parties or their counsel consent tothe referral.


Sec. 19-3. Reference to Judge Trial Referee(Amended June 28, 1999, to take effect Jan. 1, 2000.)The clerk shall give notice to each referee of a

reference and note in the court file the date of

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19-9. Request for Finding19-10. Alternative Report19-11. Amending Report19-12. Motion to Correct [Repealed]19-13. Exceptions to Report or Finding [Repealed]19-14. Objections to Acceptance of Report19-15. Time to File Objections19-16. Judgment on the Report19-17. Function of the Court19-18. Extensions of Time19-19. Reference to Accountant

the issuance of the notice. In addition to mattersrequired to be referred to a judge trial referee, thejudicial authority may refer any civil nonjury caseor, with the written consent of the parties or theirattorneys, any civil jury case, pending before suchcourt, in which the issues have been closed, to ajudge trial referee, who shall have and exercisethe powers of the superior court in respect to trial,judgment and appeal in such case, and any pro-ceeding resulting from a demand for a trial denovo pursuant to subsection (e) of General Stat-utes § 52-549z, may be referred without the con-sent of the parties to a judge trial referee who hasbeen specifically designated to hear such pro-ceedings pursuant to subsection (b) of GeneralStatutes § 52-434. Any case referred to a judgetrial referee shall be deemed to have beenreferred for all further proceedings and judgment,including matters pertaining to any appeal there-from, unless otherwise ordered before or after thereference. The court may also refer to a judgetrial referee any motion for summary judgmentand any other pretrial matter in any civil nonjuryor civil jury case.


Sec. 19-3A. Reference to Special Assign-ment Probate JudgeThe court may refer any appeal filed under Gen-

eral Statutes § 45a-186, except those mattersdescribed in subdivision (h) (3) of that statute, toa special assignment probate judge appointed inaccordance with General Statutes § 45a-79b whois assigned by the Probate Court Administratorfor the purposes of such appeal, except that suchappeal shall be heard by the court if any party


files a demand for such hearing in writing with thecourt not later than twenty days after service ofthe appeal.


Sec. 19-4. Attorney Trial Referees and Spe-cial Assignment Probate Judges; Time toFile Report(Amended June 20, 2011, to take effect Jan. 1, 2012.)An attorney trial referee or special assignment

probate judge to whom a case has been referredshall file a report with the clerk of the court, withsufficient copies for all counsel, within one hun-dred and twenty days of the completion of thetrial before such referee or special assignmentprobate judge.


Sec. 19-5. Appointment of Committee orRefereeIt is the function of the court or judge to deter-

mine and appoint the person or persons who shallconstitute a committee, or the referee to whoma case shall be referred. Recommendations bycounsel shall be made only at the request of thecourt or judge. If more than one person shall con-stitute the committee, the first person named bythe court shall be the chair of the committee.

(P.B. 1978-1997, Sec. 431.)

Sec. 19-6. Effect of Reference(a) When any case shall be referred, no trial

will be had by the court unless the reference berevoked upon stipulation of the parties or orderof the court. Any reference shall continue in forceuntil the duties thereunder have been performedor the order revoked.

(b) In making a reference in any eminentdomain proceeding, the court shall fix a date notmore than sixty days thereafter, unless for goodcause shown a longer period is required, on whichthe parties shall exchange copies of theirappraisal reports. Such reports shall set forth thevaluation placed upon the property in issue andthe details of the items of, or the basis for, suchvaluation. The court may, in its discretion andunder such conditions as it deems proper, andafter notice and hearing, grant a further extensionof time, beyond that originally fixed, to any partyconfronted with unusual and special circum-stances requiring additional time for the exchangeof appraisal reports.


Sec. 19-7. PleadingsNo case shall be referred to a committee, attor-

ney trial referee or special assignment probate

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judge until the issues are closed and a certificationto that effect has been filed pursuant to Section14-8. Thereafter no pleadings may be filed exceptby agreement of all parties or order of the courtor the attorney trial referee or special assignmentprobate judge. Such pleadings shall be filed withthe clerk and a copy filed with the committee, theattorney trial referee or the special assignmentprobate judge.


Sec. 19-8. Report(a) The report of a committee, attorney trial ref-

eree or special assignment probate judge shallstate, in separate and consecutively numberedparagraphs, the facts found and the conclusionsdrawn therefrom. It should not contain statementsof evidence or excerpts from the evidence. Thereport should ordinarily state only the ultimatefacts found; but if the committee, attorney trialreferee or special assignment probate judge hasreason to believe that the conclusions as to suchfacts from subordinate facts will be questioned, itmay also state the subordinate facts foundproven; and any committee, attorney trial refereeor special assignment probate judge having rea-son to believe that the rulings will be questionedmay state them with a brief summary of suchfacts as are necessary to explain them; and thecommittee, attorney trial referee or special assign-ment probate judge should state such claims aswere made by the parties and which either partyrequests be stated.

(b) The committee, attorney trial referee or spe-cial assignment probate judge may accompanythe report with a memorandum of decision includ-ing such matters as it may deem helpful in thedecision of the case, and, in any case in whichappraisal fees may be awarded by the court, shallmake a finding and recommendation as to suchappraisal fees as it deems reasonable.


Sec. 19-9. Request for FindingEither party may request a committee, attorney

trial referee or special assignment probate judgeto make a finding of subordinate facts or of itsrulings, and of the claims made, and shall includein or annex to such request a statement of thefacts, or rulings, or claims, the party desires thecommittee, attorney trial referee or special assign-ment probate judge to incorporate in the report.



Sec. 19-10. Alternative ReportIf alternative claims are made before the com-

mittee, attorney trial referee or special assignmentprobate judge, or the committee, attorney trial ref-eree or special assignment probate judge deemsit advisable, it may report all the facts bearingupon such claims and make its conclusions inthe alternative, so that the judgment rendered willdepend upon which of the alternative conclusionsthe facts are found legally to support.


Sec. 19-11. Amending ReportA committee, attorney trial referee or special

assignment probate judge may, at any time beforea report is accepted, file an amendment to it oran amended report.


Sec. 19-12. Motion to Correct[Repealed as of Jan. 1, 2000.]

Sec. 19-13. Exceptions to Report or Finding[Repealed as of Jan. 1, 2000.]

Sec. 19-14. Objections to Acceptance ofReportA party may file objections to the acceptance

of a report on the ground that conclusions of factstated in it were not properly reached on the basisof the subordinate facts found, or that the commit-tee, attorney trial referee or special assignmentprobate judge erred in rulings on evidence or otherrulings or that there are other reasons why thereport should not be accepted. A party objectingon these grounds must file with the party’s objec-tions a transcript of the evidence taken before thecommittee, except such portions as the partiesmay stipulate to omit.


Sec. 19-15. Time to File ObjectionsObjections to the acceptance of a report shall

be filed within twenty-one days after the mailingor electronic delivery of the report to the partiesor their counsel by the clerk.


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Sec. 19-16. Judgment on the ReportAfter the expiration of twenty-one days from the

mailing or electronic delivery of the report, eitherparty may, without written motion, claim the casefor the short calendar for judgment on the reportof the committee, attorney trial referee or specialassignment probate judge, provided, if the partiesfile a stipulation that no objections will be filed,the case may be so claimed at any time thereafter.

The court may, on its own motion and withnotice thereof, schedule the matter for judgmenton the report and/or hearing on any objectionsthereto, anytime after the expiration of twenty-onedays from the mailing or electronic delivery of thereport to the parties or their counsel by the clerk.

(P.B. 1978-1997, Sec. 442.) (Amended June 28, 1999, totake effect Jan. 1, 2000; amended June 20, 2011, to takeeffect, Jan. 1, 2012.)

Sec. 19-17. Function of the Court(a) The court shall render such judgment as the

law requires upon the facts in the report. If thecourt finds that the committee, attorney trial ref-eree or special assignment probate judge hasmaterially erred in its rulings or that there are othersufficient reasons why the report should not beaccepted, the court shall reject the report andrefer the matter to the same or another committee,attorney trial referee or special assignment pro-bate judge, as the case may be, for a new trial orrevoke the reference and leave the case to bedisposed of in court.

(b) The court may correct a report at any timebefore judgment upon the written stipulation ofthe parties or it may upon its own motion add afact which is admitted or undisputed or strike outa fact improperly found.


Sec. 19-18. Extensions of TimeAny judge of the court in which the report is

filed may for good cause shown allow extensionsof time for taking any of the steps herein provided.


Sec. 19-19. Reference to AccountantThe court or any judge thereof may refer any

pending matter to an accountant for an examina-tion of any account or books. The accountant shallhave authority to make such examination andshall file a report with comments with the court orjudge. The fees and expenses of the accountant,


as fixed and allowed by the court or judge, shallbe paid by the estate or the parties, as the courtor judge may determine. The other provisions of

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this chapter shall not be applicable to reports byaccountants under this section.

(P.B. 1978-1997, Sec. 445.)


CHAPTER 20

HEARINGS IN CHAMBERS

Sec. Sec.20-1. Procedure in Contested Matters20-2. Certifying Proceedings to Court20-3. Transfer of Hearings before Judges


Sec. 20-1. Procedure in Contested MattersWhere any matter in a proceeding which has

or might have been made returnable to the court inany judicial district is brought, pursuant to statutebefore a judge, and is contested, and it maybecome necessary to take oral testimony, thejudge may, at his or her discretion and byagreement of the parties, repair to the courthouse,open a special session of the court, certify suchproceedings to said court, and go forward withthe hearing as a court.

(P.B. 1978-1997, Sec. 446.)

Sec. 20-2. Certifying Proceedings to CourtEach application or petition made to any judge

in connection with any cause then pending in orreturnable to any court and the proceedingsthereon shall be certified to the said court by saidjudge. (See General Statutes § 52-504.)


Sec. 20-3. Transfer of Hearings beforeJudgesWhen, upon any application, petition or matter

presented to any judge of the court for a hearingby him or her as a judge, notice to the adverseparty of the hearing thereon is required, either bystatute or in the discretion of the judge, the judgeto whom such application, petition or matter hasbeen presented may, in the order of notice issuedby the judge, designate any other judge of thecourt to hear the same, the consent thereto ofsuch other judge having first been obtained, andwhen any application, petition or matter is pendingbefore any judge of the court, such application,petition or matter may be by the judge transferredto any other judge of the court, upon like consentfirst obtained; and in either case such other judgeshall thereupon proceed with such application,petition or matter with the same authority asthough the same had originally been presented

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20-4. Trial before Judge; Lodging File and Papers20-5. Lodging Papers in Cause Affecting Land20-6. Clerk Designated by Judge to Take Papers

to such judge or had theretofore been pendingbefore him or her. (See General Statutes § 51-189.)

(P.B. 1978-1997, Sec. 448.)

Sec. 20-4. Trial before Judge; Lodging Fileand PapersIn all trials of causes before a judge that might

have been brought to the court, the judge, whena decision has been reached, shall lodge the fileand papers in such cause, and a memorandumof the judge’s decision, with the clerk of the courtwho would have been the custodian thereof hadthe cause been tried by the court in such judicialdistrict, and such clerk shall thereupon becometheir lawful custodian. (See General Statutes§ 51-190a.)

(P.B. 1978-1997, Sec. 449.)

Sec. 20-5. Lodging Papers in Cause Affect-ing LandIn all causes relating to an interest in land, tried

by a judge, the judge shall lodge the file andpapers in the cause, with a memorandum of thejudge’s decision, with a clerk of the court in thejudicial district in which the land affected islocated, who shall thereupon become their law-ful custodian.

(P.B. 1978-1997, Sec. 450.)

Sec. 20-6. Clerk Designated by Judge toTake PapersWhen a cause other than one mentioned in

Sections 20-4 and 20-5 is tried by a judge, and itis not otherwise provided by law where the fileand papers shall be lodged, the judge, when adecision has been reached, shall designate aclerk of the superior court with whom the sameshall be lodged, and shall thereupon lodge thesame with such clerk with a memorandum of thejudge’s decision, and such clerk shall thereuponbecome the lawful custodian thereof.

(P.B. 1978-1997, Sec. 451.)


CHAPTER 21

RECEIVERS

Sec. Sec.21-1. Appointment of Temporary Receiver in Chambers21-2. Permanent Receiver21-3. Appointments by Court21-4. Receiver to Give Bond21-5. Inventory21-6. Insolvent Estates to Be Liquidated21-7. Presentation and Allowance of Claims; Presen-

tation21-8. —Allowance; Hearing21-9. —Extensions of Time21-10. —Hearing before Action on Allowance21-11. Continuance of Business21-12. Reports where Business Continued


Sec. 21-1. Appointment of Temporary Re-ceiver in ChambersAll applications for the appointment of a receiver

shall be made in a civil action, and at any timeafter the writ and complaint has been signed. Asancillary thereto, an application may be made,when the court before which such action is pend-ing is not in actual session, to a judge in chambersfor the appointment of a temporary receiver, afternotice to the parties in interest, unless the exigen-cies of the case require otherwise; and said judgemay appoint a temporary receiver, and upon suchappointment shall fix a time for a hearing uponthe confirmation of such temporary receiver andthe appointment of appraisers, and cause not lessthan six days’ notice thereof to be given to allparties in interest by mail and otherwise if deemednecessary. Upon such hearing or an adjournmentthereof, the judge may appoint two or moreappraisers and either confirm the temporaryreceiver or make a new appointment of a tempo-rary receiver. The appointment of a temporaryreceiver shall continue until a permanent receivershall be appointed or until the further order ofthe court.

(P.B. 1978-1997, Sec. 485.)

Sec. 21-2. Permanent ReceiverThe temporary receiver shall cause the case to

be duly assigned for trial in the court at the earliestpracticable day after the return day of the action,for the appointment of a permanent receiver, andin cases where the day for such hearing has notbeen fixed before the opening of the session ofthe court to which said proceeding is returnable,

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21-13. Semiannual Summary of Orders21-14. Semiannual Accounts21-15. Orders in Chambers21-16. Duty of Clerks21-17. Removal of Receivers21-18. Ancillary Receivers21-19. Receiver of Rents; Applicability of Previous

Sections21-20. —Appointment21-21. —Bond21-22. —Discharge21-23. —Orders21-24. —Reports

the temporary receiver, on or before such open-ing, shall make and place upon the short calendarlist an application therefor.

(P.B. 1978-1997, Sec. 486.)

Sec. 21-3. Appointments by Court(a) All appointments of receivers shall be tem-

porary appointments, unless made by the courtafter the return day of the action, and upon fullnotice and opportunity to be heard to all con-cerned. If made after the return day the appoint-ment shall be upon written motion addressed tothe court. If made before the return day the partydesiring the appointment shall file a written appli-cation as is required where the appointment is bya judge in chambers.

(b) In either case the court making a temporaryappointment shall forthwith make an order for ahearing upon the confirmation of such temporaryappointment and the appointment of two or moreappraisers, and direct the temporary receiver togive notice of such hearing and of the time andplace thereof to all parties concerned by publicadvertisement if it seems advisable and by caus-ing a written or printed notice thereof to be mailed,postpaid, to all known creditors and to all stock-holders of record of the corporation, if the defend-ant be a corporation, at least six days beforesuch hearing.

(c) At said hearing, if after the return day, thecourt may appoint a permanent receiver, who maybe either the temporary receiver or a new appoin-tee. If said hearing is before the return day, thensuch appointment shall be temporary only, andsuch temporary receiver shall cause the matterof his or her confirmation as permanent receiver


or the appointment of some other person as per-manent receiver to be brought before the courtas provided in the case of temporary receiversappointed by a judge in chambers.

(P.B. 1978-1997, Sec. 487.)

Sec. 21-4. Receiver to Give BondEvery receiver, temporary or permanent, before

assuming to act as such, shall file with the clerkof the court by which, or by a judge of which, heor she was appointed, a bond with such surety orsureties, and for such an amount as such courtor judge may order and approve, payable to thestate and conditioned for the faithful performanceof the receiver’s official duties. (See General Stat-utes § 52-506 and annotations.)


Sec. 21-5. InventoryEvery receiver, upon confirmation or permanent

appointment, shall forthwith, and without anyorder therefor, prepare and file a sworn inventoryof the assets of the estate, which shall containan appraisal of each item therein, made by theappraisers appointed for such purpose. Everytemporary receiver, upon original appointment,shall make an inventory, unless otherwiseordered.

(P.B. 1978-1997, Sec. 489.)

Sec. 21-6. Insolvent Estates to Be Liq-uidatedAt the time of the appointment or of the confir-

mation of a temporary receiver or the appointmentof a permanent receiver, such inquiry as is practi-cable shall be made by the judge or court relativeto the solvency of the estate. When, upon suchinquiry or thereafter, it appears to the judge orcourt that the estate is insolvent, the estate shallbe promptly liquidated and no further continuanceof the business, except for the purpose of liq-uidation, shall be permitted, unless, because ofexceptional circumstances, it shall be otherwiseordered.

(P.B. 1978-1997, Sec. 490.)

Sec. 21-7. Presentation and Allowance ofClaims; PresentationThe court shall, in the judgment appointing a

permanent receiver, limit a time for the presenta-tion of claims against the estate and direct thatthe receiver forthwith give notice thereof, and thatall claims not exhibited within said time will bebarred, to all known creditors, by mailing a writtenor printed copy of such order. The court may pro-vide for further notice if it deems the sameadvisable.

(P.B. 1978-1997, Sec. 492.)

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Sec. 21-8. —Allowance; Hearing(a) The receiver shall, within two weeks after

the order of notice, make a return of compliancewith it, and within a like time after the expirationof the limitation file a list of claims presented,separately stating those in which a preference isclaimed, and make application for an order of thecourt thereon.

(b) The court shall thereupon by its order allowor disallow, in whole or in part, the claims soreturned and any preferences claimed and orderthe receiver forthwith to give written notice to eachclaimant whose claim has been disallowed inwhole or in part that unless the claimant shallwithin two weeks from the giving of such noticeby the receiver bring an application to the courtfor the allowance of the claim, the same shall bebarred; and any such application shall be speedilyheard and the decision thereon shall, subject toappeal, be final. Any creditor may intervene inthe proceeding.

(P.B. 1978-1997, Sec. 493.)

Sec. 21-9. —Extensions of TimeThe court, for good cause shown, may extend

the time for presenting a claim or claims to thereceiver, and may extend the time for makingapplication for the allowance of a claim or claimsdisallowed in whole or in part.

(P.B. 1978-1997, Sec. 494.)

Sec. 21-10. —Hearing before Action onAllowanceThe court may, upon due notice to a claimant,

hear the claimant’s claim before allowing or disal-lowing the same and, subject to appeal, the deci-sion thereon shall be final.

(P.B. 1978-1997, Sec. 495.)

Sec. 21-11. Continuance of BusinessNo order for the continuance of a business shall

be made for a greater period of time than fourmonths, except for special cause shown. Forcause shown, such orders may be renewed fromtime to time, as the exigencies of the case mayrequire.

(P.B. 1978-1997, Sec. 496.)

Sec. 21-12. Reports where Business Con-tinuedWhen a receiver is continuing business under

the order of a judge or the court, the receiver shall,during the first ten days of each month, file a reportshowing the results of operating the business dur-ing the preceding month. The receiver shall fur-nish supplemental schedules and information ifrequired by the court.



Sec. 21-13. Semiannual Summary of OrdersEvery receiver shall, on the first Tuesdays of

April and October of each year, file a summarystatement of all orders made in said cause duringthe six months preceding, and the doings thereun-der. The clerk shall refer the statement to thejudge holding the term or session then pending,or held next thereafter, who shall, upon examina-tion of the same, make such further orders in saidcause as are deemed necessary, and may directthat the cause be placed on the short calendarfor an order approving the statement.


Sec. 21-14. Semiannual AccountsEvery receiver upon an estate which has been

in process of settlement more than four months(except receivers of state banks and trust compa-nies) shall during the first week of April and Octo-ber of each year sign, swear to and file with thecourt a full and detailed account of the conditionand prospects of the estate as of the close of thenext preceding month, including therein a state-ment of realization and liquidation. The receivershall furnish supplemental schedules and infor-mation if required by the court. The receiver shallcause a motion for the approval of the report tobe placed on the short calendar.


Sec. 21-15. Orders in ChambersWhenever any judge shall have appointed a

receiver in chambers, all applications for ordersin said proceeding made out of court shall, exceptin the case of such judge’s absence from the state,the judge’s disability or a request in writing to thecontrary, be made to such judge.

(P.B. 1978-1997, Sec. 500.)

Sec. 21-16. Duty of ClerksThe clerks shall see that these rules are

enforced and shall promptly report any violationsthereof to the court.

(P.B. 1978-1997, Sec. 501.)

Sec. 21-17. Removal of ReceiversReceivers may be removed at any time, at the

pleasure of the court by which they wereappointed or, if such court is not in session, by ajudge thereof; and, if any receiver is removed ordeclines to act or dies, the court that appointedthe receiver, or, if such court is not in session, ajudge thereof, may fill the vacancy. (See GeneralStatutes § 52-513 and annotations.)

(P.B. 1978-1997, Sec. 502.)

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Sec. 21-18. Ancillary ReceiversThese rules, so far as applicable, shall govern

the appointment and duties of ancillary receivers.(P.B. 1978-1997, Sec. 503.)

Sec. 21-19. Receiver of Rents; Applicabilityof Previous SectionsSections 21-1 through 21-15 shall not apply to

receivers of rents.(P.B. 1978-1997, Sec. 505.)

Sec. 21-20. —AppointmentEvery application for the appointment of a

receiver of rents shall be made in or ancillary toa civil action and may be made either to the courtbefore which such action is pending or, when thecourt is not in actual session, to a judge in cham-bers. The court or judge may examine the plaintiffor plaintiff’s attorney and may thereupon appointa receiver of rents. Notice of the hearing shouldbe given when practical but such appointmentmay be made without notice if sufficient causeappears.

(P.B. 1978-1997, Sec. 506.)

Sec. 21-21. —BondNo such appointment shall become effective

until the receiver shall have filed a bond in suchamount as shall have been fixed at the time ofappointment or until said bond shall have beenapproved by the judge or clerk of the court inwhich the action is pending; provided that no bondneed be required of a bank or trust company.The condition of bonds of such receivers shall besubstantially in the following form:

The condition of this obligation is such that,whereas the above named A has by (court orjudge) been appointed, in an action brought by Xagainst Y, to be receiver of rents of propertylocated in the town ofand described as (describe generally, e.g., No.93 Maple Street):

Now, therefore, if said A shall well and trulyperform his or her duties under such appointment,then this obligation shall be void, otherwise in fullforce and effect.

(P.B. 1978-1997, Sec. 507.)

Sec. 21-22. —DischargeAny party in interest may at any time move for

the discharge of the receiver.(P.B. 1978-1997, Sec. 508.)

Sec. 21-23. —OrdersThe court in which the action is pending, or the

appointing judge, may make such orders for thegovernance of the receiver as circumstances


require. The judge shall certify any order passedby the judge in chambers to the court in whichthe action may be pending.

(P.B. 1978-1997, Sec. 509.)

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Sec. 21-24. —ReportsSuch receivers shall file written reports quar-

terly and at such other times as may be required.(P.B. 1978-1997, Sec. 510.)


CHAPTER 22

UNEMPLOYMENT COMPENSATION

Sec. Sec.22-1. Appeal22-2. Assignment for Hearing22-3. Finding22-4. Correction of Finding; Motion to Correct Finding22-5. —Evidence to Be Filed by Appellee


Sec. 22-1. Appeal(a) A decision of the employment security board

of review may be appealed, within the time limitedby statute, to the superior court for the judicialdistrict of Hartford or for the judicial district whereinthe appellant resides. The appeal shall be in theform of a petition which shall state the groundson which a review is sought. The appellant shallfile the original and five copies of the petition inthe office of the employment security board ofreview. The chair of the board shall, within thethird business day after such filing, cause the origi-nal petition or petitions to be mailed to the clerkof the superior court and, copy or copies thereofto be mailed to the administrator and to each otherparty to the proceeding in which the appeal wastaken. The clerk shall docket the appeal asreturned to the next return day after the receiptof the petition or petitions. No appeal bond shallbe required.

(b) At the time the petition is mailed to the clerk,or as soon thereafter as practicable, the chair ofthe board shall cause to be mailed to the clerk acertified copy of the record, which shall consist ofthe notice of appeal to the referee and the board,the notices of hearing before them, the referee’sfindings of fact and decision, the findings and deci-sion of the board, all documents admitted intoevidence before the referee and the board or both,and all other evidentiary material accepted bythem.

(c) The judicial authority may, on request of aparty to the action or on its own motion, order theboard to prepare and verify to the court a transcriptof the hearing before the referee in cases in whichthe board’s decision was rendered on the recordof such hearing, or a transcript of the hearingbefore the board in cases in which the board’sdecision was rendered on the record of its ownevidentiary hearing.

(P.B. 1978-1997, Sec. 511A.) (Amended June 29, 1998,to take effect Sept. 1, 1998; amended June 25, 2001, to takeeffect Jan. 1, 2002.)

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22-6. —Motion to Correct by Appellee22-7. —Duty of Board on Motion to Correct22-8. —Claiming Error on Board’s Decision on Motion to

Correct22-9. Function of the Court

Sec. 22-2. Assignment for Hearing(a) Appeals from decisions of the employment

security board of review are privileged withrespect to their assignment for trial, but they shallbe claimed for the short calendar. The judicialauthority, however, may order the appeal placedon the administrative appeal trial list.

(b) In any appeal in which one of the parties isnot represented by counsel and in which the partytaking the appeal does not claim the case for theshort calendar or trial within a reasonable timeafter the return day, the judicial authority may ofits own motion dismiss the appeal, or the partyready to proceed may move for nonsuit or defaultas appropriate.

(P.B. 1978-1997, Sec. 511B.)

Sec. 22-3. FindingThe finding of the board should contain only the

ultimate, relevant and material facts essential tothe case in hand and found by it, together with astatement of its conclusions and the claims of lawmade by the parties. It should not contain excerptsfrom evidence or merely evidential facts, nor theopinions or beliefs of the board, nor the reasonsfor its conclusions. The opinions, beliefs, reasonsand argument of the board should be expressedin the memorandum of decision, if any be filed,so far as they may be helpful in the decision ofthe case.

(P.B. 1978-1997, Sec. 514.)

Sec. 22-4. Correction of Finding; Motion toCorrect FindingIf the appellant desires to have the finding of

the board corrected, he or she must, within twoweeks after the record has been filed in the supe-rior court, unless the time is extended for causeby the board, file with the board a motion for thecorrection of the finding and with it such portionsof the evidence as he or she deems relevant andmaterial to the corrections asked for, certified bythe stenographer who took it; but if the appellant


claims that substantially all the evidence is rele-vant and material to the corrections sought, he orshe may file all of it, so certified, indicating in themotion so far as possible the portion applicable toeach correction sought. The board shall forthwithupon the filing of the motion and of the transcriptof the evidence, give notice to the adverse partyor parties.

(P.B. 1978-1997, Sec. 515A.)

Sec. 22-5. —Evidence to Be Filed by Ap-pelleeThe appellee should, if he or she deems that

additional evidence is relevant and material tothe motion to correct, within one week after theappellant has filed the transcript of evidence, sonotify the board, and, at the earliest time, he orshe can procure it file with the board such addi-tional evidence.

(P.B. 1978-1997, Sec. 516.)

Sec. 22-6. —Motion to Correct by AppelleeIf the appellee desires to file a motion to correct,

the procedure to be followed shall be the sameas that set forth in Sections 22-4 and 22-5 above.

(P.B. 1978-1997, Sec. 516A.)

Sec. 22-7. —Duty of Board on Motion toCorrectThe board shall file with the court, within a rea-

sonable time, such motions to correct togetherwith its decision thereon. If the motions are deniedin whole or in part and such denial is made aground of appeal to the court, the board shall,within a reasonable time thereafter, file in the courtthe transcripts of evidence filed by the appellantand the appellee, together with such additionalevidence as may have been taken before theboard in the form of testimony, or taken by it inother ways, and deemed by it relevant and mate-rial to these corrections.

(P.B. 1978-1997, Sec. 518.)

Sec. 22-8. —Claiming Error on Board’s Deci-sion on Motion to Correct(a) Any party to the appeal may file claims of

error concerning the board’s decision on a motionto correct the finding. Such claims shall be filed

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with the court within two weeks from the date theboard’s decision on the motion to correct wasmailed to the party making the claim, and shallcontain a certification that a copy thereof has beenserved on the board and on each other party to theappeal in accordance with Sections 10-12 through10-17.

(b) The appellant shall include his or her claimsof error in the appeal petition unless they are filedsubsequent to the filing of that petition, in whichcase they shall be set forth in an amended petition.

(P.B. 1978-1997, Sec. 518A.)

Sec. 22-9. Function of the Court(a) Such appeals are heard by the court upon

the certified copy of the record filed by the board.The court does not retry the facts or hear evi-dence. It considers no evidence other than thatcertified to it by the board, and then for the limitedpurpose of determining whether the finding shouldbe corrected, or whether there was any evidenceto support in law the conclusions reached. It can-not review the conclusions of the board whenthese depend upon the weight of the evidenceand the credibility of witnesses. In addition to ren-dering judgment on the appeal, the court mayorder the board to remand the case to a refereefor any further proceedings deemed necessary bythe court. The court may remand the case to theboard for proceedings de novo, or for further pro-ceedings on the record, or for such limited pur-poses as the court may prescribe. The court mayretain jurisdiction by ordering a return to the courtof the proceedings conducted in accordance withthe order of the court, or may order final disposi-tion. A party aggrieved by a final disposition madein compliance with an order of the superior courtmay, by the filing of an appropriate motion,request the court to review the disposition ofthe case.

(b) Corrections by the court of the board’s find-ing will only be made upon the refusal to find amaterial fact which was an admitted or undisputedfact, upon the finding of a fact in language ofdoubtful meaning so that its real significance maynot clearly appear, or upon the finding of a materialfact without evidence.

(P.B. 1978-1997, Sec. 519.)


CHAPTER 23

MISCELLANEOUS REMEDIES AND PROCEDURES

Sec. Sec.23-1. Arbitration; Confirming, Correcting or Vacating

Award23-2. Expedited Process Cases [Repealed]23-3. —Placement on the Expedited Process Track

[Repealed]23-4. —Pleadings Allowed in Expedited Process Track

Cases [Repealed]23-5. —Motions Allowed [Repealed]23-6. —Discovery Allowed [Repealed]23-7. —Discovery Procedure for Expedited Process

Cases [Repealed]23-8. —Certification That Pleadings Are Closed

[Repealed]23-9. —Case Management Conference for Expedited

Process Track Cases [Repealed]23-10. —Transfer to Regular Docket [Repealed]23-11. —Offers of Judgment [Repealed]23-12. —Trial of Cases on Expedited Process Track

[Repealed]23-13. Granting of Complex Litigation Status and

Assignment23-14. —Powers of Judge Assigned in Complex Litiga-

tion Cases23-15. —Request for Complex Litigation Status23-16. Foreclosure of Mortgages23-17. —Listing of Law Days23-18. —Proof of Debt in Foreclosures23-19. —Motion for Deficiency Judgment23-20. Review of Civil Contempt23-21. Habeas Corpus23-22. —The Petition23-23. —Return of Noncomplying Petition23-24. —Preliminary Consideration of Judicial Authority23-25. —Waiver of Filing Fees and Costs of Service23-26. —Appointment of Counsel23-27. —Venue for Habeas Corpus23-28. —Transfer of Habeas Corpus23-29. —Dismissal23-30. —The Return23-31. —Reply to the Return


Sec. 23-1. Arbitration; Confirming, Correct-ing or Vacating Award

In proceedings brought for confirming, vacatingor correcting an arbitration award under GeneralStatutes §§ 52-417, 52-418 or 52-419, the courtor judge to whom the application is made shallcause to be issued a citation directing the adverseparty or parties in the arbitration proceeding toappear on a day certain and show cause, if any

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23-32. —Amendments23-33. —Request for a More Specific Statement23-34. —Summary Procedures for Habeas Corpus

Petitions23-35. —Schedule for Filing Pleadings23-36. —The Expanded Record23-37. —Summary Judgment in Habeas Corpus23-38. —Discovery in Habeas Corpus23-39. —Depositions in Habeas Corpus23-40. —Court Appearance in Habeas Corpus23-41. —Motion for Leave to Withdraw Appearance of

Appointed Counsel23-42. —Judicial Action on Motion for Permission to With-

draw Appearance23-43. Interpleader; Pleadings23-44. —Procedure in Interpleader23-45. Mandamus; Parties Plaintiff; Complaint23-46. —Mandamus Complaint [Repealed]23-47. —Mandamus Order in a Pending Action23-48. —Temporary Order of Mandamus23-49. —Pleadings in Mandamus23-50. Writs of Error23-51. Petition to Open Parking or Citation Assessment23-52. Fact-Finding; Approval of Fact Finders23-53. —Referral of Cases to Fact Finders23-54. —Selection of Fact Finders; Disqualification23-55. —Hearing in Fact-Finding23-56. —Finding of Facts23-57. —Objections to Acceptance of Finding of Facts23-58. —Action by Judicial Authority23-59. —Failure to Appear at Hearing23-60. Arbitration; Approval of Arbitrators23-61. —Referral of Cases to Arbitrators23-62. —Selection of Arbitrators; Disqualification23-63. —Hearing in Arbitration23-64. —Decision of Arbitrator23-65. —Failure to Appear at Hearing before Arbitrator23-66. —Claim for Trial De Novo in Arbitration; Judgment23-67. Alternative Dispute Resolution23-68. Where Presence of Person May Be by Means of

an Interactive Audiovisual Device

there be, why the application should not begranted.

(P.B. 1978-1997, Sec. 525.)

Sec. 23-2. Expedited Process Cases[Repealed as of Jan. 1, 2015.]

Sec. 23-3. —Placement on the ExpeditedProcess Track[Repealed as of Jan. 1, 2015.]


Sec. 23-4. —Pleadings Allowed in ExpeditedProcess Track Cases[Repealed as of Jan. 1, 2015.]

Sec. 23-5. —Motions Allowed[Repealed as of Jan. 1, 2015.]

Sec. 23-6. —Discovery Allowed[Repealed as of Jan. 1, 2015.]

Sec. 23-7. —Discovery Procedure for Expe-dited Process Cases[Repealed as of Jan. 1, 2015.]

Sec. 23-8. —Certification That PleadingsAre Closed[Repealed as of Jan. 1, 2015.]

Sec. 23-9. —Case Management Conferencefor Expedited Process Track Cases[Repealed as of Jan. 1, 2015.]

Sec. 23-10. —Transfer to Regular Docket[Repealed as of Jan. 1, 2015.]

Sec. 23-11. —Offers of Judgment[Repealed as of Jan. 1, 2015.]

Sec. 23-12. —Trial of Cases on ExpeditedProcess Track[Repealed as of Jan. 1, 2015.]

Sec. 23-13. Granting of Complex LitigationStatus and AssignmentThe chief court administrator or the chief admin-

istrative judge of the civil division may designatea group of cases that have many parties and com-mon questions of law or fact as complex litigationcases and assign the cases to a single judgefor pretrial, trial, or both and, if appropriate, mayassign the cases to another judge or court officerfor settlement or mediation discussions.

(P.B. 1998.)

Sec. 23-14. —Powers of Judge Assigned inComplex Litigation CasesThe judge to whom complex litigation cases

have been assigned may stay any or all furtherproceedings in the cases, may transfer any or allfurther proceedings in the cases to the judicialdistrict where the judge is sitting, may hear allpretrial motions, and may enter any appropriateorder which facilitates the management of thecomplex litigation cases.

(P.B. 1998.)

Sec. 23-15. —Request for Complex Litiga-tion StatusAn attorney or judge may request the chief court

administrator to make an assignment pursuant to

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Section 23-13. The request shall be submitted inwriting to the chief court administrator and thechief administrative judge of the civil division.When an attorney makes such a request, theattorney shall serve a copy of the request on otherparties pursuant to Sections 10-12 through 10-17. Should the chief court administrator deem itappropriate to do so, the chief court administratormay solicit comments on the request by causinga notice to be published in the Connecticut LawJournal.

(P.B. 1998.)

Sec. 23-16. Foreclosure of MortgagesAt the time the plaintiff files a motion for judg-

ment of foreclosure, the plaintiff shall serve oneach appearing defendant, in accordance withSections 10-12 through 10-17, a copy of theappraisal report of the property being foreclosed.The motion for judgment shall contain a certifica-tion that such service was made.

(P.B. 1978-1997, Sec. 526.)

Sec. 23-17. —Listing of Law Days(a) In any action to foreclose a mortgage or lien,

any party seeking a judgment of strict foreclosureshall file, with the motion for judgment, a list indi-cating the order in which law days should beassigned to the parties to the action. The orderof the law days so indicated shall reflect the infor-mation contained in the plaintiff’s complaint, asthat information may have been modified by thepleadings. Objections to the order of law daysindicated on said list shall only be considered inthe context of a motion for determination of priorit-ies, which motion must be filed prior to the entryof judgment.

(b) Unless otherwise ordered by the judicialauthority at the time it renders the judgment ofstrict foreclosure, the following provisions shall bedeemed to be part of every such judgment:

(1) That, upon the payment of all of the sumsfound by the judicial authority to be due the plain-tiff, including all costs as allowed by the judicialauthority and taxed by the clerk, by any defendant,after all subsequent parties in interest have beenforeclosed, the title to the premises shall vestabsolutely in the defendant making such payment,subject to such unpaid encumbrances, if any, asprecede the interest of the redeeming defendant.

(2) That the defendants, and all persons claim-ing possession of the premises through any of thedefendants under any conveyance or instrumentexecuted or recorded subsequent to the date ofthe lis pendens or whose interest shall have beenthereafter obtained by descent or otherwise,deliver up possession of the premises to the plain-tiff or the defendant redeeming in accordance with


this decree, with stay of execution of ejectmentin favor of the redeeming defendant until one dayafter the time herein limited to redeem, and if allparties fail to redeem, then until the day followingthe last assigned law day.

(P.B. 1978-1997, Sec. 526A.)

Sec. 23-18. —Proof of Debt in Foreclosures(a) In any action to foreclose a mortgage where

no defense as to the amount of the mortgagedebt is interposed, such debt may be proved bypresenting to the judicial authority the original noteand mortgage, together with the affidavit of theplaintiff or other person familiar with the indebted-ness, stating what amount, including interest tothe date of the hearing, is due, and that there isno setoff or counterclaim thereto.

(b) No less than five days before the hearingon the motion for judgment of foreclosure, theplaintiff shall file with the clerk of the court andserve on each appearing party, in accordancewith Sections 10-12 through 10-17, a preliminarystatement of the plaintiff’s monetary claim.

(P.B. 1978-1997, Sec. 527.)

Sec. 23-19. —Motion for Deficiency Judg-ment(a) Whenever a deficiency judgment is claimed

in a foreclosure action, the party claiming suchjudgment shall file with the clerk of the court withinthe time limited by statute a written motion settingforth the facts relied on as the basis for the judg-ment, which motion shall be placed on the shortcalendar for an evidentiary hearing. Such hearingshall be held not less than fifteen days followingthe filing of the motion, except as the judicialauthority may otherwise order. At such hearingthe judicial authority shall hear the evidence,establish a valuation for the mortgaged propertyand shall render judgment for the plaintiff for thedifference, if any, between such valuation and theplaintiff’s claim. The plaintiff in any further actionupon the debt, note or obligation, shall recoveronly the amount of such judgment.

(b) Upon the motion of any party and for goodcause shown, the court may refer such motion toa judge trial referee for hearing and judgment.

(c) Not less than fifteen days prior to the hearingon the motion for deficiency judgment, the partyclaiming the deficiency judgment shall file with theclerk of the court and serve on each appearingparty, in accordance with Sections 10-12 through10-17, a preliminary computation of the debt, thename of any expert on whose opinion the partywill rely to prove the value of the property on thedate of vesting, and a statement of the party’sclaims as to the value. If any party intends to offerevidence contradicting the debt or the valuation

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of the property, such party shall file an objectionfive days before the hearing on the motion andshall disclose the name of any person who willtestify as to the value of the property.

(P.B. 1978-1997, Sec. 528.)

Sec. 23-20. Review of Civil ContemptNo person shall continue to be detained in a

correctional facility pursuant to an order of civilcontempt for longer than thirty days, unless atthe expiration of such thirty days such person ispresented to the judicial authority. On each suchpresentment, the contemnor shall be given anopportunity to purge himself or herself of the con-tempt by compliance with the order of the judicialauthority. If the contemnor does not so act, thejudicial authority may direct that the contemnorremain in custody under the terms of the order ofthe judicial authority then in effect, or may modifythe order if the interests of justice so dictate.

(P.B. 1978-1997, Sec. 528A.)

Sec. 23-21. Habeas CorpusExcept as otherwise provided herein, the proce-

dures set forth in Sections 23-22 through 23-42shall apply to any petition for a writ of habeascorpus which sets forth a claim of illegal confine-ment. Such procedures shall not apply to any peti-tion for a writ of habeas corpus brought todetermine the custody and visitation of childrenor brought by or on behalf of a person confinedin a hospital for mental illness.

(P.B. 1978-1997, Sec. 529.)

Sec. 23-22. —The PetitionA petition for a writ of habeas corpus shall be

under oath and shall state:(1) the specific facts upon which each specific

claim of illegal confinement is based and therelief requested;

(2) any previous petitions for the writ of habeascorpus challenging the same confinement and thedispositions taken thereon; and

(3) whether the legal grounds upon which thepetition is based were previously asserted at thecriminal trial, on direct appeal or in any previouspetition.


Sec. 23-23. —Return of NoncomplyingPetitionThe court may return any petition not in sub-

stantial compliance with the requirements of Sec-tion 23-22 with a description of how the petitionfails to comply with filing requirements and a state-ment indicating that a corrected petition may beresubmitted.

(P.B. 1978-1997, Sec. 529B.)


Sec. 23-24. —Preliminary Consideration ofJudicial Authority(a) The judicial authority shall promptly review

any petition for a writ of habeas corpus to deter-mine whether the writ should issue. The judicialauthority shall issue the writ unless it appears that:

(1) the court lacks jurisdiction;(2) the petition is wholly frivolous on its face; or(3) the relief sought is not available.(b) The judicial authority shall notify the peti-

tioner if it declines to issue the writ pursuant tothis rule.

(P.B. 1978-1997, Sec. 529C.)

Sec. 23-25. —Waiver of Filing Fees andCosts of ServiceThe judicial authority may waive the filing fee

and costs of service in accordance with Section8-2.

(P.B. 1978-1997, Sec. 529D.)

Sec. 23-26. —Appointment of CounselIn petitions arising from criminal matters, extra-

dition proceedings or delinquency matters, if thepetitioner has requested counsel, the judicialauthority shall refer the matter to the publicdefender for an investigation of indigence. If, aftersuch investigation, the judicial authority deter-mines that the petitioner is eligible for publicdefender services, the judicial authority shallappoint counsel in accordance with the provisionsof General Statutes § 51-296.

(P.B. 1978-1997, Sec. 529E.)

Sec. 23-27. —Venue for Habeas CorpusThe venue for habeas corpus matters shall be

in accordance with the general statutes. Transferor removal of the subject of the petition to anotherlocation shall not affect venue, provided that thesubject of the petition remains in the custody ofthe respondent.

(P.B. 1978-1997, Sec. 529F.)

Sec. 23-28. —Transfer of Habeas CorpusThe petition may be transferred to another judi-

cial district for good cause shown.(P.B. 1978-1997, Sec. 529G.)

Sec. 23-29. —DismissalThe judicial authority may, at any time, upon its

own motion or upon motion of the respondent,dismiss the petition, or any count thereof, if itdetermines that:

(1) the court lacks jurisdiction;(2) the petition, or a count thereof, fails to state

a claim upon which habeas corpus relief can begranted;

(3) the petition presents the same ground as aprior petition previously denied and fails to state

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new facts or to proffer new evidence not reason-ably available at the time of the prior petition;

(4) the claims asserted in the petition are mootor premature;

(5) any other legally sufficient ground for dis-missal of the petition exists.

(P.B. 1978-1997, Sec. 529H.)

Sec. 23-30. —The Return(a) The respondent shall file a return to the

petition setting forth the facts claimed to justifythe detention and attaching any commitmentorder upon which custody is based.

(b) The return shall respond to the allegationsof the petition and shall allege any facts in supportof any claim of procedural default, abuse of thewrit, or any other claim that the petitioner is notentitled to relief.

(P.B. 1978-1997, Sec. 529I.)

Sec. 23-31. —Reply to the Return(a) If the return alleges any defense or claim

that the petitioner is not entitled to relief, and suchallegations are not put in dispute by the petition,the petitioner shall file a reply.

(b) The reply shall admit or deny any allegationsthat the petitioner is not entitled to relief.

(c) The reply shall allege any facts and assertany cause and prejudice claimed to permit reviewof any issue despite any claimed proceduraldefault. The reply shall not restate the claims ofthe petition.

(P.B. 1978-1997, Sec. 529J.)

Sec. 23-32. —AmendmentsThe petitioner may amend the petition at any

time prior to the filing of the return. Following thereturn, any pleading may be amended with leaveof the judicial authority for good cause shown.

(P.B. 1978-1997, Sec. 529K.)

Sec. 23-33. —Request for a More SpecificStatementAny party may request a more specific state-

ment regarding a preceding pleading to obtain amore complete and particular statement of thefacts supporting each legal claim or to obtain anyother appropriate correction in the precedingpleading. Such request shall be deemed to havebeen granted by the judicial authority on the dateof the filing and shall be complied with by the partyto whom it is directed within thirty days of filing,unless within thirty days of filing the party to whomit is directed objects, setting forth, in concise fash-ion, the basis for the objection. A request for amore specific statement, and objection, may beruled upon by the judicial authority without oral


argument, unless the judicial authority determinesthat oral argument is necessary.

(P.B. 1978-1997, Sec. 529L.)

Sec. 23-34. —Summary Procedures forHabeas Corpus PetitionsThe judicial authority may establish such addi-

tional procedures as it determines will aid in thefair and summary disposition of habeas corpuspetitions, including, but not limited to, schedul-ing orders.

(P.B. 1978-1997, Sec. 529M.)

Sec. 23-35. —Schedule for Filing PleadingsUnless the judicial authority issues specific

scheduling orders, the following schedule shallapply:

(a) Amended Petition.(1) Transcript Necessary. If a transcript of prior

proceedings is necessary to pursue the petition,within thirty days after notice that the writ hasissued, or notice of appointment of counsel,whichever is later, the petitioner shall file a state-ment describing any transcript(s) ordered. Uponreceipt of the transcript(s), the petitioner shall filea notice of transcript receipt. Within sixty days ofreceipt of the transcript(s), the petitioner shall filean amended petition, or notice that the petitionwill not be amended.

(2) Transcript not Necessary. If a transcript isnot necessary to pursue the petition, within thirtydays after notice that the writ has issued, or noticeof appointment of counsel, whichever is later, thepetitioner shall file an amended petition or a noticethat the petition will not be amended.

(b) Return or Responsive Pleading. The returnor responsive pleading shall be filed within thirtydays of the filing of the amended petition or thenotice that the petition will not be amended.

(c) Reply. Any reply to the return shall be filedwithin thirty days after the filing of the return.

(d) The judicial authority may alter the time forfiling any pleading.

(P.B. 1978-1997, Sec. 529N.)

Sec. 23-36. —The Expanded RecordA party may, consistent with the rules of evi-

dence, offer as an exhibit, or the habeas courtmay take judicial notice of, the transcript and anyportion of the superior court, appellate court orsupreme court record or clerk’s file from the peti-tioner’s criminal matter which is the subject of thehabeas proceeding.

(P.B. 1978-1997, Sec. 529O.) (Amended June 12, 2015,to take effect Jan. 1, 2016.)

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Sec. 23-37. —Summary Judgment inHabeas CorpusAt any time after the pleadings are closed, any

party may move for summary judgment, whichshall be rendered if the pleadings, affidavits andany other evidence submitted show that there isno genuine issue of material fact between theparties requiring a trial and the moving party isentitled to judgment as a matter of law.

(P.B. 1978-1997, Sec. 529P.)

Sec. 23-38. —Discovery in Habeas Corpus(a) Discovery, as of right, is limited to:(1) A list of witnesses;(2) A statement of the subject matter upon

which any expert witness is expected to testify;(3) A statement of the opinions the expert is

expected to render and the ground for eachopinion.

(b) The parties may cooperatively engage ininformal discovery. The provisions of chapter 13,Discovery and Depositions of the rules of practice,do not apply to habeas corpus proceedings.

(c) Upon motion, the judicial authority may ordersuch other limited discovery as the judicial author-ity determines will enhance the fair and summarydisposal of the case.

(P.B. 1978-1997, Sec. 529Q.)

Sec. 23-39. —Depositions in Habeas Corpus(a) Upon leave of the judicial authority, the testi-

mony of any person may be taken by depositionif the testimony will be required at an evidentiaryhearing and it appears:

(1) the testimony may not be available at therequired evidentiary hearing because of physicalor mental illness or infirmity of the witness; or

(2) the witness resides out of this state andcannot be compelled to attend and give testi-mony; or

(3) the witness may otherwise be unavailableto testify at the required evidentiary hearing.

(b) The admissibility of deposition testimonyshall be governed by the rules of evidence.

(P.B. 1978-1997, Sec. 529R.)

Sec. 23-40. —Court Appearance in HabeasCorpus(a) The petitioner and, if they are not the same,

the subject of the petition, shall have the right tobe present at any evidentiary hearing and at anyhearing or oral argument on a question of lawwhich may be dispositive of the case, unless thepetitioner, or the subject of the petition, as thecase may be, waives such right or is excused bythe judicial authority for good cause shown. If thepetitioner is represented by counsel, the judicial


authority may, but is not required to, permit thepetitioner to be present at any other proceeding.

(b) Notwithstanding any other provision of theserules, in a petition arising from a claim regardingconditions of confinement the physical appear-ance in court of the petitioner or the subject ofthe petition may, in the discretion of the judicialauthority, be made by means of an interactiveaudiovisual device. Such audiovisual device mustoperate so that the petitioner, or the subject ofthe petition, his or her attorney, if any, and thejudicial authority can see and communicate witheach other simultaneously. In addition, a proce-dure by which the petitioner and his or her attorneycan confer in private must be provided.

(P.B. 1978-1997, Sec. 529S.) (Amended June 28, 1999,to take effect Jan. 1, 2000.)

Sec. 23-41. —Motion for Leave to WithdrawAppearance of Appointed Counsel(a) When counsel has been appointed pursuant

to Section 23-26, and counsel, after conscientiousinvestigation and examination of the case, con-cludes that the case is wholly frivolous, counselshall so advise the judicial authority by filing amotion for leave to withdraw from the case.

(b) At the time such motion is filed, counsel forthe petitioner shall also file all relevant portionsof the record of the criminal case, direct appealand any postconviction proceedings not alreadyfiled together with a memorandum of law outlining:

(1) the claims raised by the petitioner and anyother potential claims apparent in the case;

(2) the efforts undertaken to investigate the fac-tual basis and legal merit of each claim;

(3) the factual and legal basis for the conclusionthat the case is wholly frivolous.

(c) Any motion for leave to withdraw and sup-porting memorandum of law shall be filed underseal and provided to the petitioner. Counsel shallserve opposing counsel with notice that a motionfor leave to withdraw has been filed but shall notserve opposing counsel with a copy of the motionor any supporting memorandum of law. The peti-tioner shall have thirty days from the date themotion and supporting memorandum are filed tofile a response with the court.

(P.B. 1978-1997, Sec. 529T.) (Amended June 22, 2009, totake effect Jan. 1, 2010.)

Sec. 23-42. —Judicial Action on Motion forPermission to Withdraw Appearance(a) The presiding judge shall fully examine the

memoranda of law filed by counsel and the peti-tioner, together with any relevant portions of therecords of prior trial court, appellate and postcon-viction proceedings. If, after such examination, thepresiding judge concludes that the submissions

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establish that the petitioner’s case is wholly frivo-lous, such judge shall grant counsel’s motion towithdraw and permit the petitioner to proceed asa self-represented party. A memorandum shall befiled setting forth the basis for granting any motionunder Section 23-41.

(b) If, after the examination required in subsec-tion (a), the presiding judge does not concludethat the petitioner’s case is wholly frivolous, suchjudge may deny the motion to withdraw, mayappoint substitute counsel for further proceedingsunder Section 23-41, or may allow the withdrawalon other grounds and appoint new counsel to rep-resent the petitioner.

(P.B. 1978-1997, Sec. 529U.) (Amended June 22, 2009,to take effect Jan. 1, 2010.)

Sec. 23-43. Interpleader; PleadingsThe complaint in an interpleader action shall

allege only such facts as show that there areadverse claims to the fund or property.

(P.B. 1978-1997, Sec. 538.)

Sec. 23-44. —Procedure in InterpleaderNo trial on the merits of an interpleader action

shall be had until (1) an interlocutory judgment ofinterpleader shall have been entered; and (2) alldefendants shall have filed statements of claim,been defaulted or filed waivers. Issues shall beclosed on the claims as in other cases.


Sec. 23-45. Mandamus; Parties Plaintiff;Complaint(Amended June 24, 2016, to take effect Jan. 1, 2017.)(a) An action of mandamus may be brought

in an individual right by any person who claimsentitlement to that remedy to enforce a privateduty owed to that person, or by any state’s attor-ney to enforce a public duty.

(b) The plaintiff shall commence the action byserving and filing a writ and complaint that con-forms to the requirements of Section 8-1 of theserules. The prayer for relief shall include askingthat an order in the nature of a mandamus begranted. No affidavit to the truth of the allegationof the complaint is required.


HISTORY—2017: Prior to 2017, this section was titled:‘‘Mandamus; Parties Plaintiff.’’ In 2017, what had been thetext of this section was designated subsection (a) and, in whatis now subsection (a), ‘‘in a capacity as such’’ was deletedafter ‘‘attorney.’’ Also in 2017, what is now subsection (b)was added.

COMMENTARY—2017: The revised rule now includes allthe requirements for bringing a mandamus action in a singlerule but does not make any substantive changes to the


required form of the writ and complaint except for the elimina-tion of the language regarding a bond or recognizance. Withthe revisions to the statutes and rules eliminating the require-ment for a bond or a recognizance, that language is nolonger necessary.

Sec. 23-46. —Mandamus Complaint[Repealed as of Jan. 1, 2017.]HISTORY—2017: Prior to 2017, this section read: ‘‘The

writ and complaint in an original action shall be in the formused in, and served as are, ordinary civil actions, but with adistinct statement in the prayer for relief that an order in thenature of a mandamus is sought. No affidavit to the truth ofthe allegations of the complaint is required, and no bond orrecognizance is necessary other than that ordinarily used incivil actions; and no bond or recognizance shall be requiredwhere the action is brought by a state’s attorney.

‘‘(P.B. 1978-1997, Sec. 542.)’’COMMENTARY—2017: This rule has been repealed in

light of the revision to Section 23-45.

Sec. 23-47. —Mandamus Order in a Pend-ing Action(Amended June 24, 2016, to take effect Jan. 1, 2017.)Any party may move for an order in the nature

of a mandamus in a pending action. Any personclaimed to be charged with the duty of performingthe act in question may be summoned before thecourt by the service upon that person of a rule toshow cause.


HISTORY—2017: Prior to 2017, this section was titled:‘‘Mandamus Order in Aid of Pending Action.’’ Prior to 2017,this section read: ‘‘An order in the nature of a mandamus maybe made in aid of a pending action upon the application ofany party, and any person claimed to be charged with theduty of performing the act in question may be summonedbefore the court by the service upon that person of a rule toshow cause.’’

COMMENTARY—2017: The language of this section hasbeen revised to make it easier to understand. No substantivechanges are intended by these revisions.

Sec. 23-48. —Temporary Order of Manda-musThe plaintiff may attach to the complaint or sub-

sequently file a motion under oath for a temporaryorder of mandamus to be effective until the finaldisposition of the cause. Such a motion shall beaddressed to the court to which the action isreturnable. The judicial authority may, if it appearsupon hearing that the plaintiff will otherwise sufferirreparable injury, forthwith issue such an orderor it may issue a rule to show cause why it shouldnot be issued; but no such temporary order shallissue in any case, except where the state’s attor-ney is the plaintiff, until the plaintiff has given tothe opposing party a bond with surety, approvedby the judicial authority, that the plaintiff will

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answer all damages should the plaintiff fail to pros-ecute the action to effect, unless the judicialauthority shall find that the giving of such bond isunnecessary. Any party may at any time make amotion to the court that any such temporary orderbe dissolved.

(P.B. 1978-1997, Sec. 544.)

Sec. 23-49. —Pleadings in MandamusThe defendant may file any proper motion

directed to the allegations of the complaint, or,desiring to attack their legal sufficiency in law, amotion to strike, or a return in the form of ananswer, and further pleadings shall continue asin civil actions until issues are joined, providedthat, where an application for an order is made ina pending action, the extent to which and the timein which the respondent may plead shall be asdirected by the judicial authority.

(P.B. 1978-1997, Sec. 545.)

Sec. 23-50. Writs of ErrorIn every writ of error there must be a special

assignment of errors, in which the precise mattersof error in the proceedings in the superior courtrelied upon as grounds of relief must be set forth.No others will be heard or considered by the judi-cial authority.

(P.B. 1978-1997, Sec. 546.)

Sec. 23-51. Petition to Open Parking or Cita-tion Assessment(a) Any aggrieved person who wishes to appeal

a parking or citation assessment issued by a town,city, borough or other municipality shall file withthe clerk of the court within the time limited bystatute a petition to open assessment with a copyof the notice of assessment annexed thereto. Acopy of the petition with the notice of assessmentannexed shall be sent by the petitioner by certifiedmail to the town, city, borough or municipalityinvolved.

(b) Upon receipt of the petition, the clerk of thecourt, after consultation with the presiding judge,shall set a hearing date on the petition and shallnotify the parties thereof. There shall be no plead-ings subsequent to the petition.

(c) The hearing on the petition shall be de novo.There shall be no right to a hearing before a jury.

(P.B. 1978-1997, Sec. 546A.)

Sec. 23-52. Fact-Finding; Approval of FactFinders(a) Upon publication of notice requesting appli-

cations, any commissioner of the superior courtadmitted to practice in this state for at least fiveyears may submit his or her name to the office ofthe chief court administrator for approval to be


placed on a list of fact finders for one or morejudicial districts.

(b) The chief court administrator shall have thepower to designate fact finders for such term asthe chief court administrator may fix and, in hisor her discretion, to revoke such designation atany time.

(c) Applicants and fact finders must satisfacto-rily complete such training programs as may berequired by the chief court administrator.

(P.B. 1978-1997, Sec. 546C.)

Sec. 23-53. —Referral of Cases to FactFindersThe court, on its own motion, may refer to a fact

finder any contract action pending in the superiorcourt, except claims under insurance contracts foruninsured and or underinsured motorist coverage,in which money damages only are claimed, whichis based upon an express or implied promise topay a definite sum, and in which the amount, legalinterest or property in controversy is less than$50,000, exclusive of interest and costs. Suchcases may be referred to a fact finder only afterthe pleadings have been closed, a certificate ofclosed pleadings has been filed, and the time pre-scribed for filing a jury trial claim has expired.

(P.B. 1978-1997, Sec. 546D.) (Amended June 29, 1998,to take effect Jan. 1, 1999.)

Sec. 23-54. —Selection of Fact Finders; Dis-qualification(a) The fact finder shall be selected by the pre-

siding civil judge for the court location where thecase is pending.

(b) A fact finder may disqualify himself or herselfupon his or her own application or upon applica-tion of a party. Should a party object to a factfinder’s refusal to disqualify himself or herself forcause, such party may file an application for dis-qualification with the presiding civil judge in thecourt location where the case is pending.

(c) Should a fact finder disqualify himself orherself, the fact finder shall inform in writing thepresiding civil judge in the court location wherethe case is pending.

(P.B. 1978-1997, Sec. 546E.)

Sec. 23-55. —Hearing in Fact-FindingIn matters submitted to fact-finding a record

shall be made of the proceedings and the civilrules of evidence shall apply.

(P.B. 1978-1997, Sec. 546F.)

Sec. 23-56. —Finding of Facts(a) The findings of facts shall be in writing, and

in accordance with Section 19-8. The fact findershall include in the finding of facts the number ofdays on which hearings concerning that case

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were held. It shall be signed by the fact finder andshould include an award of damages, ifapplicable.

(b) The fact finder may accompany the findingof facts with a memorandum of decision includingsuch matters as the fact finder may deem helpfulin the decision of the case.

(c) Within 120 days of the completion of the factfinder’s hearing the fact finder shall file the findingof facts with the clerk of the court with sufficientcopies for all counsel.

(P.B. 1978-1997, Sec. 546G.)

Sec. 23-57. —Objections to Acceptance ofFinding of Facts(a) A party may file objections to the acceptance

of a finding of facts on the ground that conclusionsof fact stated in it were not properly reached onthe basis of the subordinate facts found, or thatthe fact finder erred in rulings on evidence or inother rulings, or that there are other reasons whythe finding of facts should not be accepted.

(b) Objections must be filed within fourteen daysafter the filing of the finding of facts.

(P.B. 1978-1997, Sec. 546H.)

Sec. 23-58. —Action by Judicial Authority(a) After review of the finding of facts and hear-

ing on any objections thereto, the judicial authoritymay take the following action: (1) render judgmentin accordance with the finding of facts; (2) rejectthe finding of facts and remand the case to thefact finder who originally heard the matter for arehearing on all or part of the finding of facts; (3)reject the finding of facts and remand the matterto another fact finder for rehearing; (4) reject thefinding of facts and revoke the reference; (5)remand the case to the fact finder who originallyheard the matter for a finding on an issue raisedin an objection which was not addressed in theoriginal finding of facts; or (6) take any other actionthe judicial authority may deem appropriate.

(b) The judicial authority may correct a findingof facts at any time before accepting it, upon thewritten stipulation of the parties.

(c) The fact finder shall not be called as a wit-ness, nor shall the decision of the fact finder beadmitted into evidence at another proceedingordered by a judicial authority.

(P.B. 1978-1997, Sec. 546J.)

Sec. 23-59. —Failure to Appear at Hearing(a) Where a party fails to appear at the hearing,

the fact finder shall nonetheless proceed with thehearing and shall make a finding of facts, as maybe just and proper under the facts and circum-stances of the action, which shall be filed with theclerk of the court pursuant to Section 23-56 for


consideration by the judicial authority pursuant toSection 23-58. If, pursuant to Section 23-57, theparty who failed to appear files an objection tothe acceptance of the finding of facts and theobjection is sustained by the judicial authority, thejudicial authority may require that party to pay tothe court an amount not greater than the totalfees then payable to the fact finder for servicesin the case.

(b) If all parties fail to appear at the hearing,the fact finder shall file a request with the courtto dismiss the action. If the judicial authority doesnot dismiss the action it may be heard by the factfinder upon further order of the judicial authority.Such order may provide for the payment by anyparty to the court of an amount not greater than$100.

(P.B. 1978-1997, Sec. 546K.)

Sec. 23-60. Arbitration; Approval of Arbi-trators(a) Upon publication of notice requesting appli-

cations, any commissioner of the superior courtadmitted to practice in this state for at least fiveyears, and who possesses civil litigation experi-ence may submit his or her name to the office ofthe chief court administrator for approval to beplaced on a list of arbitrators for one or morejudicial districts.

(b) The chief court administrator shall have thepower to designate arbitrators for such term asthe chief court administrator may fix and, in hisor her discretion, to revoke such designation atany time.

(c) Applicants and arbitrators must satisfactorilycomplete such training programs as may berequired by the chief court administrator.

(P.B. 1978-1997, Sec. 546M.) (Amended June 29, 1998,to take effect Jan. 1, 1999.)

Sec. 23-61. —Referral of Cases to Arbi-tratorsThe court, on its own motion, may refer to an

arbitrator any civil action in which, in the discretionof the court, the reasonable expectation of a judg-ment is less than $50,000, exclusive of interestand costs and in which a claim for a trial by juryand a certificate of closed pleadings have beenfiled. An award under this section shall not exceed$50,000, exclusive of legal interest and costs. Anyparty may petition the court to participate in thearbitration process hereunder.

(P.B. 1978-1997, Sec. 546N.) (Amended June 29, 1998,to take effect Jan. 1, 1999.)

Sec. 23-62. —Selection of Arbitrators; Dis-qualification(a) The arbitrator shall be selected by the pre-

siding civil judge for the court location in whichthe case is pending.

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(b) An arbitrator may disqualify himself or her-self upon his or her own application or upon appli-cation of a party. Should a party object to anarbitrator’s refusal to disqualify himself or herselffor cause, such party may file an application fordisqualification with the presiding civil judge in thecourt location where the case is pending.

(c) Should an arbitrator disqualify himself orherself, the arbitrator shall inform in writing thepresiding civil judge in the court location wherethe case is pending.

(P.B. 1978-1997, Sec. 546O.)

Sec. 23-63. —Hearing in ArbitrationIn matters submitted to arbitration no record

shall be made of the proceedings and the strictadherence to the civil rules of evidence shall notbe required.

(P.B. 1978-1997, Sec. 546P.) (Amended June 29, 1998,to take effect Jan. 1, 1999.)

Sec. 23-64. —Decision of Arbitrator(a) The arbitrator shall state in writing the deci-

sion on the issues in the case and the factualbasis of the decision. The arbitrator shall includein the decision the number of days on which hear-ings concerning that case were held.

(b) Within 120 days of the completion of thearbitration hearing the arbitrator shall file the deci-sion with the clerk of the court together with suffi-cient copies for all counsel.

(P.B. 1978-1997, Sec. 546Q.)

Sec. 23-65. —Failure to Appear at Hearingbefore Arbitrator(a) Where a party fails to appear at the hearing,

the arbitrator shall nonetheless proceed with thehearing and shall render a decision, which shallbe rendered as a judgment by the court. Suchjudgment may not be opened or set aside unlessa motion to open or set aside is filed within fourmonths succeeding the date on which notice wassent. If the judicial authority opens or sets asidethe judgment, it may resubmit the action to thearbitrator. Any order opening or setting aside thejudgment may be upon condition that the movingparty pay to the court an amount not greater thanthe total fees then payable to the arbitrator forservices in the case.

(b) If all parties fail to appear at the hearing,the arbitrator shall file a request with the court todismiss the action. If the judicial authority doesnot dismiss the action, it may be heard by thearbitrator upon further order of the judicial author-ity. Such order may provide for the payment byany party to the court of an amount not greaterthan $100.

(P.B. 1978-1997, Sec. 546R.) (Amended June 29, 1998,to take effect Jan. 1, 1999.)



Sec. 23-66. —Claim for Trial De Novo in Arbi-tration; Judgment(a) A decision of the arbitrator shall become a

judgment of the court if no claim for a trial de novois filed in accordance with subsection (c).

(b) A decision of the arbitrator shall becomenull and void if a claim for a trial de novo is filedin accordance with subsection (c).

(c) A claim for a trial de novo must be filed withthe court clerk within twenty days after the depositof the arbitrator’s decision in the United Statesmail, as evidenced by the postmark. Thirty daysafter the filing of a timely claim for a trial de novothe court may, in its discretion, schedule the mat-ter for a trial within thirty days thereafter. Only aparty who appeared at the arbitration hearing mayfile a claim for a trial de novo. The decision of thearbitrator shall not be admissible in any proceed-ing resulting after a claim for a trial de novo pursu-ant to this section or from a setting aside of anaward pursuant to General Statutes § 52-549aa.

(d) The judicial authority may refer any proceed-ing resulting from the filing of a demand for a trialde novo under subsection (c) of this section to ajudge trial referee without the consent of the par-ties, and said judge trial referee shall have andexercise the powers of the superior court inrespect to trial, judgment and appeal in the case,including a judgment of $50,000 or more.

(P.B. 1978-1997, Sec. 546S.) (Amended June 29, 1998,to take effect Jan. 1, 1999; subsection (c) was amended June29, 1998, on an interim basis, pursuant to the provisions ofSection 1-9 (c), to take effect Jan. 1, 1999; amended June28, 1999, to take effect Jan. 1, 2000; amended June 24, 2002,to take effect Jan. 1, 2003.)


Sec. 23-67. Alternative Dispute ResolutionThe judicial authority may, upon stipulation of

the parties, refer a civil action to a program ofalternative dispute resolution agreed to by the par-ties. The judicial authority shall set a time limit onthe duration of the referral, which shall not exceedninety days. The referral of an action to such aprogram will stay the time periods within whichall further pleadings, motions, requests, discoveryand other procedures must be filed or undertakenuntil such time as the alternative dispute resolu-tion process is completed or the time period setby the judicial authority has elapsed, whicheveroccurs sooner. Such referred action shall beexempt from the docket management programduring the time of the referral.

(P.B. 1978-1997, Sec. 546T.) (Amended June 24, 2002, totake effect Jan. 1, 2003.)

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Sec. 23-68. Where Presence of Person MayBe by Means of an Interactive AudiovisualDevice(a) Upon motion of any party, and at the discre-

tion of the judicial authority, any party or counselmay appear by means of an interactive audiovi-sual device at any proceeding in any civil matter,including all proceedings within the jurisdiction ofthe small claims section, or any family matter,including all proceedings within the jurisdiction ofthe family support magistrate division.

(b) Upon order of the judicial authority, an incar-cerated individual may be required to appear bymeans of an interactive audiovisual device in anycivil or family matter.

(c) For purposes of this section, an interactiveaudiovisual device must operate so that any partyand his or her counsel, if any, and the judicialauthority can see and communicate with eachother simultaneously. In addition, a procedure bywhich an incarcerated individual and his or hercounsel can confer in private must be provided.

(d) Unless otherwise required by law or unlessotherwise ordered by the judicial authority, priorto any proceeding in which a person appears bymeans of an interactive audiovisual device, copiesof all documents which may be offered at theproceeding shall be provided to all counsel andself-represented parties in advance of the pro-ceeding.

(e) Nothing contained in this section shall beconstrued to limit the discretion of the judicialauthority to deny a request to appear by meansof an interactive audiovisual device where, in thejudicial authority’s judgment, the interest of justiceor the presentation of the case require that theparty or counsel appear in person.

(f) For purposes of this section, judicial authorityincludes family support magistrates and magis-trates appointed by the chief court administratorpursuant to General Statutes § 51-193l.

(Adopted Dec. 19, 2006, to take effect March 12, 2007;amended June 24, 2016, to take effect Jan. 1, 2017.)

HISTORY—2017: Prior to 2017, subsection (a) read: ‘‘Theappearance of an incarcerated individual for any proceedingset forth in subsection (b) of this section may, in the discretionof the judicial authority on motion of a party or on its ownmotion, be made by means of an interactive audiovisualdevice. Such audiovisual device must operate so that suchperson and his or her attorney, if any, and the judicial authoritycan see and communicate with each other simultaneously. Inaddition, a procedure by which such person and his or herattorney can confer in private must be provided. For purposesof this section, judicial authority includes family support magis-trates.’’

Prior to 2017, subsection (b) read: ‘‘Proceedings in which anincarcerated individual may appear by means of an interactiveaudiovisual device are limited to civil and family (1) proceed-ings prior to trial including, but not limited to, short calendar,


prejudgment remedy, lis pendens, mechanics lien and otherdiscovery and procedural hearings, case evaluation confer-ences, pretrials, alternative dispute resolutions, status confer-ences, trial management conferences, (2) hearings on posttrialmotions and (3) matters within the jurisdiction of the familysupport magistrate division.’’

In 2017, what is now subsection (c) was added, what hadbeen subsection (c) was designated subsection (d), and whathad been subsection (d) was amended and designated sub-section (e). Prior to 2017, what had been subsection (d) read:‘‘Nothing contained in this section shall be construed to estab-lish a right for any incarcerated person to appear by meansof an interactive audiovisual device.’’ Also in 2017, what isnow subsection (f) was added.

COMMENTARY—2017: The expansion of the use of inter-active audiovisual device (IAD) is an outgrowth of the judicial

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branch’s public service and trust commission and the accessto justice commission. In part, the use and expansion of IADsupports one of the judicial branch’s primary goals to increasethe efficiency of case management and court practices andto assess, develop and support projects and programs thatexpand access to the courts for all people.

IAD technology allows the judicial branch to increase court-house security and decrease the safety risks to the public andstaff when transporting inmates by permitting inmate participa-tion in court proceedings via IAD. Additional benefits are alsorealized through cost reductions associated with travelexpenses and staffing.

The flexibility afforded by the use of IAD is also beneficial;hearings, conferences and meetings via Internet hookup canbe quickly arranged allowing judges to hear more casesmore easily.


CHAPTER 24

SMALL CLAIMS

Sec. Sec.24-1. In General24-2. Allowable Actions24-3. Institution of Actions; Electronic Filing24-4. Where Claims Shall Be Filed24-5. Venue24-6. Definition of ‘‘Plaintiff’’ and ‘‘Representative’’24-7. What Constitutes File24-8. Institution of Small Claims Actions; Beginning of

Action24-9. —Preparation of Writ24-10. —Service of Small Claims Writ and Notice of Suit24-11. —Further Service of Claim [Repealed]24-12. —Answer Date24-13. —Alternative Method of Commencing Action

[Repealed]24-14. —Notice of Time and Place of Hearing24-15. —Scheduling of Hearings; Continuances24-16. Answers; Requests for Time to Pay24-17. —Prohibition of Certain Filings24-18. —Plaintiff to Inquire as to Answer Filed [Repealed]


Sec. 24-1. In General(a) The general purpose of these rules is to

secure the prompt and inexpensive hearing anddetermination of small claims by simplified proce-dure designed to allow the public maximumaccess to and use of the court in connection withsuch claims. Any comments as to the operationof the small claims court should be directed to theoffice of the chief court administrator.

(b) All proceedings shall be simple and informal.The services of an attorney at law are permissiblebut not obligatory. Notice to the representative fora party shall be equivalent to notice to such party.


Sec. 24-2. Allowable Actions(Amended June 26, 2000, to take effect Jan. 1, 2001.)These rules shall apply to actions claiming

money damages only, including actions againsta nonresident defendant if he or she owns real orpersonal property in this state and actions againstin-state and out-of-state corporations. Actions oflibel and slander are not permitted under theserules. In no case shall the damages claimedexceed the jurisdictional monetary limit fixed bystatute, including attorney’s fees and other costsof collection, but exclusive of interest and costs.


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24-19. —Claim of Setoff or Counterclaim24-20. —Amendment of Claim or Answer, Setoff or Coun-

terclaim; Motion to Dismiss24-20A. —Request for Documents; Depositions24-21. Transfer to Regular Docket24-22. Hearings in Small Claims Actions; Subpoenas24-23. —Procedure24-24. Judgments in Small Claims; When Presence of the

Plaintiff or Representative is Not Required forEntry of Judgment

24-25. —Failure of the Defendant to Answer24-26. —Failure of a Party to Appear before the Court

when Required24-27. —Dismissal for Failure to Obtain Judgment24-28. —Finality of Judgments and Decisions24-29. —Decision in Small Claims; Time Limit24-30. —Satisfying Judgment24-31. —Opening Judgment; Costs24-32. Execution in Small Claims Actions24-33. Costs in Small Claims

Sec. 24-3. Institution of Actions; ElectronicFiling(Amended June 21, 2010, to take effect Jan. 1, 2011.)Actions may be instituted at the option of the

claimant by the procedure herein provided for, orby writ and complaint returnable to the regularcivil docket of the superior court. Actions may alsobe instituted and papers filed, signed or verifiedby electronic means in the manner prescribed inSection 4-4.


Sec. 24-4. Where Claims Shall Be FiledClaims shall be filed in the clerk’s office serving

the small claims area designated by the chief courtadministrator where venue exists, as set forth inGeneral Statutes §§ 51-345, 51-346 and 51-347,except that claims concerning housing matters,as defined by General Statutes § 47a-68, whichare filed in a judicial district in which a housingsession has been established, shall be filed withthe clerk of the housing session for that judicialdistrict. Claims may be filed electronically pursu-ant to Section 24-3. The plaintiff shall include inthe statement of the claim a statement of factsthat provides the basis for venue in accordancewith General Statutes §§ 51-345 (d), 51-345 (g)and such other statutes as are applicable.



Sec. 24-5. VenueThe venue for small claims shall be in accord-

ance with the General Statutes.(P.B. 1978-1997, Sec. 551.)

Sec. 24-6. Definition of ‘‘Plaintiff’’ and ‘‘Rep-resentative’’(Amended June 21, 2010, to take effect Jan. 1, 2011.)

(a) Except as hereinafter limited, the word ‘‘rep-resentative’’ as used in this chapter shall mean:an attorney at law; one of a number of partners;one of a number of joint plaintiffs acting for all; anofficer, manager or local manager of a corpora-tion; an employee of an unincorporated businesswhich is not a partnership; the commissioner ofadministrative services or his or her authorizedrepresentative while acting in an official capacity;the chief court administrator or his or her author-ized representative while acting in an officialcapacity. The word ‘‘representative’’ shall notmean a consumer collection agency as definedin chapter 669 of the General Statutes or an indi-vidual acting pursuant to a power of attorney.

(b) The word ‘‘plaintiff’’ as used in this chaptershall include ‘‘representative’’ as defined in sub-section (a), except where otherwise indicated.

(c) It is prohibited for one who is not an attorneyat law to receive a fee for the representation ofany party.


Sec. 24-7. What Constitutes File(Amended June 26, 2000, to take effect Jan. 1, 2001.)

The file shall consist of the small claims writ andnotice of suit, documents relating to the service ofthe writ, allowable pleadings and motions, anddocuments relating to postjudgment proceedings.All continuances granted pursuant to Section 24-15 shall be documented.


Sec. 24-8. Institution of Small ClaimsActions; Beginning of ActionThe signature by the plaintiff, or representative,

on the small claims writ and notice of suit, andthe filing of the writ with the clerk, together withthe payment of all required fees, shall be deemedthe beginning of the action. Any plaintiff or repre-sentative who wishes to obtain a judgment pursu-ant to the provisions of Section 24-24 shall alsofile the affidavits required by that section.


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Sec. 24-9. —Preparation of WritThe small claims writ and notice of suit shall be

on a form prescribed by the office of the chiefcourt administrator. The plaintiff, or representa-tive, shall state the nature and amount of the claimon the writ in concise, untechnical form and, if theclaim seeks collection of a consumer debt, shallstate the basis upon which the plaintiff claims thatthe statute of limitations has not expired. The writis to be signed by either the plaintiff, or representa-tive, under oath. The oath shall provide that thesigner has read the claim, and that to the bestof the signer’s knowledge, information and beliefthere is good ground to support it. If the claim ismore than a convenient length for entry on thewrit in full, the plaintiff, or representative, shallattach additional pages as needed. The plaintiff,or representative, shall also state on the writ theplaintiff’s and the defendant’s place of residenceor other address. At the time of filing any writ, theplaintiff, or attorney shall verify the defendant’saddress. Such verification shall include confirma-tion by at least one of the following methods madeduring the six months prior to the filing of the writ:(1) municipal record verification (e.g., from a streetlist or tax records); (2) verification from the depart-ment of motor vehicles; (3) receipt of correspon-dence from the defendant with that returnaddress; (4) other verification, specificallydescribed by the plaintiff, from the defendant thatthe address is current; (5) the mailing by first classmail, at least four weeks prior to the filing of thesmall claims action, of a letter to the defendantat such address, which letter has not beenreturned by the United States Postal Service. Theplaintiff shall state under oath in the writ whichmethod of verification was employed within thelast six months, the date of verification, and thatthe method confirmed the accuracy of the addresssubmitted. No default judgment shall enter in theabsence of such verification or if it is apparentthat the defendant did not reside at the addressat the time of service.


Sec. 24-10. —Service of Small Claims Writand Notice of Suit(Amended June 26, 2000, to take effect Jan. 1, 2001.)(a) The plaintiff, or representative, shall cause

service of the writ and notice of suit separatelyon each defendant by priority mail with deliveryconfirmation, by certified mail with return receiptrequested or with electronic delivery confirmation,by a nationally recognized courier service provid-ing delivery confirmation, or by a proper officer inthe manner in which a writ of summons is served


in a civil action. The plaintiff, or representative,shall include any information required by the officeof the chief court administrator. A statement ofhow service has been made, together with thedelivery confirmation or return receipt or electronicdelivery confirmation and the original writ andnotice of suit shall be filed with the clerk. The writand notice of suit and the statement of serviceshall be returned to the court not later than onemonth after the date of service.

(b) For each defendant which is an out-of-statebusiness entity, the plaintiff shall cause serviceof the writ and notice of suit and answer form tobe made in accordance with the General Statutes.The officer lawfully empowered to make serviceshall make return of service to the court. The clerkshall document the return of service.

(c) Upon receipt of the writ and accompanyingdocuments, the clerk shall set an answer dateand send notice to all plaintiffs or their representa-tives of the docket number and answer date. Theclerk will send an answer form that includes thedocket number and answer date to each defend-ant at the address provided by the plaintiff.


Sec. 24-11. —Further Service of Claim[Repealed as of Jan. 1, 2011.]

Sec. 24-12. —Answer DateThe answer date shall not be less than fifteen

nor more than forty-five days after the writ andaccompanying documents are filed in the court.


Sec. 24-13. —Alternative Method of Com-mencing Action[Repealed as of Jan. 1, 2011.]

Sec. 24-14. —Notice of Time and Place ofHearingWhenever a hearing is scheduled, the clerk

shall send to each party or representative a noticeof the time and place set for hearing. This shallinclude the street address of the court, a tele-phone number for inquiries, and the room numberor other information sufficient to describe theplace where the hearing will be held.


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Sec. 24-15. —Scheduling of Hearings; Con-tinuances(a) A hearing shall be scheduled not less than

six and not more than forty-five days after theanswer date.

(b) Continuances(1) In any case where the plaintiff claims preju-

dice because of an unexpected defense or coun-terclaim or where either party shows good causetherefor, the judicial authority may postpone thehearing of any claim upon such terms as the judi-cial authority may order.

(2) A new hearing shall be scheduled withinninety days of the date set for the hearing whichwas postponed.

(3) Requests for continuances shall be madein writing to the clerk and shall state the reasonstherefor. The party requesting the continuanceshall first attempt to notify the other party of therequest and shall include in the request whensuch notice was given and whether the other partyagreed to the request. Requests for a continuancemade prior to the scheduled hearing date shall bedecided by the clerk. Requests for a continuancemade on the scheduled date shall be decided bythe judicial authority. All requests shall be actedon as soon as possible. Oral requests for continu-ance shall be permitted by the clerk only inextraordinary circumstances.

(4) The clerk shall notify all parties of the deci-sion on any request for continuance and of thenew hearing date.


Sec. 24-16. Answers; Requests for Time toPay(Amended June 26, 2000, to take effect Jan. 1, 2001.)(a) A defendant, unless the judicial authority

shall otherwise order, shall be defaulted and judg-ment shall enter in accordance with the provisionsof Section 24-24, unless such defendant shall,personally or by representative, not later than theanswer date, file an answer or file a motion totransfer pursuant to Section 24-21. The answershould state fully and specifically, but in conciseand untechnical form, such parts of the claim asare contested, and the grounds thereof, providedthat an answer of general denial shall be sufficientfor purposes of this section. Each defendant shallsend a copy of the answer to each plaintiff andshall certify on the answer form that the defendanthas done so, including the address(es) to whicha copy has been mailed. Upon the filing of ananswer, the clerk shall set the matter down forhearing by the judicial authority.


(b) A defendant who admits the claim butdesires time in which to pay may state that factin the answer, with reasons to support thisrequest, on or before the time set for answering,and may suggest a method of payment which heor she can afford. The request for a proposedmethod of payment shall be considered by thejudicial authority in determining whether thereshall be a stay of execution to permit deferredpayment or an order of payment. The judicialauthority in its discretion may require that a hear-ing be held concerning such request.


Sec. 24-17. —Prohibition of Certain Filings(Amended June 21, 2010, to take effect Jan. 1, 2011.)No filings other than those provided for in this

chapter shall be permitted without permission ofthe judicial authority.


Sec. 24-18. —Plaintiff to Inquire as toAnswer Filed[Repealed as of Jan. 1, 2001.]

Sec. 24-19. —Claim of Setoff or Coun-terclaimThe defendant, or representative may claim any

setoff or counterclaim within the jurisdiction of thesmall claims court. Such written setoff or counter-claim may be filed at any time on or before theanswer date or upon the granting of a motionto open. Upon the making of such claim by thedefendant, the clerk shall give notice to the plaintiffby first class mail, of the setoff or counterclaimand shall notify the parties of the new answerdate. The defendant’s claim shall be answeredwithin the time and in the manner provided bySection 24-16. The original claim, and the claim ofsetoff or counterclaim, shall be deemed one case.


Sec. 24-20. —Amendment of Claim orAnswer, Setoff or Counterclaim; Motion toDismiss(Amended June 26, 2000, to take effect Jan. 1, 2001.)

The judicial authority may at any time allowany claim or answer, setoff or counterclaim to beamended. A party may challenge jurisdiction byway of a motion to dismiss.


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Sec. 24-20A. —Request for Documents;DepositionsA party may request from the opposing party

documents, or copies thereof, that are necessaryor desirable for the full presentation of the case.The party requesting such documents, or copiesthereof, shall make the request directly to theopposing party or the party’s representative.When a party refuses to honor such request, therequesting party may bring the request to the judi-cial authority’s attention, either orally or in writing,for a decision. No deposition shall be taken exceptby order of the judicial authority.


Sec. 24-21. Transfer to Regular Docket(a) A case duly entered on the small claims

docket of a small claims area or housing sessioncourt location shall be transferred to the regulardocket of the superior court or to the regular hous-ing docket, respectively, if the following conditionsare met:

(1) The defendant, or the plaintiff if the defend-ant has filed a counterclaim, shall file a motion totransfer the case to the regular docket. Thismotion must be filed on or before the answer datewith certification of service pursuant to Section10-12 et seq. If a motion to open claiming lack ofactual notice is granted, the motion to transferwith accompanying documents and fees must befiled within fifteen days after the notice grantingthe motion to open was sent.

(2) The motion to transfer must be accompaniedby (A) a counterclaim in an amount greater thanthe jurisdiction of the small claims court; or (B) anaffidavit stating that a good defense exists to theclaim and setting forth with specificity the natureof the defense, or stating that the case has beenproperly claimed for trial by jury.

(3) The moving party shall pay all necessarystatutory fees at the time the motion to transferis filed, including any jury fees if a claim for trialby jury is filed.

(b) When a defendant or plaintiff on a counter-claim has satisfied one of the conditions of sub-section (a) (2) herein, the motion to transfer tothe regular docket shall be granted by the judicialauthority, without the need for a hearing.

(c) A case which has been properly transferredshall be transferred to the docket of the judicialdistrict which corresponds to the venue of thesmall claims matter, except that a housing caseproperly transferred shall remain in or be trans-ferred to the housing session and be placed upon


the regular housing docket. A case may be consol-idated with a case pending in any other clerk’soffice of the superior court.

(d) When a case is transferred from the smallclaims docket to the regular docket of the superiorcourt or to the regular housing docket, the appear-ance entered in the small claims case of an attor-ney at law and of a self-represented party as anindividual shall be entered on the appropriatedocket of the superior court. Unless otherwiseordered, when a case is transferred from the smallclaims docket to the regular docket of the superiorcourt or to the regular housing docket, the appear-ance of any representative that was recognizedin the small claims case, other than an attorneyat law or a self-represented party as an individual,shall be entered on the appropriate docket of thesuperior court for notice purposes only and notas a representative of any party in the case.


HISTORY—2017: In 2017, subsection (d) was added.COMMENTARY—2017: Practice Book § 24-6 defines the

word ‘‘representative’’ as including many individuals who, oncethe case is transferred to the regular docket of the superiorcourt or the regular housing docket, are not authorized torepresent any party in the case. The amendment to this sectionis intended to clarify that situation and to provide appropriatenotice to those individuals who were recognized as representa-tives in the small claims case but who will not be recognizedas such in the superior court.

Sec. 24-22. Hearings in Small ClaimsActions; SubpoenasSubpoenas, if requested, shall be issued by the

clerk without fee, and may be issued upon theclerk’s own motion or by order of the judicialauthority. The party requesting the subpoena shallpay the fees for service and witness fees. Anapplication for issuance of subpoena shall not berequired in small claims matters.


Sec. 24-23. —ProcedureWitnesses shall be sworn; but the judicial

authority shall conduct the hearing in such orderand form and with such methods of proof as itdeems best suited to discover the facts and todetermine the justice of the case in accordancewith substantive law.

(P.B. 1978-1997, Sec. 575.)

Sec. 24-24. Judgments in Small Claims;When Presence of the Plaintiff or Represen-tative is Not Required for Entry of Judgment(a) In any action based on an express or implied

promise to pay a definite sum and claiming only

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liquidated damages, which may include interestand reasonable attorney’s fees, if the defendanthas not filed an answer by the answer date andthe judicial authority has not required that a hear-ing be held concerning any request by the defend-ant for more time to pay, the judicial authority mayrender judgment in favor of the plaintiff withoutrequiring the presence of the plaintiff or represen-tative before the court, provided the plaintiff hascomplied with the provisions of this section andSection 24-8. Nothing contained in this sectionshall prevent the judicial authority from requiringthe presence of the plaintiff or representativebefore the court prior to rendering any such defaultand judgment if it appears to the judicial authoritythat additional information or evidence is requiredprior to the entry of judgment.

(b) In order for the judicial authority to renderany judgment pursuant to this section at the timeset for entering a judgment whether by default,stipulation or other method, the following affidavitsmust have been filed by the plaintiff:

(1) An affidavit of debt signed by the plaintiff orrepresentative who is not the plaintiff’s attorney.A small claims writ and notice of suit signed andsworn to by the plaintiff or representative who isnot the plaintiff’s attorney shall be considered anaffidavit of debt for purposes of this section onlyif it sets forth either the amount due or the principalowed as of the date of the writ and contains anitemization of interest, attorney’s fees and otherlawful charges. Any plaintiff claiming interest shallseparately state the interest and shall specify thedates from which and to which interest is com-puted, the rate of interest, the manner in which itwas calculated and the authority upon which theclaim for interest is based. In those matters involv-ing the collection of credit card and other debtowed to a financial institution and subject to fed-eral requirements for the charging off of accounts,the federally recognized charge-off balance maybe treated as the ‘‘principal’’ for purposes of thissection and itemization regarding such debt isrequired only from the date of the charge-off bal-ance. Nothing in this section shall prohibit a mag-istrate from requiring further documentation.

(A) If the instrument on which the contract isbased is a negotiable instrument or assigned con-tract, the affidavit shall state that the instrumentor contract is now owned by the plaintiff and acopy of the executed instrument shall be attachedto the affidavit. If the plaintiff is not the originalparty with whom the instrument or contract wasmade, the plaintiff shall either (i) attach all bills ofsale back to the original creditor and swear to itspurchase of the debt from the last owner in itsaffidavit of debt while also referencing the


attached chain of title in the affidavit of debt or (ii)in the affidavit of debt, recite the names of all priorowners of the debt with the date of each priorsale, and also include the most recent bill of salefrom the plaintiff’s seller and swear to its purchaseof the debt from its seller in the affidavit of debt.If applicable, the allegations shall comply withGeneral Statutes § 52-118.

(B) The affidavit shall simply state the basisupon which the plaintiff claims the statute of limita-tions has not expired.

(C) If the plaintiff has claimed any lawful feesor charges based on a provision of the contract,the plaintiff shall attach to the affidavit of debt acopy of a portion of the contract containing theterms of the contract providing for such fees orcharges and the amount claimed.

(D) If a claim for a reasonable fee for an attorneyat law is made, the plaintiff shall include in theaffidavit the reasons for the specific amountrequested. Any claim for reasonable fees for anattorney at law must be referred to the judicialauthority for approval prior to its inclusion in anydefault judgment.

(2) A military affidavit as required by Section17-21.


Sec. 24-25. —Failure of the Defendant toAnswerIf the defendant does not file an answer by the

answer date, a notice of default shall be sent toall parties or their representatives and if the casedoes not come within the purview of Section 24-24, the clerk shall set a date for hearing, and thejudicial authority shall require the presence of theplaintiff or representative. Notice of the hearingshall be sent to all parties or their representatives.If a defendant files an answer at any time beforea default judgment has been entered, includingat the time of a scheduled hearing in damages,the default shall be vacated automatically. If theanswer is filed at the time of a hearing in damages,the judicial authority shall allow the plaintiff a con-tinuance if requested by the plaintiff, or represen-tative.


Sec. 24-26. —Failure of a Party to Appearbefore the Court when Required(a) If the plaintiff or representative fails to

appear before the court on the hearing date, thejudicial authority may dismiss the claim for wantof prosecution, render a finding on the merits for

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the defendant or make such other disposition asmay be proper.

(b) If the defendant fails to appear before thecourt at any time set for hearing, the judicialauthority may render judgment in favor of theplaintiff based on such proofs as it deems neces-sary to establish the amount due under the claim,or make such other disposition as may be proper,provided that the plaintiff has appeared at thehearing.

(P.B. 1978-1997, Sec. 579.)

Sec. 24-27. —Dismissal for Failure toObtain JudgmentDuring the months of January and July of each

year, small claims cases which, within one yearfrom the date of the institution of the action, havenot gone to judgment may be dismissed upon theorder of the chief court administrator.


Sec. 24-28. —Finality of Judgments andDecisionsExcept as provided in Section 24-31, the judg-

ments and decisions rendered in the small claimssession are final and conclusive. (See GeneralStatutes § 51-197a.)

(P.B. 1978-1997, Sec. 581.)

Sec. 24-29. —Decision in Small Claims;Time Limit(Amended June 26, 2000, to take effect Jan. 1, 2001.)(a) A written decision stating the reasons for

the decision shall be required in matters in whicha contested hearing is held, in which a counter-claim is filed or in which a judgment is entered inan amount other than the amount claimed. Noth-ing in this section precludes the judicial authorityfrom filing a written decision in any matter whensuch judicial authority deems it appropriate.

(b) Judgments shall be rendered no later thanforty-five days from the completion of the proceed-ings unless such time limit is waived in writing bythe parties or their representatives. The judgmentof the judicial authority shall be recorded by theclerk and notice of the judgment and written deci-sion shall be sent by mail or electronic deliveryto each party or representative, if any.


Sec. 24-30. —Satisfying Judgment(a) The judicial authority may order that the

judgment shall be paid to the prevailing party ata certain date or by specified installments. Unless


otherwise ordered, the issue of execution andother supplementary process shall be stayed dur-ing compliance with such order. Such stay maybe modified and vacated at any time for goodcause. The stay is automatically lifted by a defaultin postjudgment court-ordered payments by thejudgment debtor.

(b) When the judgment is satisfied in a smallclaims action, the party recovering the judgmentshall file a written notice thereof within ninety dayswith the clerk who shall record the judgment assatisfied, identifying the name of the party and thedate. An execution returned fully satisfied shallbe deemed a satisfaction of judgment and thenotice required in this section shall not be filed.The judicial authority may, upon motion, make adetermination that the judgment has been sat-isfied.


Sec. 24-31. —Opening Judgment; Costs(a) The judicial authority may, upon motion, and

after such notice by mail, or otherwise as it mayorder, open any judgment rendered under thisprocedure for lack of actual notice to a party, or,within four months from the date thereof, for anyother cause that the judicial authority may deemsufficient, and may stay and supersede execution;except that the judicial authority may, for the rea-sons indicated above, open any judgment ren-dered by default at any time within four monthssucceeding the date upon which an execution waslevied. The judicial authority may also order therepayment of any sum collected under such judg-ment and may render judgment and issue execu-tion therefor. Costs in an amount fixed by thejudicial authority and not exceeding $100 may beawarded, in the discretion of the judicial authority,for or against either party to a motion to open thejudgment, and judgment may be rendered andexecution may be issued therefor; and any actionby the judicial authority may be conditioned uponthe payment of such costs or the performance ofany proper condition.

(b) When a judgment has been rendered aftera contested hearing on the merits, a motion to

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open shall be scheduled for hearing only uponorder of the judicial authority.


Sec. 24-32. Execution in Small ClaimsActions(a) Pursuant to the General Statutes, the judg-

ment creditor or the representative of the judg-ment creditor may file with the court a writtenapplication on forms prescribed by the office ofthe chief court administrator for an execution tocollect an unsatisfied money judgment.

(b) Service of an initial set of interrogatories,on forms prescribed by the office of the chief courtadministrator relevant to obtaining satisfaction ofa small claims money judgment shall be made bysending the interrogatories by certified mail, withreturn receipt requested or with electronic deliveryconfirmation, to the person from whom discoveryis sought.


Sec. 24-33. Costs in Small ClaimsThe actual legal disbursements of the prevailing

party for entry fee, witness’ fees, fees for copies,officers’ fees, and costs for service shall beallowed as costs, including any statutory costs.The recording fee paid for filing a judgment lienshall also be added to the judgment amount. Thecosts paid as an application fee for any executionon a money judgment shall be taxed by the clerkupon the issuance of an execution. No other costsshall be allowed either party except by specialorder of the judicial authority. The judicial authorityshall have power in its discretion to award costs, ina sum fixed by the judicial authority, not exceeding$100 (exclusive of such cash disbursements, orin addition thereto) against any party, whether theprevailing party or not, who has set up a frivolousor vexatious claim, defense or counterclaim, orhas made an unfair, insufficient or misleadinganswer, or has negligently failed to be ready fortrial, or has otherwise sought to hamper a partyor the judicial authority in securing a speedy deter-mination of the claim upon its merits, and it mayrender judgment and issue execution therefor, orset off such costs against damages or costs, asjustice may require. In no case shall costs exceedthe amount of the judgment.


SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-1

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSCHAPTER 25

GENERAL PROVISIONS

Sec. Sec.25-1. Definitions Applicable to Proceedings on Family

Matters25-2. Complaints for Dissolution of Marriage or Civil

Union, Legal Separation, or Annulment25-2A. Premarital and Postnuptial Agreements25-3. Action for Custody of Minor Child25-4. Action for Visitation of Minor Child25-5. Automatic Orders upon Service of Complaint or

Application25-5A. Automatic Orders upon Service of Petition for

Child Support25-5B. Automatic Orders upon Filing of Joint Petition—

Nonadversarial Divorce25-6. Parties and Appearances25-7. Pleadings in General; Amendments to Complaint

or Application25-8. —Amendment; New Ground for Dissolution of

Marriage or Civil Union25-9. —Answer, Cross Complaint, Claims for Relief

by Defendant25-10. —Answer to Cross Complaint25-11. —Order of Pleadings25-12. Motion to Dismiss25-13. —Grounds on Motion to Dismiss25-14. —Waiver and Subject Matter Jurisdiction25-15. —Further Pleading by Defendant25-16. Motion to Strike; In General25-17. —Date for Hearing25-18. —Reasons25-19. —Memorandum of Law25-20. —When Memorandum of Decision Required25-21. —Substitute Pleading; Judgment25-22. —Stricken Pleading Part of Another Cause or

Defense25-23. Motions, Requests, Orders of Notice, and Short

Calendar25-24. Motions25-25. Motion for Exclusive Possession25-26. Modification of Custody, Alimony or Support25-27. Motion for Contempt25-28. Order of Notice25-29. Notice of Orders for Support or Alimony25-30. Statements to Be Filed25-31. Discovery and Depositions25-32. Mandatory Disclosure and Production25-32A. Discovery Noncompliance25-32B. Discovery—Special Master25-33. Judicial Appointment of Expert Witnesses25-34. Procedure for Short Calendar25-35. Disclosure of Conference Recommendation


Sec. 25-1. Definitions Applicable to Pro-ceedings on Family MattersThe following shall be ‘‘family matters’’ within

the scope of these rules: Any actions brought pur-

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25-36. Motion for Decree Finally Dissolving Marriage orCivil Union after Decree of Legal Separation

25-37. —Notice and Hearing25-38. Judgment Files25-39. Miscellaneous Rules25-40. Habeas Corpus in Family Matters; the Petition25-41. —Preliminary Consideration25-42. —Dismissal25-43. —The Return25-44. —Reply to the Return25-45. —Schedule for Filing Pleadings25-46. —Summary Judgment as to Writ of Habeas

Corpus25-47. —Discovery25-48. Dockets, Pretrials and Assignment for Disposition25-49. Definitions25-50. Case Management25-51. When Motion for Default for Failure to Appear

Does Not Apply25-52. Failure to Appear for Scheduled Disposition25-53. Reference of Family Matters25-54. Order of Trial; Argument by Counsel25-55. Medical Evidence25-56. Production of Documents at Hearing or Trial25-57. Affidavit concerning Children25-58. Reports of Dissolution of Marriage or Civil Union

and Annulment25-59. Closure of Courtroom in Family Matters25-59A. Sealing Files or Limiting Disclosure of Documents

in Family Matters25-59B. —Documents Containing Personal Identifying

Information25-60. Evaluations, Studies, Family Services Mediation

Reports and Family Services Conflict Resolu-tion Reports

25-60A. Court-Ordered Private Evaluations25-61. Family Division25-61A. Standing Committee on Guardians Ad Litem and

Attorneys for the Minor Child in Family Matters25-62. Appointment of Guardian Ad Litem25-62A. Appointment of Attorney for a Minor Child25-63. Right to Counsel in Family Civil Contempt Pro-

ceedings25-64. —Waiver25-65. Family Support Magistrates; Procedure

[Repealed]25-66. Appeal from Decision of Family Support Magis-

trate [Repealed]25-67. Support Enforcement Services [Repealed]25-68. Right to Counsel in State Initiated Paternity

Actions25-69. Social Services; Additional Duties

suant to General Statutes § 46b-1, including, butnot limited to, dissolution of marriage or civil union,legal separation, dissolution of marriage or civilunion after legal separation, annulment of mar-

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-4

riage or civil union, alimony, support, custody, andchange of name incident to dissolution of marriageor civil union, habeas corpus and other proceed-ings to determine the custody and visitation ofchildren except those which are properly filed inthe superior court as juvenile matters, the estab-lishing of paternity, enforcement of foreign matri-monial or civil union judgments, actions relatedto prenuptial or pre-civil union and separationagreements and to matrimonial or civil uniondecrees of a foreign jurisdiction, actions broughtpursuant to General Statutes § 46b-15, custodyproceedings brought under the provisions of theUniform Child Custody Jurisdiction and Enforce-ment Act and proceedings for enforcement of sup-port brought under the provisions of the UniformInterstate Family Support Act.

(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.1, 2000; amended June 26, 2006, to take effect Jan. 1, 2007;amended June 12, 2015, to take effect Jan. 1, 2016.)

Sec. 25-2. Complaints for Dissolution ofMarriage or Civil Union, Legal Separation,or Annulment(Amended June 26, 2006, to take effect Jan. 1, 2007.)(a) Every complaint in a dissolution of marriage

or civil union, legal separation or annulment actionshall state the date and place, including the cityor town, of the marriage or civil union and thefacts necessary to give the court jurisdiction.

(b) Every such complaint shall also statewhether there are minor children issue of the mar-riage or minor children of the civil union andwhether there are any other minor children bornto the wife since the date of marriage of the par-ties, or born to a party to the civil union since thedate of the civil union, the name and date of birthof each, and the name of any individual or agencypresently responsible by virtue of judicial awardfor the custody or support of any child. Theserequirements shall be met whether a child is issueof the marriage or not, whether a child is born toa party of the civil union or not, and whether cus-tody of children is sought in the action or not. Inevery case in which the state of Connecticut orany town thereof is contributing or has contributedto the support or maintenance of a party or childof said party, such fact shall be stated in the com-plaint and a copy thereof served on the attorneygeneral or town clerk in accordance with the provi-sions of Sections 10-12 through 10-17. Althoughthe attorney general or town clerk shall be a partyto such cases, he or she need not be named inthe writ of summons or summoned to appear.

(c) The complaint shall also set forth the plain-tiff’s demand for relief and the automatic ordersas required by Section 25-5.

(P.B. 1978-1997, Sec. 453.) (Amended June 25, 2001, totake effect Jan. 1, 2002; amended June 26, 2006, to take

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effect Jan. 1, 2007; amended June 29, 2007, to take effectJan. 1, 2008; amended June 30, 2008, to take effect Jan.1, 2009.)

Sec. 25-2A. Premarital and PostnuptialAgreements(a) If a party seeks enforcement of a premarital

agreement or postnuptial agreement, he or sheshall specifically demand the enforcement of thatagreement, including its date, within the party’sclaim for relief. The defendant shall file said claimfor relief within sixty days of the return date unlessotherwise permitted by the court.

(b) If a party seeks to avoid the premaritalagreement or postnuptial agreement claimed bythe other party, he or she shall, within sixty days ofthe claim seeking enforcement of the agreement,unless otherwise permitted by the court, file areply specifically demanding avoidance of theagreement and stating the grounds thereof.

(Adopted June 20, 2011, to take effect Aug. 15, 2011.)

Sec. 25-3. Action for Custody of Minor ChildEvery application in an action for custody of a

minor child, other than actions for dissolution ofmarriage or civil union, legal separation or annul-ment, shall state the name and date of birth ofsuch minor child or children, the names of theparents and legal guardian of such minor child orchildren, and the facts necessary to give the courtjurisdiction. The application shall comply with Sec-tion 25-5. Such application shall be commencedby an order to show cause. Upon presentation ofthe application and an affidavit concerning chil-dren, the judicial authority shall cause an orderto be issued requiring the adverse party or partiesto appear on a day certain and show cause, if anythere be, why the relief requested in the applica-tion should not be granted. The application, orderand affidavit shall be served on the adverse partynot less than twelve days before the date of thehearing, which shall not be held more than thirtydays from the filing of the application.

(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.1, 2000; amended June 26, 2000, to take effect Jan. 1, 2001;amended June 26, 2006, to take effect Jan. 1, 2007.)

Sec. 25-4. Action for Visitation of MinorChildEvery application or verified petition in an action

for visitation of a minor child, other than actionsfor dissolution of marriage or civil union, legal sep-aration or annulment, shall state the name anddate of birth of such minor child or children, thenames of the parents and legal guardian of suchminor child or children, and the facts necessary togive the court jurisdiction. An application broughtunder this section shall comply with Section 25-5. Any application or verified petition brought


under this Section shall be commenced by anorder to show cause. Upon presentation of theapplication or verified petition and an affidavit con-cerning children, the judicial authority shall causean order to be issued requiring the adverse partyor parties to appear on a day certain and showcause, if any there be, why the relief requestedin the application or verified petition should notbe granted. The application or verified petition,order and affidavit shall be served on the adverseparty not less than twelve days before the dateof the hearing, which shall not be held more thanthirty days from the filing of the application orverified petition.

(P.B. 1998.) (Amended June 28, 1999, to take effect Jan.1, 2000; amended June 26, 2000, to take effect Jan. 1, 2001;amended June 26, 2006, to take effect Jan. 1, 2007; amendedJune 13, 2014, to take effect Jan. 1, 2015.)

Sec. 25-5. Automatic Orders upon Serviceof Complaint or Application(Amended June 28, 1999, to take effect Jan. 1, 2000.)The following automatic orders shall apply to

both parties, with service of the automatic ordersto be made with service of process of a complaintfor dissolution of marriage or civil union, legal sep-aration, or annulment, or of an application for cus-tody or visitation. An automatic order shall notapply if there is a prior, contradictory order of ajudicial authority. The automatic orders shall beeffective with regard to the plaintiff or the applicantupon the signing of the complaint or the applica-tion and with regard to the defendant or therespondent upon service and shall remain in placeduring the pendency of the action, unless termi-nated, modified, or amended by further order ofa judicial authority upon motion of either of theparties:

(a) In all cases involving a child or children,whether or not the parties are married or in acivil union:

(1) Neither party shall permanently remove theminor child or children from the state of Connecti-cut, without written consent of the other or orderof a judicial authority.

(2) A party vacating the family residence shallnotify the other party or the other party’s attorney,in writing, within forty-eight hours of such move, ofan address where the relocated party can receivecommunication. This provision shall not apply ifand to the extent there is a prior, contradictoryorder of a judicial authority.

(3) If the parents of minor children live apartduring this proceeding, they shall assist their chil-dren in having contact with both parties, which isconsistent with the habits of the family, personally,by telephone, and in writing. This provision shall

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not apply if and to the extent there is a prior,contradictory order of a judicial authority.

(4) Neither party shall cause the children of themarriage or the civil union to be removed from anymedical, hospital and dental insurance coverage,and each party shall maintain the existing medical,hospital and dental insurance coverage in fullforce and effect.

(5) The parties shall participate in the parentingeducation program within sixty days of the returnday or within sixty days from the filing of the appli-cation.

(6) These orders do not change or replace anyexisting court orders, including criminal protectiveand civil restraining orders.

(b) In all cases involving a marriage or civilunion, whether or not there are children:

(1) Neither party shall sell, transfer, exchange,assign, remove, or in any way dispose of, withoutthe consent of the other party in writing, or anorder of a judicial authority, any property, exceptin the usual course of business or for customaryand usual household expenses or for reasonableattorney’s fees in connection with this action.

(2) Neither party shall conceal any property.(3) Neither party shall encumber (except for the

filing of a lis pendens) without the consent of theother party, in writing, or an order of a judicialauthority, any property except in the usual courseof business or for customary and usual householdexpenses or for reasonable attorney’s fees in con-nection with this action.

(4) Neither party shall cause any asset, or por-tion thereof, co-owned or held in joint name, tobecome held in his or her name solely without theconsent of the other party, in writing, or an orderof the judicial authority.

(5) Neither party shall incur unreasonable debtshereafter, including, but not limited to, further bor-rowing against any credit line secured by the fam-ily residence, further encumbrancing any assets,or unreasonably using credit cards or cashadvances against credit cards.

(6) Neither party shall cause the other party tobe removed from any medical, hospital and dentalinsurance coverage, and each party shall main-tain the existing medical, hospital and dentalinsurance coverage in full force and effect.

(7) Neither party shall change the beneficiariesof any existing life insurance policies, and eachparty shall maintain the existing life insurance,automobile insurance, homeowners or rentersinsurance policies in full force and effect.

(8) If the parties are living together on the dateof service of these orders, neither party may denythe other party use of the current primary resi-dence of the parties, whether it be owned or rented

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-5B

property, without order of a judicial authority. Thisprovision shall not apply if there is a prior, contra-dictory order of a judicial authority.

(c) In all cases:(1) The parties shall each complete and

exchange sworn financial statements substan-tially in accordance with a form prescribed by thechief court administrator within thirty days of thereturn day. The parties may thereafter enter andsubmit to the court a stipulated interim order allo-cating income and expenses, including, if applica-ble, proposed orders in accordance with theuniform child support guidelines.

(2) The case management date for this caseis . The parties shall comply withSection 25-50 to determine if their actual presenceat the court is required on that date.

(d) The automatic orders of a judicial authorityas enumerated above shall be set forth immedi-ately following the party’s requested relief in anycomplaint for dissolution of marriage or civil union,legal separation, or annulment, or in any applica-tion for custody or visitation, and shall set forththe following language in bold letters:

Failure to obey these orders may be punish-able by contempt of court. If you object to orseek modification of these orders during thependency of the action, you have the right toa hearing before a judge within a reasonabletime.

The clerk shall not accept for filing any com-plaint for dissolution of marriage or civil union,legal separation, or annulment, or any applicationfor custody or visitation, that does not comply withthis subsection.

(P.B. 1998.) (Amended June 29, 1998, to take effect Jan.1, 1999; subdivision (a) (1) was amended on an interim basis,pursuant to the provisions of Section 1-9 (c), to take effectJan. 1, 1999; amended June 28, 1999, to take effect Jan. 1,2000; amended August 22, 2001, to take effect Jan. 1, 2002;amended June 26, 2006, to take effect Jan. 1, 2007; amendedJune 29, 2007, to take effect Jan. 1, 2008; amended June 20,2011, to take effect Jan. 1, 2012.)

TECHNICAL CHANGE—The final three paragraphs of thissection are now designated subsection (d).

Sec. 25-5A. Automatic Orders upon Serviceof Petition for Child Support(a) The following automatic orders shall apply

to both parties, with service of the automaticorders to be made with service of process of apetition for child support. An automatic order shallnot apply if there is a prior, contradictory order ofa judicial authority. The automatic orders shallbe effective with regard to the petitioner or theapplicant upon the signing of the document initiat-ing the action (whether it be complaint, petition orapplication), and with regard to the respondent,upon service and shall remain in place during

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the pendency of the action, unless terminated,modified, or amended by further order of a judicialauthority upon motion of either of the parties:

Neither party shall cause the other party or thechildren who are the subject of the complaint,application or petition to be removed from anymedical, hospital and dental insurance coverage,and each party shall maintain the existing medical,hospital and dental insurance coverage in fullforce and effect.

(b) The automatic orders of a judicial authorityas enumerated in subsection (a) shall be set forthimmediately following the party’s requested reliefin any complaint, petition or application, and shallset forth the following language in bold letters: Ifyou do not follow or obey these orders, youmay be punished by contempt of court. If youobject to these orders or would like to havethem changed or modified while your case ispending, you have the right to a hearing by ajudicial authority within a reasonable time. Theclerk shall not accept for filing any complaint, peti-tion or application that does not comply withthis subsection.


Sec. 25-5B. Automatic Orders upon Filing ofJoint Petition—Nonadversarial Divorce(a) The following automatic orders shall apply

to both petitioners, upon the filing of the joint peti-tion for nonadversarial divorce. An automaticorder shall not apply if there is a prior, contradic-tory order of a judicial authority. The automaticorders shall be effective with regard to the petition-ers upon filing of the joint petition and shall remainin place until further order of a judicial authority:

(1) Neither petitioner shall sell, transfer,exchange, assign, remove, or in any way disposeof, without the consent of the other petitioner inwriting, or an order of a judicial authority, anyproperty, except in the usual course of businessor for customary and usual household expensesor for reasonable attorney’s fees in connectionwith this action.

(2) Neither petitioner shall conceal anyproperty.

(3) Neither petitioner shall encumber withoutthe consent of the other petitioner, in writing, oran order of a judicial authority, any property exceptin the usual course of business or for customaryand usual household expenses or for reasonableattorney’s fees in connection with this action.

(4) Neither petitioner shall cause any asset, orportion thereof, co-owned or held in joint name,to become held in his or her name solely withoutthe consent of the other petitioner, in writing, oran order of the judicial authority.

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-5B

(5) Neither petitioner shall incur unreasonabledebts hereafter, including, but not limited to, fur-ther encumbrancing any assets, or unreasonablyusing credit cards or cash advances againstcredit cards.

(6) Neither petitioner shall cause the other peti-tioner to be removed from any medical, hospitaland dental insurance coverage, and each peti-tioner shall maintain the existing medical, hospitaland dental insurance coverage in full force andeffect.

(7) Neither petitioner shall change the benefici-aries of any existing life insurance policies, andeach petitioner shall maintain the existing lifeinsurance, automobile insurance, or renters insur-ance policies in full force and effect.

(8) If the petitioners are living together on thedate of these orders, neither petitioner may denythe other petitioner use of the current primary resi-dence of the petitioners, without order of a judicialauthority. This provision shall not apply if there isa prior, contradictory order of a judicial authority.

(9) The petitioners shall each complete andexchange sworn financial statements substan-tially in accordance with a form prescribed by thechief court administrator and file the financialstatement with the joint petition. The petitionersmay thereafter enter and submit to the court astipulated interim order allocating income andexpenses.

(b) The automatic orders of a judicial authorityas enumerated above shall be attached immedi-ately following the petitioners’ joint petition fornonadversarial divorce and shall set forth the fol-lowing language in bold letters:

Failure to obey these orders may be punish-able by contempt of court. If you object to orseek modification of these orders during thependency of the action, you have the right toa hearing before a judge within a reasonabletime.

The clerk shall not accept for filing any jointpetition for nonadversarial divorce that does notcomply with this subsection.

(Adopted June 24, 2016, to take effect Jan. 1, 2017.)COMMENTARY—2017: This new rule is consistent with the

nonadversarial divorce provisions of General Statutes (Supp.2016) § 46b-44a through 46b-44d.

TECHNICAL CHANGE—Subsection designations wereadded.

Sec. 25-6. Parties and AppearancesThe provisions of Sections 8-1, 8-2, 9-1, 9-3

through 9-6, inclusive, 9-18, 9-19, 9-22, 9-24 and10-12 through 10-17 of the rules of practice shallapply to family matters as defined in Section 25-1.

(P.B. 1998.)

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Sec. 25-7. Pleadings in General; Amend-ments to Complaint or Application(Amended June 28, 1999, to take effect Jan. 1, 2000.)

If Sections 25-2, 25-3 or 25-4 are not compliedwith, the judicial authority, whenever its attentionis called to the matter, shall order that the com-plaint or the application, as the case may be, beamended upon such terms and conditions as itmay direct. Where an amendment is filed concern-ing support or maintenance contributed by thestate of Connecticut, no further action shall betaken by the judicial authority until such amend-ment shall be served upon the attorney generaland opportunity given him or her to be heard uponthe matter. Nothing in this section shall be con-strued to affect the automatic orders in Section25-5 above.


Sec. 25-8. —Amendment; New Ground forDissolution of Marriage or Civil Union(Amended June 26, 2006, to take effect Jan. 1, 2007.)

(a) In any action for a dissolution of marriage orcivil union an amendment to the complaint whichstates a ground for dissolution of marriage or civilunion alleged to have arisen since the commence-ment of the action may be filed with permissionof the judicial authority.

(b) The provisions of Sections 10-59, 10-60 and10-61 of the rules of practice shall apply to familymatters as defined in Section 25-1.


Sec. 25-9. —Answer, Cross Complaint,Claims for Relief by DefendantThe defendant in a dissolution of marriage or

civil union, legal separation, or annulment mattermay file, in addition to the above mentioned plead-ings, one of the following pleadings which shallcomply with Sections 10-1, 10-3, 10-5, 10-7, 10-8 and 10-12 through 10-17, 10-18 and 10-19inclusive:

(1) An answer may be filed which denies oradmits the allegations of the complaint, or whichstates that the defendant has insufficient informa-tion to form a belief and leaves the pleader to his orher proof, and which may set forth the defendant’sclaims for relief.

(2) An answer and cross complaint may be filedwhich denies or admits the allegations of the com-plaint, or which states that the defendant hasinsufficient information to form a belief and leavesthe pleader to his or her proof, and which alleges


the grounds upon which a dissolution, legal sepa-ration or annulment is sought by the defendantand specifies therein the claims for relief.


Sec. 25-10. —Answer to Cross ComplaintA plaintiff in a dissolution of marriage or civil

union, legal separation, or annulment matterseeking to contest the grounds of a cross com-plaint shall file an answer admitting or denyingthe allegations of such cross complaint or leavingthe pleader to his or her proof. If a decree isrendered on the cross complaint, the judicialauthority may award to the plaintiff such relief asis claimed in the complaint.


Sec. 25-11. —Order of PleadingsThe order of pleadings shall be:(1) the plaintiff’s complaint;(2) the defendant’s motion to dismiss the com-

plaint;(3) the defendant’s motion to strike the com-

plaint or claims for relief;(4) the defendant’s answer, cross complaint

and claims for relief;(5) the plaintiff’s motion to strike the defendant’s

answer, cross complaint, or claims for relief;(6) the plaintiff’s answer.(P.B. 1998.)

Sec. 25-12. Motion to Dismiss(a) Any defendant, wishing to assert grounds

to dismiss the action under Section 25-13 (2), (3),(4) or (5) must do so by filing a motion to dismisswithin thirty days of the filing of an appearance.

(b) Any claim based on Section 25-13 (2), (3),(4) or (5) is waived if not raised by a motion todismiss filed in the sequence provided in Section25-11, within the time provided in this section.

(P.B. 1998.)

Sec. 25-13. —Grounds on Motion to Dismiss(a) The motion to dismiss shall be used to assert

(1) lack of jurisdiction over the subject matter, (2)lack of jurisdiction over the person, (3) impropervenue, (4) insufficiency of process and (5) insuffi-ciency of service of process. This motion shallalways be filed with a supporting memorandumof law and, where appropriate, with supportingaffidavits as to facts not apparent on the record.

(b) If an adverse party objects to this motion heor she shall, at least five days before the motionis to be considered on the short calendar, file andserve in accordance with Sections 10-12 through

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10-17 a memorandum of law and, where appro-priate, supporting affidavits as to facts not appar-ent on the record.

(P.B. 1998.)

Sec. 25-14. —Waiver and Subject MatterJurisdictionAny claim of lack of jurisdiction over the subject

matter cannot be waived; and whenever it is foundafter suggestion of the parties or otherwise thatthe court lacks jurisdiction of the subject matter,the judicial authority shall dismiss the action.

(P.B. 1998.)

Sec. 25-15. —Further Pleading by Defend-antIf any motion to dismiss is denied with respect to

any jurisdictional issue, the defendant may pleadfurther without waiving his or her right to contestjurisdiction further.

(P.B. 1998.)

Sec. 25-16. Motion to Strike; In General(a) Whenever any party wishes to contest (1)

the legal sufficiency of the allegations of any com-plaint or cross complaint, or of any one or morecounts thereof, to state a claim upon which reliefcan be granted, or (2) the legal sufficiency of anyclaim for relief in any such complaint or crosscomplaint, or (3) the legal sufficiency of any suchcomplaint or cross complaint, or any countthereof, because of the absence of any necessaryparty, or (4) the joining of two or more causes ofaction which cannot properly be united in onecomplaint or cross complaint, whether the samebe stated in one or more counts, or (5) the legalsufficiency of any answer to any complaint orcross complaint, or any part of that answer con-tained therein, that party may do so by filing amotion to strike the contested pleading or partthereof.

(b) A motion to strike on the ground of the non-joinder of a necessary party must give the nameand residence of the missing party or such infor-mation as the moving party has as to his or heridentity and residence and must state his or herinterest in the cause of action.

(P.B. 1998.)

Sec. 25-17. —Date for HearingThe motion shall be placed on the short calen-

dar to be held not less than fifteen days followingthe filing of the motion, unless the judicial authorityotherwise directs.

(P.B. 1998.)


Sec. 25-18. —ReasonsEach motion to strike raising any of the claims

of legal insufficiency enumerated in Sections 25-12, 25-13 and 25-16 shall separately set fortheach such claim of insufficiency and shall dis-tinctly specify the reason or reasons for each suchclaimed insufficiency.

(P.B. 1998.)

Sec. 25-19. —Memorandum of Law(a) Each motion to strike must be accompanied

by an appropriate memorandum of law citing thelegal authorities upon which the motion relies.

(b) If an adverse party objects to this motionsuch party shall, at least five days before the datethe motion is to be considered on the short calen-dar, file and serve in accordance with Sections10-12 through 10-17 a memorandum of law.

(P.B. 1998.)

Sec. 25-20. —When Memorandum of Deci-sion RequiredWhenever a motion to strike is filed and more

than one ground of decision is set up therein,the judicial authority, in rendering the decisionthereon, shall specify in writing the grounds uponwhich that decision is based.

(P.B. 1998.)

Sec. 25-21. —Substitute Pleading; Judg-mentWithin fifteen days after the granting of any

motion to strike, the party whose pleading hasbeen stricken may file a new pleading; providedthat in those instances where an entire complaintor cross complaint has been stricken, and theparty whose pleading has been so stricken failsto file a new pleading within that fifteen day period,the judicial authority may upon motion enter judg-ment against said party on said stricken complaintor cross complaint.

(P.B. 1998.)TECHNICAL CHANGE: The hyphen was deleted from ‘‘fif-

teen day’’ before ‘‘period.’’

Sec. 25-22. —Stricken Pleading Part ofAnother Cause or DefenseWhenever the judicial authority grants a motion

to strike the whole or any portion of any pleadingor count which purports to state an entire causeof action, and such pleading or portion thereofstates or constitutes a part of another cause ofaction, the granting of that motion shall removefrom the case only the cause of action which wasthe subject of the granting of that motion, and itshall not remove such pleading or count or anyportion thereof so far as the same is applicableto any other cause of action.

(P.B. 1998.)

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Sec. 25-23. Motions, Requests, Orders ofNotice, and Short CalendarThe provisions of Sections 11-1, 11-2, 11-4, 11-

5, 11-6, 11-8, 11-10, 11-11, 11-12, 11-19, 12-1,12-2, and 12-3 of the rules of practice shall applyto family matters as defined in Section 25-1.

(P.B. 1998.) (Amended May 14, 2003, to take effect July1, 2003.)

Sec. 25-24. Motions(a) Any appropriate party may move for ali-

mony, child support, custody, visitation, appoint-ment or removal of counsel for the minor child,appointment or removal of a guardian ad litem forthe minor child, counsel fees, or for an order withrespect to the maintenance of the family or forany other equitable relief.

(b) Each such motion shall state clearly, in thecaption of the motion, whether it is a pendentelite or a postjudgment motion.


Sec. 25-25. Motion for Exclusive Pos-sessionEach motion for exclusive possession shall

state the nature of the property, whether it is rentalproperty or owned by the parties or one of them,the length of tenancy or ownership of each party,the current family members residing therein andthe grounds upon which the moving party seeksexclusive possession.

(P.B. 1998.)

Sec. 25-26. Modification of Custody, Ali-mony or Support(a) Upon an application for a modification of an

award of alimony pendente lite, alimony or supportof minor children, filed by a person who is thenin arrears under the terms of such award, thejudicial authority shall, upon hearing, ascertainwhether such arrearage has accrued without suffi-cient excuse so as to constitute a contempt ofcourt, and, in its discretion, may determinewhether any modification of current alimony andsupport shall be ordered prior to the payment, inwhole or in part as the judicial authority may order,of any arrearage found to exist.

(b) Either parent or both parents of minor chil-dren may be cited or summoned by any party tothe action to appear and show cause, if any theyhave, why orders of custody, visitation, supportor alimony should not be entered or modified.

(c) If any applicant is proceeding without theassistance of counsel and citation of any otherparty is necessary, the applicant shall sign theapplication and present the application, proposedorder and summons to the clerk; the clerk shall


review the proposed order and summons and,unless it is defective as to form, shall sign theproposed order and summons and shall assign adate for a hearing on the application.

(d) Each motion for modification of custody, visi-tation, alimony or child support shall state clearlyin the caption of the motion whether it is a pen-dente lite or a postjudgment motion.

(e) Each motion for modification shall state thespecific factual and legal basis for the claimedmodification and shall include the outstandingorder and date thereof to which the motion formodification is addressed.

(f) On motions addressed to financial issues,the provisions of Section 25-30 shall be followed.

(g) Upon or after entry of judgment of a dissolu-tion of marriage, dissolution of civil union, legalseparation or annulment, or upon or after entryof a judgment or final order of custody and/orvisitation for a petition or petitions filed pursuantto Section 25-3 and/or Section 25-4, the judicialauthority may order that any further motion formodification of a final custody or visitation ordershall be appended with a request for leave to filesuch motion and shall conform to the require-ments of subsection (e) of this section. The spe-cific factual and legal basis for the claimedmodification shall be sworn to by the moving partyor other person having personal knowledge of thefacts recited therein. If no objection to the requesthas been filed by any party within ten days of thedate of service of such request on the other party,the request for leave may be determined by thejudicial authority with or without hearing. If anobjection is filed, the request shall be placed onthe next short calendar, unless the judicial author-ity otherwise directs. At such hearing, the movingparty must demonstrate probable cause thatgrounds exist for the motion to be granted. If thejudicial authority grants the request for leave, atany time during the pendency of such a motionto modify, the judicial authority may determinewhether discovery or a study or evaluation pursu-ant to Section 25-60 shall be permitted.

(P.B. 1978-1997, Sec. 464.) (Amended June 20, 2005, totake effect Jan. 1, 2006; amended June 29, 2007, to takeeffect Oct. 1, 2007.)

Sec. 25-27. Motion for Contempt(a) Each motion for contempt must state (1) the

date and specific language of the order of thejudicial authority on which the motion is based;(2) the specific acts alleged to constitute the con-tempt of that order, including the amount of anyarrears claimed due as of the date of the motionor a date specifically identified in the motion; (3)the movant’s claims for relief for the contempt.

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(b) Each motion for contempt must state clearlyin the caption of the motion whether it is a pen-dente lite or a postjudgment motion, and the sub-ject matter and the type of order alleged to havebeen violated.


Sec. 25-28. Order of Notice(a) On a complaint for dissolution of marriage

or civil union, legal separation, or annulment, oron an application for custody or visitation, whenthe adverse party resides out of or is absent fromthe state or the whereabouts of the adverse partyare unknown to the plaintiff or the applicant, anyjudge or clerk of the court may make such orderof notice as he or she deems reasonable. If suchnotice is by publication, it shall not include theautomatic orders set forth in Section 25-5, butshall instead include a statement that automaticorders have issued in the case pursuant to Section25-5 and that such orders are set forth in thecomplaint or the application on file with the court.Such notice having been given and proved, thejudicial authority may hear the complaint or theapplication if it finds that the adverse party hasactually received notice that the complaint or theapplication is pending. If actual notice is notproved, the judicial authority in its discretion mayhear the case or continue it for compliance withsuch further order of notice as it may direct.

(b) With regard to any postjudgment motion formodification or for contempt or any other motionrequiring an order of notice, where the adverseparty resides out of or is absent from the stateany judge or clerk of the court may make suchorder of notice as he or she deems reasonable.Such notice having been given and proved, thecourt may hear the motion if it finds that theadverse party has actually received notice thatthe motion is pending.


Sec. 25-29. Notice of Orders for Support orAlimonyIn all dissolution of marriage or civil union, legal

separation, annulment, custody or visitationactions, such notice as the judicial authority shalldirect shall be given to nonappearing parties ofany orders for support or alimony. No such ordershall be effective until the order of notice shallhave been complied with or the nonappearingparty has actually received notice of such orders.



Sec. 25-30. Statements to Be Filed(a) At least five days before the hearing date

of a motion or order to show cause concerningalimony, support, or counsel fees, or at the timea dissolution of marriage or civil union, legal sepa-ration or annulment action or action for custodyor visitation is scheduled for a hearing, each partyshall file, where applicable, a sworn statementsubstantially in accordance with a form prescribedby the chief court administrator, of current income,expenses, assets and liabilities. When the attor-ney general has appeared as a party in interest,a copy of the sworn statements shall be servedupon him or her in accordance with Sections 10-12 through 10-17. Unless otherwise ordered bythe judicial authority, all appearing parties shallfile sworn statements within thirty days prior tothe date of the decree. Notwithstanding the above,the court may render pendente lite and permanentorders, including judgment, in the absence of theopposing party’s sworn statement.

(b) At least ten days before the scheduled familyspecial masters session, alternative dispute reso-lution session, or judicial pretrial, the parties shallserve on each appearing party, but not file withthe court, written proposed orders, and, at leastten days prior to the date of the final limited con-tested or contested hearing, the parties shall filewith the court and serve on each appearing partywritten proposed orders.

(c) The written proposed orders shall be com-prehensive and shall set forth the party’srequested relief including, where applicable, thefollowing:

(1) a parenting plan;(2) alimony;(3) child support;(4) property division;(5) counsel fees;(6) life insurance;(7) medical insurance; and(8) division of liabilities.(d) The proposed orders shall be neither factual

nor argumentative but shall, instead, only set forththe party’s claims.

(e) Where there is a minor child who requiressupport, the parties shall file a completed childsupport and arrearage guidelines worksheet atthe time of any court hearing concerning childsupport; or at the time of a final hearing in anaction for dissolution of marriage or civil union,legal separation, annulment, custody or visitation.

(f) At the time of any hearing, including pen-dente lite and postjudgment proceedings, in which

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a moving party seeks a determination, modifica-tion, or enforcement of any alimony or child sup-port order, a party shall submit an Advisement ofRights Re: Wage Withholding Form (JD-FM-71).


Sec. 25-31. Discovery and DepositionsExcept as otherwise provided in Section 25-

33, the provisions of Sections 13-1 through 13-10 inclusive, 13-13 through 13-16 inclusive, and13-17 through 13-32 of the rules of practice inclu-sive, shall apply to family matters as defined inSection 25-1.

(P.B. 1998.) (Amended June 20, 2011, to take effect Aug.1, 2011; amended June 13, 2014, to take effect Jan. 1, 2015.)

Sec. 25-32. Mandatory Disclosure and Pro-duction(a) Unless otherwise ordered by the judicial

authority for good cause shown, upon request bya party involved in an action for dissolution ofmarriage or civil union, legal separation, annul-ment or support, or a postjudgment motion formodification of alimony or support, opposing par-ties shall exchange the following documentswithin thirty days of such request:

(1) all federal and state income tax returns filedwithin the last three years, including personalreturns and returns filed on behalf of any partner-ship or closely-held corporation of which a partyis a partner or shareholder;

(2) IRS forms W-2, 1099 and K-1 within the lastthree years including those for the past year if theincome tax returns for that year have not beenprepared;

(3) copies of all pay stubs or other evidence ofincome for the current year and the last pay stubfrom the past year;

(4) statements for all accounts maintained withany financial institution, including banks, brokersand financial managers, for the past 24 months;

(5) the most recent statement showing anyinterest in any Keogh, IRA, profit sharing plan,deferred compensation plan, pension plan, orretirement account;

(6) the most recent statement regarding anyinsurance on the life of any party;

(7) a summary furnished by the employer of theparty’s medical insurance policy, coverage, costof coverage, spousal benefits, and COBRA costsfollowing dissolution;

(8) any written appraisal concerning any assetowned by either party.

(b) Such duty to disclose shall continue duringthe pendency of the action should a party appear.


This section shall not preclude discovery underany other provisions of these rules.

(P.B. 1998.) (Amended June 29, 1998, to take effect Jan.1, 1999; amended June 26, 2006, to take effect Jan. 1, 2007.)

Sec. 25-32A. Discovery NoncomplianceIf a party fails to comply with a discovery request

or a discovery order in any manner set forth inSection 13-14 (a), the party who requested suchdiscovery or in whose favor the discovery orderwas made may move to compel compliance withthe request or order. The moving party shall spec-ify in a memorandum in support of his or hermotion, the discovery sought and the remedysought. The party to whom the discovery requestor order was directed shall, in a memorandum,specify why the discovery has not been providedor why such party has not complied with the dis-covery order. If the party to whom the discoveryrequest or order was directed claims that the dis-covery has been provided or order has been com-plied with, he or she shall detail with specificitywhat discovery was provided and how compliancewith the discovery order was made.


Sec. 25-32B. Discovery—Special MasterThe judicial authority may appoint a discovery

special master to assist in the resolution of discov-ery disputes. When such an appointment is made,the judicial authority shall specify the duties,authority and compensation of the discovery spe-cial master and how that compensation shall beallocated between the parties.


Sec. 25-33. Judicial Appointment of ExpertWitnessesWhenever the judicial authority deems it neces-

sary, it may appoint any expert witnesses of itsown selection. The judicial authority shall givenotice of its intention to appoint such expert, andgive the parties an opportunity to be heard con-cerning such appointment. An expert witness shallnot be appointed by the judicial authority unlessthe expert consents to act. An expert witness soappointed shall be informed of his or her dutiesby the judicial authority in writing, a copy of whichshall be filed with the clerk, or the witness shallbe informed of his or her duties at a conferencein which the parties shall have an opportunity toparticipate. Such expert witness shall advise theparties of his or her findings, if any, and maythereafter be called to testify by the judicial author-ity or by any party and shall be subject to cross-examination by each party. The judicial authoritymay determine the reasonable compensation forsuch witness and direct payment out of such funds

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as may be provided by law or by the parties orany of them as the judicial authority may direct.Nothing in this section shall prohibit the partiesfrom retaining their own expert witnesses.


Sec. 25-34. Procedure for Short Calendar(a) With the exception of matters governed by

Chapter 13 or a motion to waive the statutory timeperiod in an uncontested dissolution of marriageor legal separation case under General Statutes(Supp. 2016) § 46b-67 (b), oral argument on anymotion or the presentation of testimony thereonshall be allowed if the appearing parties have fol-lowed administrative policies for marking themotion ready and for screening with family ser-vices. Oral argument and the presentation of testi-mony on motions made under Chapter 13 are atthe discretion of the judicial authority.

(b) Any such motion filed to waive the statutorytime period in an uncontested dissolution of mar-riage or legal separation case will not be placedon the short calendar. The clerk shall bring themotion as soon as practicable to either the judicialauthority assigned to hear the case, or, if a judicialauthority has not yet been assigned, to the presid-ing judicial authority for a ruling on the papers.If granted, the uncontested dissolution or legalseparation is to be scheduled in accordance withthe request of the parties to the degree that suchrequest can be accommodated, including sched-uling the matter on the same day that the motionis granted.

(c) If the judicial authority has determined thatoral argument or the presentation of testimony isnecessary on a motion made under Chapter 13,the judicial authority shall set the matter for oralargument or testimony on a short calendar date orother date as determined by the judicial authority.

(d) If the judicial authority has determined thatoral argument or the presentation of testimony isnecessary on a motion made under Chapter 13and has not set it down on a hearing date, themovant may reclaim the motion within thirty daysof the date the motion appeared on the calendar.

(e) If the matter will require more than one hourof court time, it may be specifically assigned fora date certain.

(f) Failure to appear and present argument onthe date set by the judicial authority shall consti-tute a waiver of the right to argue unless the judi-cial authority orders otherwise. Unless for goodcause shown, no motion may be reclaimed aftera period of three months from the date of filing.This subsection shall not apply to those motionswhere counsel appeared on the date set by the


judicial authority and entered into a schedulingorder for discovery, depositions and a date certainfor hearing.

(P.B. 1998.) (Amended June 20, 2011, to take effect Aug.15, 2011; amended June 24, 2016, to take effect Jan. 1, 2017.)

HISTORY—2017: In 2017, ‘‘or a motion to waive the statu-tory time period in an uncontested dissolution of marriage orlegal separation case under General Statutes (Supp. 2016)§ 46b-67 (b)’’ was added to the first sentence of subsection(a) after ‘‘Chapter 13.’’

Also in 2017, what is now subsection (b) was added to thissection and what had been subsections (b) through (e) arenow designated subsections (c) through (f), respectively.

COMMENTARY—2017: This revision is consistent withGeneral Statutes (Supp. 2016) § 46b-67 (b).

Sec. 25-35. Disclosure of Conference Rec-ommendationIn the event the parties or their counsel confer

with a family relations counselor on finances con-cerning alimony and child support in connectionwith either a pendente lite, postjudgment or disso-lution hearing, the recommendations of the familyrelations counselor concerning alimony and childsupport shall not be reported to the judicial author-ity by the parties or their counsel or the familyrelations counselor unless, before such confer-ence, the parties or their counsel have stipulatedthat the recommendation of the family relationscounselor may be made known to the judicialauthority.

(P.B. 1978-1997, Sec. 464A.)

Sec. 25-36. Motion for Decree Finally Dis-solving Marriage or Civil Union after Decreeof Legal Separation(Amended June 30, 2008, to take effect Jan. 1, 2009.)Every motion for a decree finally dissolving and

terminating the marriage or civil union, after adecree of legal separation, shall state the numberof the case in which the separation was granted,the date of the decree of legal separation andwhether the parties have resumed relations relat-ing to the marriage or civil union since the entryof the decree, and it shall be accompanied by anapplication for an order of notice to the adverseparty.


Sec. 25-37. —Notice and HearingUpon presentation of such motion to the judicial

authority it shall fix a time for hearing the sameand make an order of notice, by personal serviceif the adverse party is within the state and thatparty’s place of residence is known, otherwise insuch manner as it shall deem reasonable.

(P.B. 1978-1997, Sec. 473.)

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Sec. 25-38. Judgment FilesThe provisions of Sections 17-4, 17-9 and 17-

43 shall apply to family matters as defined in Sec-tion 25-1. The provisions of Section 3-9 concern-ing withdrawal of appearance of an attorney 180days after the entry of judgment shall not applyto family matters actions until the provisions ofthis section concerning the filing of judgment fileshave been satisfied.

(P.B. 1998.)

Sec. 25-39. Miscellaneous RulesExcept as otherwise provided in Section 25-51,

the provisions of Sections 7-19, 17-20, 18-5, 18-9, 20-1, 20-3, 23-67 and 23-68 of the rules ofpractice shall apply to family matters as definedin Section 25-1.

(P.B. 1998.) (Amended Dec. 19, 2006, to take effect March12, 2007.)

Sec. 25-40. Habeas Corpus in Family Mat-ters; the PetitionA petition for a writ of habeas corpus shall be

under oath and shall state:(1) the specific facts upon which each claim of

custody or visitation is based such that the judicialauthority would immediately order the child or chil-dren to be brought before the court;

(2) any previous petitions for the writ of habeascorpus, and any existing custody or visitationorders, involving the same child or children andthe dispositions taken thereon; and

(3) the specific facts upon which the courthas jurisdiction.

(P.B. 1998.)

Sec. 25-41. —Preliminary Consideration(a) The judicial authority shall promptly review

any petition for a writ of habeas corpus to deter-mine whether the writ should issue. The judicialauthority shall issue the writ if it appears that:

(1) the court has jurisdiction;(2) the petition is meritorious; and(3) another proceeding is not more appropriate.(b) The judicial authority shall notify the peti-

tioner if it declines to issue the writ pursuant tothis section.

(P.B. 1998.)

Sec. 25-42. —DismissalThe judicial authority may, at any time, upon its

own motion or upon motion of the respondent,dismiss the petition, or any count thereof, if itdetermines that:

(1) the court lacks jurisdiction;(2) the petition, or a count thereof, fails to state

a claim upon which habeas corpus relief can begranted;


(3) the petition presents the same ground as aprior petition previously denied and fails to statenew facts or proffer new evidence not reasonablyavailable at the time of the prior petition;

(4) the claims asserted in the petition are mootor premature;

(5) any other legally sufficient ground for dis-missal of the petition exists.

(P.B. 1998.)

Sec. 25-43. —The ReturnThe return shall respond to the allegations of

the petition and shall allege any facts in supportof any claim of procedural default, abuse of thewrit, or any other claim that the petitioner is notentitled to relief.

(P.B. 1998.)

Sec. 25-44. —Reply to the Return(a) If the return alleges any defense or claim

that the petitioner is not entitled to relief, and suchallegations are put in dispute by the petition, thepetitioner shall file a reply.

(b) The reply shall admit or deny any allegationsthat the petitioner is not entitled to relief.

(P.B. 1998.)

Sec. 25-45. —Schedule for Filing PleadingsThe return or responsive pleading and any reply

to the return shall be filed as the judicial authoritymay order.

(P.B. 1998.)

Sec. 25-46. —Summary Judgment as to Writof Habeas CorpusAt any time after the pleadings are closed, any

party may move for summary judgment, whichshall be rendered if the pleadings, affidavits andany other evidence submitted, show that there isno genuine issue of material fact between theparties requiring a trial and the moving party isentitled to judgment as a matter of law.

(P.B. 1998.)

Sec. 25-47. —DiscoveryDiscovery shall be as in all other family matters.(P.B. 1998.)

Sec. 25-48. Dockets, Pretrials and Assign-ment for DispositionThe provisions of Sections 14-2, 14-3, 14-23,

and 14-25 of the rules of practice shall apply tofamily matters as defined in Section 25-1.

(P.B. 1998.)

Sec. 25-49. DefinitionsFor purposes of these rules the following defini-

tions shall apply:

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(1) ‘‘Uncontested matter’’ means a case inwhich both parties are appearing and no aspectof the matter is in dispute.

(2) ‘‘Financial Disputes’’ means a case in whichmonetary awards, real property or personal prop-erty are in dispute.

(3) ‘‘Parenting Disputes’’ means a case in whichchild custody, visitation rights, also called parent-ing time or access, paternity or the grounds forthe action are in dispute.

A case may contain both financial and parent-ing disputes.


Sec. 25-50. Case Management(a) The presiding judge or a designee shall

determine by the case management date whichtrack each case shall take and assign each casefor disposition. That date shall be set on a sched-ule approved by the presiding judge.

(b) In all cases, unless the party or partiesappear and the case proceeds to judgment undersubsections (c) or (d) on the case managementdate, the party or parties shall file on or beforethe case management date:

(1) a case management agreement (JD-FM-163);

(2) sworn financial affidavits;(3) a proposed parenting plan, if there are

minor children.If the parties or counsel have not filed these

documents on or before the case managementdate, or in a case with parenting disputes wherecounsel or self-represented parties have not cometo court on the case management date, the casemay be dismissed or other sanctions may beimposed.

(c) If the defendant has not filed an appearanceby the case management date, the plaintiff mayappear and proceed to judgment on the case man-agement date without further notice to the defend-ant, provided the plaintiff has complied with theprovisions of Section 25-30. Otherwise, the plain-tiff must file, on or before the case managementdate, the documents listed in subsection (b) andthe clerk shall assign the matter to a date certainfor disposition.

(d) If the matter is uncontested, the parties mayappear and proceed to judgment on the case man-agement date, provided the plaintiff has compliedwith the provisions of Section 25-30. Otherwise,the parties must file, on or before the case man-agement date, the documents listed in subsection(b) and the clerk shall assign the matter to a datecertain for disposition.


(e) In cases where there are financial disputes,the parties do not have to come to court on thecase management date, but must file on or beforethe case management date the documents listedin subsection (b). Thereafter, the matter may bedirected to any alternative dispute resolutionmechanism, private or court-annexed, including,but not limited to, family special masters and judi-cial pretrial. If not resolved, the matter will beassigned a date certain for trial.

(f) In cases where there are parenting disputes,the parties and counsel must appear for a casemanagement conference on the case manage-ment date. If parenting disputes require judicialintervention, the appointment of counsel or aguardian ad litem for the minor child, or case studyor evaluation by family services or by a privateprovider of services, a target date shall beassigned for completion of such study and thefinal conjoint thereon and, thereafter, a date cer-tain shall be assigned for disposition.

(g) With respect to subsections (e) and (f), if atrial is required, such order may include a datecertain for a trial management conferencebetween counsel or self-represented parties forthe purpose of premarking exhibits and complyingwith other orders of the judicial authority to expe-dite the trial process.


Sec. 25-51. When Motion for Default for Fail-ure to Appear Does Not Apply(a) If, in any case involving a dissolution of mar-

riage or civil union, legal separation, or annulment,the defendant has not filed an appearance by thecase management date, the plaintiff may proceedto judgment on the case management date with-out further notice to such defendant. Section 17-20 concerning motions for default shall not applyto such cases.

(b) If the defendant files an appearance by thecase management date, the presiding judge or adesignee shall determine which track the caseshall take pursuant to Section 25-50.


Sec. 25-52. Failure to Appear for Sched-uled DispositionIf a party fails to appear in person or by counsel

for a scheduled disposition, the opposing partymay introduce evidence and the case may pro-ceed to judgment without further notice to suchparty who failed to appear.

(P.B. 1998.)

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Sec. 25-53. Reference of Family MattersIn any family matter the court may, upon its

own motion or upon motion of a party, refer anycontested, limited contested, or uncontested mat-ter for hearing and decision to a judge trial refereewho shall have been a judge of the referring court.Such matters shall be deemed to have beenreferred for all further proceedings and judgment,including matters pertaining to any appeal there-from, except that the referring court may retainjurisdiction to hear and decide any pendente liteor contempt matters.

(P.B. 1978-1997, Sec. 458.)

Sec. 25-54. Order of Trial; Argument byCounselThe provisions of Sections 15-5, 15-6 and 15-

7, shall apply to family matters as defined in Sec-tion 25-1.

(P.B. 1998.)

Sec. 25-55. Medical EvidenceA party who plans to offer a hospital record in

evidence shall have the record in the clerk’s officetwenty-four hours prior to trial. The judge shallorder that all such records be available for inspec-tion in the clerk’s office to any counsel of recordunder the supervision of the clerk. Counsel mustrecognize their responsibility to have medical tes-timony available when needed and shall, whennecessary, subpoena medical witnesses to thatend. Such records shall be submitted in accord-ance with the provisions of Section 7-18.


Sec. 25-56. Production of Documents atHearing or Trial(a) At the trial management conference prior to

the commencement of an evidentiary hearing ortrial, but in no event later than five days before thescheduled hearing date, either party may serve onthe other a request for production of documentsand tangible things, in a manner consistent withSections 13-9 through 13-11. Service may bemade in the same manner as a subpoena or con-sistent with Sections 10-12 through 10-14.

(b) If a party fails to produce the requesteddocuments and items, the party filing the requestshall be permitted to introduce into evidence suchcopies as that party might have, without havingto authenticate the copies offered.

(c) If a party fails to produce the requested doc-uments and items and the requesting party doesnot have copies to offer into evidence, the judicialauthority may impose such sanctions on the non-producing party as the judicial authority deemsappropriate pursuant to Section 13-14 and as are


available to the judicial authority for the enforce-ment of subpoenas.

(P.B. 1998.)

Sec. 25-57. Affidavit concerning ChildrenBefore the judicial authority renders any order in

any matter pending before it involving the custody,visitation or support of a minor child or children,an affidavit shall be filed with the judicial authorityaverring (1) whether any of the parties is believedto be pregnant; (2) the name and date of birth ofany minor child born since the date of the filingof the complaint or the application; (3) informationwhich meets the requirements of the UniformChild Custody Jurisdiction and Enforcement Act,General Statutes § 46b-115 et seq.; (4) that thereis no other proceeding in which either party hasparticipated as a party, witness, or otherwise, con-cerning custody of the child in any state; and (5)that no person not a party has physical custodyor claims custody or visitation rights with respectto the child. This section shall not apply to modifi-cations of existing support orders or in situationsinvolving allegations of contempt of supportorders.

(P.B. 1978-1997, Sec. 476.) (Amended June 28, 1999, totake effect Jan. 1, 2000; amended August 24, 2001, to takeeffect Jan. 1, 2002; amended June 12, 2015, to take effectJan. 1, 2016.)

Sec. 25-58. Reports of Dissolution of Mar-riage or Civil Union and Annulment(Amended June 26, 2006, to take effect Jan. 1, 2007.)Before a hearing is commenced for a dissolu-

tion of marriage or civil union or annulment ofmarriage or civil union, the parties concerned, ortheir attorneys, shall provide, on forms prescribedby the chief court administrator and furnished bythe clerk, such information as is required by thejudges of the superior court.


Sec. 25-59. Closure of Courtroom in Fam-ily Matters(Amended May 14, 2003, to take effect July 1, 2003.)

(a) Except as otherwise provided by law, thereshall be a presumption that courtroom proceed-ings shall be open to the public.

(b) Except as provided in this section andexcept as otherwise provided by law, the judicialauthority shall not order that the public beexcluded from any portion of a courtroom pro-ceeding.

(c) Upon motion of any party, or upon its ownmotion, the judicial authority may order that the

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public be excluded from any portion of a court-room proceeding only if the judicial authority con-cludes that such order is necessary to preservean interest which is determined to override thepublic’s interest in attending such proceeding. Thejudicial authority shall first consider reasonablealternatives to any such order and any such ordershall be no broader than necessary to protectsuch overriding interest. An agreement of the par-ties to close the courtroom shall not constitute asufficient basis for the issuance of such an order.

(d) In connection with any order issued pursuantto subsection (c) of this section, the judicialauthority shall articulate the overriding interestbeing protected and shall specify its findingsunderlying such order. If any findings would revealinformation entitled to remain confidential, thosefindings may be set forth in a sealed portion ofthe record. The time, date and scope of any suchorder shall be set forth in a writing signed by thejudicial authority which upon issuance the courtclerk shall immediately enter in the court file. Thejudicial authority shall order that a transcript ofits decision be included in the file or prepare amemorandum setting forth the reasons for itsorder.

(e) A motion to close a courtroom proceedingshall be filed not less than fourteen days beforethe proceeding is scheduled to be heard. Suchmotion shall be placed on the short calendar sothat notice to the public is given of the time andplace of the hearing on the motion and to affordthe public an opportunity to be heard on the motionunder consideration. The motion itself may be filedunder seal, where appropriate, by leave of thejudicial authority. When placed on a short calen-dar, motions filed under this rule shall be listed ina separate section titled ‘‘Motions to Seal orClose’’ and shall also be listed with the time, dateand place of the hearing on the Judicial Branchwebsite. A notice of such motion being placed onthe short calendar shall, upon issuance of theshort calendar, be posted on a bulletin board adja-cent to the clerk’s office and accessible to thepublic.

(P.B. 1978-1997, Sec. 478.) (Amended May 14, 2003, totake effect July 1, 2003; amended June 21, 2004, to takeeffect Jan. 1, 2005; amended June 20, 2011, to take effectJan. 1, 2012.)

HISTORY—2003: Prior to 2003, when both the title andtext were amended, Section 25-59 read: ‘‘Closed Hearingsand Records

‘‘Subject to the provision of Section 11-20, any family mattermay be heard in chambers or in a courtroom from which thepublic and press have been excluded, and the records andother papers in any family matter may be ordered by the court


to be kept confidential and not to be open to inspection exceptunder order of the court or a judge thereof.’’

COMMENTARY—2003: The public and press enjoy a rightof access to attend trials in civil as well as criminal cases.Press-Enterprise Co. v. Superior Court, 478 U.S. 1, 10, 106S. Ct. 2735, 92 L. Ed. 2d 1 (1986); Globe Newspaper Co. v.Superior Court, 457 U.S. 596, 606, 102 S. Ct. 2613, 73 L.Ed. 2d 248 (1982); Westmoreland v. Columbia BroadcastingSystem, Inc., 752 F.2d 16, 22 (2d Cir. 1984).

For a further discussion of court closure, see the Commen-tary to Sections 11-20 and 42-49. It is intended that the aboverule also apply to family support magistrates.

HISTORY—2005: Prior to 2005, the third sentence of sub-section (d) read: ‘‘The time, date and scope of any such ordershall be in writing and shall be signed by the judicial authorityand be entered by the court clerk in the court file.’’

COMMENTARY—2005: As used in subsection (a) above,the words ‘‘Except as otherwise provided by law’’ are intendedto exempt from the operation of this rule all established proce-dures for the closure of courtroom proceedings as requiredor permitted by statute; e.g., General Statutes §§ 19a-583 (a)(10) (D) (pertaining to court proceedings as to disclosure ofconfidential HIV-related information), 36a-21 (b) (pertaining tocourt proceedings at which certain records of the departmentof banking are disclosed), 46b-11 (pertaining to hearings infamily relations matters), 54-86c (b) (pertaining to the disclo-sure of exculpatory information or material), 54-86f (pertainingto the admissibility of evidence of sexual conduct) and 54-86g(pertaining to the testimony of a victim of child abuse); otherrules of practice; e.g., Practice Book Section 40-43; and/orcontrolling state or federal case law.

The above amendment to subsection (d) establishes amechanism by which the public and the press, who are empow-ered by this rule to object to pending motions to close thecourtroom in family matters, will receive timely notice of thecourt’s disposition of such motions.

HISTORY—2012: Prior to 2012, the last sentence of sub-section (e) read: ‘‘A copy of the short calendar page containingthe aforesaid section shall, upon issuance of the short calen-dar, be posted on a bulletin board adjacent to the clerk’s officeand accessible to the public.’’


Sec. 25-59A. Sealing Files or Limiting Dis-closure of Documents in Family Matters(a) Except as otherwise provided by law, there

shall be a presumption that documents filed withthe court shall be available to the public.

(b) Except as provided in this section andexcept as otherwise provided by law, includingSection 13-5, the judicial authority shall not orderthat any files, affidavits, documents, or othermaterials on file with the court or filed in connec-tion with a court proceeding be sealed or theirdisclosure limited.

(c) Upon written motion of any party, or uponits own motion, the judicial authority may orderthat files, affidavits, documents, or other materials

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on file or lodged with the court or in connectionwith a court proceeding be sealed or their disclo-sure limited only if the judicial authority concludesthat such order is necessary to preserve an inter-est which is determined to override the public’sinterest in viewing such materials. The judicialauthority shall first consider reasonable alterna-tives to any such order and any such order shallbe no broader than necessary to protect suchoverriding interest. An agreement of the partiesto seal or limit the disclosure of documents on filewith the court or filed in connection with a courtproceeding shall not constitute a sufficient basisfor the issuance of such an order.

(d) In connection with any order issued pursuantto subsection (c) of this section, the judicialauthority shall articulate the overriding interestbeing protected and shall specify its findingsunderlying such order and the duration of suchorder. If any findings would reveal informationentitled to remain confidential, those findings maybe set forth in a sealed portion of the record. Thetime, date, scope and duration of any such ordershall be set forth in a writing signed by the judicialauthority which upon issuance the court clerk shallimmediately enter in the court file. The judicialauthority shall order that a transcript of its decisionbe included in the file or prepare a memorandumsetting forth the reasons for its order.

(e) Except as otherwise ordered by the judicialauthority, a motion to seal or limit the disclosureof affidavits, documents, or other materials on fileor lodged with the court or filed in connection witha court proceeding shall be calendared so thatnotice to the public is given of the time and placeof the hearing on the motion and to afford thepublic an opportunity to be heard on the motionunder consideration. The procedures set forth inSections 7-4B and 7-4C shall be followed in con-nection with a motion to file affidavits, documentsor other materials under seal or to limit their dis-closure.

(f) (1) A motion to seal the contents of an entirecourt file shall be placed on the short calendar tobe held not less than fifteen days following thefiling of the motion, unless the judicial authorityotherwise directs, so that notice to the public isgiven of the time and place of the hearing on themotion and to afford the public an opportunity tobe heard on the motion under consideration. Theprocedures set forth in Sections 7-4B and 7-4Cshall be followed in connection with such motion.

(2) The judicial authority may issue an ordersealing the contents of an entire court file onlyupon a finding that there is not available a morenarrowly tailored method of protecting the overrid-ing interest, such as redaction or sealing a portion

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-59A

of the file. The judicial authority shall state in itsdecision or order each of the more narrowly tai-lored methods that was considered and the rea-son each such method was unavailable orinadequate.

(g) The provisions of this section shall not applyto settlement conferences or negotiations or todocuments submitted to the court in connectionwith such conferences or negotiations. The provi-sions of this section shall apply to settlementagreements which have been filed with the courtor have been incorporated into a judgment ofthe court.

(h) Sworn statements of current income,expenses, assets and liabilities filed with the courtpursuant to Sections 25-30 and 25a-15 shall beunder seal and be disclosable only to the judicialauthority, to court personnel, to the parties to theaction and their attorneys, and to any guardiansad litem and attorneys appointed for any minorchildren involved in the matter, except as other-wise ordered by the judicial authority. Any personmay file a motion to unseal these documents.When such motion is filed, the provisions of para-graphs (a) through (e) of this section shall applyand the party who filed the documents shall havethe burden of proving that they should remainsealed. The judicial authority shall order that theautomatic sealing pursuant to this paragraph shallterminate with respect to all such sworn state-ments then on file with the court when any hearingis held at which financial issues are in dispute.This shall not preclude a party from filing a motionto seal or limit disclosure of such sworn state-ments pursuant to this section.

(i) Any Income Withholding for Support form(JD-FM-1) filed with the clerk’s office, after beingsigned by the clerk, shall be returned to the filerfor service on the payer of income. A copy of thesigned form shall be retained for the court fileand shall be under seal. Any such copy shall bedisclosable only to the judicial authority, to courtpersonnel, to the parties to the action and theirattorneys, and to any individual or entity undercooperative agreement with the Title IV-D agencyrequesting disclosure of such form in the adminis-tration of the child support program. Any personmay file a motion to unseal this document. A copyof the signed form with all social security numbersand dates of birth redacted by the clerk shall beretained in the court file and be available for pub-lic inspection.

(j) When placed on a short calendar, motionsfiled under this rule shall be listed in a separatesection titled "Motions to Seal or Close" and shallalso be listed with the time, date and place of thehearing on the Judicial Branch website. A notice

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of such motion being placed on the short calendarshall, upon issuance of the short calendar, beposted on a bulletin board adjacent to the clerk’soffice and accessible to the public.

(Adopted May 14, 2003, to take effect July 1, 2003;amended June 21, 2004, to take effect Jan. 1, 2005; amendedJune 20, 2011, to take effect Jan. 1, 2012; amended June 14,2013, to take effect Jan. 1, 2014; amended June 12, 2015,to take effect Jan. 1, 2016.)

COMMENTARY—2003: The public and press enjoy a rightof access to attend trials in civil as well as criminal cases. SeeNixon v. Warner Communications, Inc., 435 U.S. 589, 608,98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978). The guarantee ofopen public proceedings in civil trials applies as well to thesealing of court documents. See Publicker Industries, Inc. v.Cohen, 733 F.2d 1059, 1070–71 (3d Cir. 1984).

See also the Commentary to Section 42-49A.Subsection (h) is intended to minimize the potential for

abuse that can result when personal financial information ismade available to persons who engage in identity theft orother illegal activities.

It is intended that subsection (h) not apply retroactively tosworn statements that have been filed before the effectivedate of this rule.

It is intended that the above rule also apply to family sup-port magistrates.

It is intended that the use of pseudonyms in place of thename of a party or parties not be permitted in family cases.

HISTORY—2005: Prior to 2005, the third sentence of sub-section (d) read: ‘‘The time, date, scope and duration of anysuch order shall forthwith be reduced to writing and be signedby the judicial authority and entered by the court clerk in thecourt file.’’ In 2005, in the first sentence of subsection (h), acomma was substituted for ‘‘and’’ between ‘‘court personnel’’and ‘‘to the parties’’ and the words ‘‘and to any guardians adlitem and attorneys appointed for any minor children involvedin the matter,’’ were inserted.

COMMENTARY—2005: As used in subsection (a) above,the words ‘‘Except as otherwise provided by law’’ are intendedto exempt from the operation of this rule all established proce-dures for the sealing or ex parte filing, in camera inspectionand/or nondisclosure to the public of documents, records andother materials, as required or permitted by statute; e.g., Gen-eral Statutes §§ 12-242vv (pertaining to taxpayer information),52-146c et seq. (pertaining to the disclosure of psychiatricrecords) and 54-56g (pertaining to the pretrial alcohol educa-tion program); other rules of practice; e.g., Practice Book Sec-tions 7-18, 13-5 (6)–(8) and 40-13 (c); and/or controlling stateor federal case law; e.g., Matza v. Matza, 226 Conn. 166,627 A.2d 414 (1993) (establishing a procedure whereby anattorney seeking to withdraw from a case due to his client’santicipated perjury at trial may support his motion to withdrawby filing a sealed affidavit for the court’s review).

The above amendment to subsection (d) establishes amechanism by which the public and the press, who are empow-ered by this rule to object to pending motions to seal files orlimit the disclosure of documents in family matters, will receivetimely notice of the court’s disposition of such motions.

The above change to subsection (h) adds to those catego-ries of individuals to whom financial affidavits filed with thecourt pursuant to Section 25-30 are disclosable the following:guardians ad litem and attorneys appointed for the minorchildren.

HISTORY—2012: Prior to 2012, the last sentence of sub-section (i) read: ‘‘A copy of the short calendar page containing

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERSSec. 25-59A

the aforesaid section shall, upon issuance of the short calen-dar, be posted on a bulletin board adjacent to the clerk’s officeand accessible to the public.’’


HISTORY—2014: In 2014, ‘‘and 25a-15’’ was added tothe first sentence of subsection (h), following ‘‘25-30,’’ and‘‘Section’’ was made plural, before ‘‘25-30 and 25a-15.’’

COMMENTARY—2014: The above change is made tomake clear that the provisions of Section 25-59A (h) apply tosworn statements filed under Section 25a-15 (a).

HISTORY—2016: In 2016, what had been the second andthird sentences of subsection (h) were deleted. Prior to 2016,the second and third sentences of subsection (h) read: ‘‘Whensuch sworn statements are filed, the clerk shall place them ina sealed envelope clearly identified with the words ‘FinancialAffidavit.’ All such sworn statements that are filed in a casemay be placed in the same sealed envelope.’’

Also in 2016, what is now subsection (i) was added andwhat had been subsection (i) was designated subsection (j).

COMMENTARY—2016: The language that has beendeleted in subsection (h) was applicable to a paper file. Thereare, as of December 15, 2014, paperless family files for whichsealing financial affidavits in an envelope is not applicable.A comparable electronic process ‘‘seals’’ those affidavits inaccordance with the other provisions of this section.

New subsection (i) concerns the Income Withholding forSupport form (JD-FM-1) which is a federally mandated form.The social security number and dates of birth are requiredfields, and there is currently no law that protects this informa-tion from disclosure. Family files are now electronic and maybe viewed from any courthouse public access computer in thestate, allowing for greater access to these documents withoutthe need to go to a clerk’s office. Therefore, the most secureway of protecting the social security number and other per-sonal identifying information on this form is to seal the copyof the form that is retained in the court file. A provision hasbeen included to allow any person to move to unseal thedocument. A redacted copy of the signed form will be retainedin the court file for public inspection.

Sec. 25-59B. —Documents Containing Per-sonal Identifying Information(a) The requirements of Section 25-59A shall

not apply to ‘‘personal identifying information,’’ asdefined in Section 4-7, that may be found in docu-ments filed with the court, with the exception offinancial affidavits that are under seal. When afinancial affidavit is unsealed, this section shallapply. If a document containing personal identi-fying information is filed with the court, a partyor a person identified by the personal identifyinginformation may request that the document con-taining the personal identifying information besealed. In response to such request, or on its ownmotion, the court shall order that the document besealed and that the party who filed the documentsubmit a redacted copy of the document withinten days of such order.

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(b) If the party who filed the document fails tosubmit a redacted copy of the document withinten days of the order, the court may enter sanc-tions, as appropriate, against said party for suchfailure upon the expiration of the ten day period.Upon the submission of a redacted copy of suchdocument, the original document containing thepersonal identifying information shall be retainedas a sealed document in the court file, unlessotherwise ordered by the court.


Sec. 25-60. Evaluations, Studies, FamilyServices Mediation Reports and Family Ser-vices Conflict Resolution Reports(Amended June 20, 2011, to take effect Aug. 15, 2011;

amended June 13, 2014, to take effect Jan. 1, 2015.)(a) Whenever, in any family matter, an evalua-

tion or study has been ordered pursuant to Section25-60A or Section 25-61, or the Court SupportServices Division Family Services Unit has beenordered to conduct mediation or to hold a conflictresolution conference pursuant to Section 25-61,the case shall not be disposed of until the reporthas been filed as hereinafter provided, and coun-sel and the parties have had a reasonable oppor-tunity to examine it prior to the time the case isto be heard, unless the judicial authority ordersthat the case be heard before the report is filed.

(b) Any report of an evaluation or study pursuantto Section 25-60A or Section 25-61, or any media-tion report or conflict resolution conference reportfiled by the Family Services Unit as a result of areferral of the matter to such unit, shall be filedwith the clerk, who will seal such report, and shallbe provided by the filer to counsel of record,guardians ad litem and self-represented partiesunless otherwise ordered by the judicial authority.Any such report shall be available for inspectionto counsel of record, guardians ad litem, and theparties to the action, unless otherwise ordered bythe judicial authority.

(c) Any report of an evaluation or study pre-pared pursuant to Section 25-60A or Section 25-61 shall be admissible in evidence provided theauthor of the report is available for cross-exami-nation.

(P.B. 1978-1997, Sec. 479.) (Amended June 20, 2011, totake effect Aug. 15, 2011; amended June 13, 2014, to takeeffect Jan. 1, 2015.)

Sec. 25-60A. Court-Ordered Private Evalu-ations(Amended June 15, 2012, to take effect Jan. 1, 2013).(a) If the court orders a private evaluation of

any party or any child in a family proceeding wherecustody, visitation or parental access is at issue,

SUPERIOR COURT—PROCEDURE IN FAMILY MATTERS Sec. 25-61A

a state licensed mental health professional shallconduct such evaluation.

(b) Notice of any orders relating to the evalua-tion ordered shall be communicated to the evalua-tor by the guardian ad litem or, where there is noguardian ad litem, by court personnel.

(c) Until a court-ordered evaluation is filed withthe clerk pursuant to Section 25-60 (b), counselfor the parties shall not initiate contact with theevaluator, unless otherwise ordered by the judi-cial authority.

(d) The provisions of subsections (a) and (b) ofSection 25-60 shall apply to completed privatecourt-ordered evaluations.

(Adopted June 20, 2011, to take effect Aug. 15, 2011;amended June 15, 2012, to take effect Jan. 1, 2013.)

Sec. 25-61. Family DivisionThe family services unit shall, at the request

of the judicial authority, provide assistance withregard to issues concerning custody, visitation,finances, mediation, case management and suchother matters as the judicial authority may direct,including, but not limited to, an evaluation of anyparty or any child in a family proceeding. If anevaluation of a party or child is requested by thejudicial authority, counsel for the party or childshall not initiate contact with the evaluator, unlessotherwise ordered by the judicial authority, untilthe evaluation is filed with the clerk pursuant toSection 25-60 (b).


Sec. 25-61A. Standing Committee on Guard-ians Ad Litem and Attorneys for the MinorChild in Family Matters(a) There shall be a standing committee on

guardians ad litem and attorneys for the minorchild in family matters. The membership shall con-sist of nine individuals, appointed by the chiefcourt administrator. The members shall serve atthe pleasure of the chief court administrator, andshall include:

(1) the chief public defender, or his or herdesignee;

(2) a mental health professional, with experi-ence in the fields of child and family matters;

(3) the commissioner of the department of pub-lic health, or his or her designee;

(4) an attorney in good standing, licensed topractice law in the State of Connecticut by thejudicial branch, who focuses his or her practicein the area of family law, and who is not on thelist of individuals qualified to be appointed as aguardian ad litem or an attorney for a minor childin a family matter;

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(5) two judges of the superior court with experi-ence presiding over family matters, one of whomshall be designated by the chief court administra-tor to serve as chairperson;

(6) two members of the public; and(7) a representative of a nonprofit legal services

organization who has experience in family law.(b) In addition to any other powers and duties

set forth in this chapter, the standing committeeon guardians ad litem and attorneys for the minorchild in family matters shall:

(1) From time to time, establish additional quali-fications, not inconsistent with Sections 25-62 and25-62A, for an individual to be deemed eligible tobe appointed as a guardian ad litem or attorneyfor the minor child in family matters;

(2) Approve the curriculum for the trainingrequired by Sections 25-62 and 25-62A asamended;

(3) Establish and administer a process by whichan individual may be removed from the list ofthose deemed eligible for appointment as a guard-ian ad litem or attorney for the minor child in fam-ily matters;

(4) Annually review and approve a list of individ-uals deemed eligible for appointment as a guard-ian ad litem or attorney for the minor child in familymatters; and

(5) Adopt procedures to carry out its functions.(c) The office of chief public defender shall col-

laborate with the standing committee on guard-ians ad litem and attorneys for the minor child infamily matters to:

(1) Administer the training of guardians ad litemand attorneys for the minor child in family matters;

(2) Promulgate and maintain an application forindividuals to be deemed eligible to be appointedas a guardian ad litem or attorney for the minorchild in family matters; and

(3) Provide a list of qualified individuals to beeligible for appointment as a guardian ad litem orattorney for the minor child to the judicial branchat least once per year.

(d) The office of chief public defender may pro-mulgate and maintain an additional applicationprocess for eligible individuals wishing to contractwith the office of chief public defender to serveas a guardian ad litem or attorney for the minorchild at state rates.

(Adopted June 24, 2016, to take effect Jan. 1, 2017.)COMMENTARY—2017: This new rule establishes a stand-

ing committee on guardians ad litem (GALs) and attorneysfor the minor child (AMCs) to, among other things, approve thetraining curriculum for GALs and AMCs, establish additionalqualifications for GALs and AMCs, establish and administera process by which to add or remove an individual from thelist of those deemed eligible for appointment, and to approvethe list of GALs and AMCs.


Sec. 25-62. Appointment of Guardian AdLitem(a) The judicial authority may appoint a guard-

ian ad litem for a minor involved in any familymatter. Unless the judicial authority orders thatanother person be appointed guardian ad litem,a family relations counselor shall be designatedas guardian ad litem. The guardian ad litem is notrequired to be an attorney.

(b) With the exception of family relations coun-selors, no person may be appointed as guardianad litem unless he or she:

(1) Is an attorney in good standing, licensed topractice law in the State of Connecticut by thejudicial branch, or is a mental health professional,licensed by the Connecticut department of publichealth and in good standing, in the areas of clinicalsocial work, marriage and family therapy, profes-sional counseling, psychology or psychiatry;

(2) Provides proof that he or she does not havea criminal record;

(3) Provides proof that he or she does notappear on the department of children and families’central registry of child abuse and neglect;

(4) Completes a minimum of twenty hours ofpreservice training as determined by the standingcommittee on guardians ad litem and attorneysfor the minor child in family matters;

(5) Meets any additional qualifications estab-lished by the standing committee on guardiansad litem and attorneys for the minor child in familymatters; and

(6) Applies, provides proof of the foregoingitems and is approved as eligible to serve as aguardian ad litem by the standing committee onguardians ad litem and attorneys for the minorchild in family matters.

(c) The status of all individuals deemed eligibleto be appointed as a guardian ad litem in familymatters shall be reviewed by the standing commit-tee on guardians ad litem and attorneys for theminor child in family matters every three years.To maintain eligibility, individuals must:

(1) Certify that they have completed twelvehours of relevant training within the past threeyears, three hours of which must be in ethics;

(2) Disclose any changes to their criminalhistory;

(3) Certify that they do not appear on the depart-ment of children and families’ central registry ofchild abuse and neglect; and

(4) Meet additional qualifications as determinedby the standing committee on guardians ad litemand attorneys for the minor child in family matters.

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(d) The judicial authority may order compensa-tion for services rendered by a court-appointedguardian ad litem.


HISTORY—2017: Prior to 2017, this section read: ‘‘Thejudicial authority may appoint a guardian ad litem for a minorinvolved in any family matter. Unless the judicial authorityorders that another person be appointed guardian ad litem, afamily relations counselor shall be designated as guardian adlitem. The guardian ad litem is not required to be an attorney.With the exception of family relations counselors, no personmay be appointed as guardian ad litem until he or she hascompleted the comprehensive training program for all familydivision guardians ad litem sponsored by the judicial branch.The judicial authority may order compensation for servicesrendered by a court appointed guardian ad litem.’’

COMMENTARY—2017: The changes to this rule sets outthe minimum professional and other qualifications and continu-ing education requirements that an individual must possessand meet in order to be and remain eligible for appointmentas a guardian ad litem.

Sec. 25-62A. Appointment of Attorney for aMinor Child(a) The judicial authority may appoint an attor-

ney for the minor child in any family matter.(b) No person may be appointed as an attorney

for the minor child unless he or she:(1) Is an attorney in good standing, licensed to

practice law in the state of Connecticut.(2) Provides proof that he or she does not have

a criminal record;(3) Provides proof that he or she does not

appear on the department of children and families’central registry of child abuse and neglect;

(4) Completes a minimum of twenty hours ofpreservice training as determined by the standingcommittee on guardians ad litem and attorneysfor the minor child in family matters;

(5) Meets any additional qualifications estab-lished by the standing committee on guardiansad litem and attorneys for the minor child in familymatters; and

(6) Applies, provides proof of the foregoingitems and is approved as eligible to serve as anattorney for the minor child by the standing com-mittee on guardians ad litem and attorneys for theminor child in family matters.

(c) The status of all individuals deemed eligibleto be appointed as an attorney for the minor childin family matters shall be reviewed by the standingcommittee on guardians ad litem and attorneys forthe minor child in family matters every three years.

To maintain eligibility, individuals must:(1) Certify that they have completed twelve

hours of relevant training within the past threeyears, three hours of which must be in ethics;


(2) Disclose any changes to their criminalhistory;

(3) Certify that they do not appear on the depart-ment of children and families’ central registry ofchild abuse and neglect; and

(4) Meet additional qualifications as determinedby the standing committee on guardians ad litemand attorneys for the minor child in family matters.

(d) The judicial authority may order compensa-tion for services rendered by a court-appointedattorney for the minor child.


HISTORY—2017: Prior to 2017, this section read: ‘‘Thejudicial authority may appoint an attorney for a minor child inany family matter. No person shall be appointed as an attorneyfor a minor child until he or she has completed the comprehen-sive training program for all family division attorneys for minorchildren sponsored by the judicial branch. The judicial authoritymay order compensation for services rendered by an attorneyfor a minor child.’’

COMMENTARY—2017: The change to this rule sets outthe minimum professional and additional qualifications andcontinuing education requirements that an individual must pos-sess and meet in order to be and remain eligible for appoint-ment as an attorney for the minor child.

Sec. 25-63. Right to Counsel in Family CivilContempt Proceedings(a) A person who is before the court in a civil

contempt proceeding involving the failure to com-ply with the order of a judicial authority in a familymatter and who faces potential incarceration shallbe advised of his or her right to be representedby counsel and his or her right to court appointedcounsel if he or she is indigent. If the person isunable to obtain counsel by reason of his or herindigency he or she shall have counsel appointedto represent him or her unless:

(1) He or she waives such appointment pursu-ant to Section 25-64; or

(2) At the time of the application for the appoint-ment of counsel, the judicial authority eliminatesincarceration as a possible result of the proceed-ing and makes a statement to that effect on therecord.

(b) The person shall be further advised that noperson shall continue to be detained in a correc-tional facility pursuant to an order of civil contemptfor longer than thirty days, unless at the expirationof such thirty days he or she is presented to thejudicial authority. On each such presentment, thecontemnor shall be given an opportunity to purgehimself or herself of the contempt by compliancewith the order of the judicial authority. If the con-temnor does not so act, the judicial authority maydirect that the contemnor remain in custody underthe terms of the order of the judicial authority then

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in effect, or may modify the order if the interestsof justice so dictate.

(c) Any attorney appointed to represent the con-temnor shall represent such contemnor only onthe contempt, and shall not be appointed for anyother purpose.

(P.B. 1978-1997, Sec. 484A.)

Sec. 25-64. —WaiverA person shall be permitted to waive his or her

right to counsel and shall be permitted to repre-sent himself or herself at any stage of the proceed-ings, either prior to or following the appointmentof counsel. A waiver will be accepted only afterthe judicial authority makes a thorough inquiryand is satisfied that the person:

(1) Has been clearly advised of his or her rightto the assistance of counsel, including his or herright to the assignment of counsel when he or sheis so entitled;

(2) Possesses the intelligence and capacity toappreciate the consequences of the decision torepresent himself or herself;

(3) Comprehends the nature of the proceed-ings, the range of permissible sanctions and anyadditional facts essential to a broad understand-ing of the case; and

(4) Has been made aware of the risks and dis-advantages of self-representation.

(P.B. 1978-1997, Sec. 484B.)

Sec. 25-65. Family Support Magistrates;Procedure[Repealed as of Aug. 1, 2010.]

Sec. 25-66. Appeal from Decision of FamilySupport Magistrate[Repealed as of Aug. 1, 2010.]

Sec. 25-67. Support Enforcement Services[Repealed as of Aug. 1, 2010.]

Sec. 25-68. Right to Counsel in State Initi-ated Paternity Actions(a) A putative father named in a state initiated

paternity action shall be advised by the judicialauthority of his right to be represented by counseland his right to court appointed counsel if indigent.If he is unable to obtain counsel by reason ofhis indigency he shall have counsel appointed torepresent him unless he waives such appointmentpursuant to Section 25-64.

(b) In cases under this section a copy of thepaternity petition shall be served on the attorneygeneral in accordance with the provisions of Sec-tions 10-12 through 10-17. The attorney generalshall be a party to such cases, but he or she


need not be named in the petition or summonedto appear.

(P.B. 1978-1997, Sec. 484C.)

Sec. 25-69. Social Services; AdditionalDuties(a) Under the supervision and direction of the

judicial authority, a family relations counselorshall, where there is a motion for change of cus-tody of a child, or where his or her knowledge ofthe family situation causes him or her to believethat the welfare of the child requires a hearing ona change of custody, upon direction of the judicialauthority, be permitted to investigate the domesticand financial situation of the parties and reporthis or her findings. The judicial authority maythereafter, on its own motion if necessary, hold ahearing thereon after such notice to the partiesas it deems proper.

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(b) Under the supervision and direction of thejudicial authority, the family relations counselorshall conduct such investigations or mediationconferences in domestic relations matters as maybe directed by the judicial authority.

(c) Under the supervision and direction of thejudicial authority, the family relations counselormay, where necessary, bring an application to thecourt for a rule requiring a party to appear beforethe court to show cause why such party shouldnot be held in contempt for failure to comply withan order of the judicial authority for visitation.

(d) Family relations caseworkers, family rela-tions counselors and support enforcement officersshall investigate all criminal matters involving fam-ily relations cases referred to them by the prose-cuting attorney or by the judicial authority.

(P.B. 1978-1997, Sec. 481A.)

SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERS Sec. 25a-1

SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORTMAGISTRATE MATTERS

CHAPTER 25a

FAMILY SUPPORT MAGISTRATE MATTERS

Sec. Sec.25a-1. Family Support Magistrate Matters; Procedure25a-1A. Notice of Title IV-D Child Support

Enforcement Services25a-2. Prompt Filing of Appearance25a-3. Withdrawal of Appearance; Duration of

Appearance25a-4. Telephonic Hearings25a-5. Signing of Pleading25a-6. Contents of Petition25a-7. Automatic Orders upon Service of Petition25a-8. Order of Notice25a-9. Motions25a-10. —Motion to Cite in New Parties25a-11. Answer to Cross Petition25a-12. Order of Pleadings25a-13. Reclaims25a-14. —Continuances when Counsel’s Presence or

Oral Argument Required25a-15. Statements to Be Filed

COMMENTARY—August, 2010: This new chapter is intended to clarify what rules of practice are specifically incorporated inthe family support magistrate court rules and what rules are exclusive only to the family support magistrate court. They includerules that mirror, to the extent possible, the language of the superior court rules but are in an exclusive new section based upon

the sense that they vary sufficiently such that it was more efficacious to provide them as separate rules.

Sec. 25a-1. Family Support Magistrate Mat-ters; Procedure(a) In addition to the specific procedures set

out in this chapter, the following provisions shallgovern the practice and procedure in all familysupport magistrate matters, whether heard by afamily support magistrate or any other judicialauthority. The term ‘‘judicial authority’’ and theword ‘‘judge’’ as used in the rules referenced inthis section shall include family support magis-trates where applicable, unless specifically other-wise designated. The word ‘‘complaint’’ as usedin the rules referenced in this section shall includepetitions and applications filed in family supportmagistrate matters.

(1) General Provisions:(A) Chapters 1, 2, 5 and 6, in their entirety;(B) Chapter 3, in its entirety except subsection

(b) of Section 3-2 and Section 3-9;(C) Chapter 4, in its entirety except subsections

(a) and (b) of Section 4-2;(D) Chapter 7, Section 7-19.(2) Procedures in Civil Matters:(A) Chapter 8, Sections 8-1 and 8-2;(B) Chapter 9, Sections 9-1 and 9-18 through

9-20;

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25a-16. Opening Argument25a-17. Motion to Open Judgment of Paternity by

Acknowledgment25a-18. Modification of Alimony or Support25a-19. Standard Disclosure and Production25a-20. Medical Evidence25a-21. Experts25a-22. Interrogatories; In General25a-23. Answers to Interrogatories25a-24. Requests for Production, Inspection

and Examination; In General25a-25. Order for Compliance; Failure to

Answer or Comply with Order25a-26. Continuing Duty to Disclose25a-27. Depositions; In General25a-28. —Place of Deposition25a-29. Appeal from Decision of Family Support

Magistrate25a-30. Support Enforcement Services

(C) Chapter 10, Sections 10-1, 10-3 through10-5, 10-7, 10-10, 10-12 through 10-14, 10-17,10-26, 10-28, subsections (a) and (c) of Section10-30, 10-31 through 10-34, subsection (b) ofSection 10-39, 10-40, 10-43 through 10-45 and10-59 through 10-68;

(D) Chapter 11, Sections 11-1 through 11-8,11-10 through 11-12 and 11-19;

(E) Chapter 12, in its entirety;(F) Chapter 13, Sections 13-1 through 13-3, 13-

5, 13-8, 13-10 except subsection (c), 13-11A, 13-21 except subdivision (13) of subsection (a), sub-sections (a), (e), (f), (g) and (h) of Sections 13-27, 13-28 and 13-30 through 13-32;

(G) Chapter 14, Sections 14-1 through 14-3,14-9, 14-15, 14-17, 14-18, 14-24 and 14-25;

(H) Chapter 15, Sections 15-3, 15-5, 15-7 and15-8;

(I) Chapter 17, Sections 17-1, 17-4, 17-5, 17-19, 17-21, subsection (a) of Sections 17-33 and17-41;

(J) Chapter 18, Section 18-19;(K) Chapter 19, Section 19-19;(L) Chapter 20, Sections 20-1 and 20-3;(M) Chapter 23, Sections 23-20, 23-67 and

23-68.

SUPERIOR COURT—PROCEDURE IN FAMILY SUPPORT MAGISTRATE MATTERSSec. 25a-1

(3) Procedure in Family Matters:Chapter 25, Sections 25-1, 25-9, 25-12 through

25-22, 25-27, 25-33, 25-48, 25-54, 25-59, 25-59A,25-61, 25-62 through 25-64 and 25-68.

(b) Any pleading or motion filed in a family sup-port magistrate matter shall indicate, in the lowerright hand corner of the first page of the document,that it is a family support magistrate matter.

(c) Family support magistrate matters shall beplaced on the family support magistrate matterslist for hearing and determination.

(d) Family support magistrate list matters shallbe assigned automatically by the clerk without thenecessity of a written claim. No such matters shallbe so assigned unless filed at least five daysbefore the opening of court on the day the list isto be called.

(e) Family support magistrate list matters shallnot be continued except by order of a judicialauthority.

(Adopted June 21, 2010, to take effect Aug. 1, 2010;amended June 14, 2013, to take effect Oct. 1, 2013.)

Sec. 25a-1A. Notice of Title IV-D Child Sup-port Enforcement Services(a) In any Title IV-D support case as defined

by General Statutes § 46b-231, the Title IV-Dagency, or one of its cooperative agencies, shallfile a notice, on a form prescribed by the office ofthe chief court administrator, that the parties orchild are receiving child support enforcementservices.

(b) Upon termination of child support enforce-ment services, the Title IV-D agency, or one ofits cooperative agencies, shall file a notice, on aform prescribed by the office of the chief courtadministrator, that the Title IV-D support case isclosed.

(Adopted June 24, 2016, to take effect Jan. 1, 2017.)COMMENTARY—2017: This rule is intended to inform the

superior court in new or pending matters that the same partiesor child are also receiving child support enforcement services.

Sec. 25a-2. Prompt Filing of AppearanceAn appearance in Title IV-D child support mat-

ters should be filed promptly but may be filed atany stage of the proceeding.

(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.25a-2 was temporarily assigned the number 25a-1A in theConnecticut Law Journal of July 13, 2010.)

Sec. 25a-3. Withdrawal of Appearance;Duration of Appearance(a) An attorney or party whose appearance has

been filed shall be deemed to have withdrawnsuch appearance upon failure to file a writtenobjection within ten days after written notice hasbeen given or mailed to such attorney or partythat a new appearance has been filed in place

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of the appearance of such attorney or party inaccordance with Section 3-8.

(b) An attorney may withdraw his or her appear-ance for a party or parties in any action after theappearance of other counsel representing thesame party or parties has been entered. An appli-cation for withdrawal in accordance with this sub-section shall state that such an appearance hasbeen entered and that such party or parties arebeing represented by such other counsel at thetime of the application. Such an application maybe granted by the clerk as of course, if such anappearance by other counsel has been entered.

(c) In addition to the grounds set forth in subsec-tions (a), (b), and (d), a lawyer who represents aparty or parties on a limited basis in accordancewith Section 3-8 (b) and has completed his or herrepresentation as defined in the limited appear-ance, shall file a certificate of completion of limitedappearance on Judicial Branch form JD-CL-122.The certificate shall constitute a full withdrawal ofa limited appearance. Copies of the certificatemust be served in accordance with Sections 10-12 through 10-17 on the client, and all attorneysand self-represented parties of record.

(d) All appearances of counsel shall be deemedto have been withdrawn 180 days after the entryof judgment in any action seeking a dissolutionof marriage or civil union, annulment, or legal sep-aration, provided no appeal shall have beentaken. In the event of an appeal or the filing of amotion to open a judgment within such 180 days,all appearances of counsel shall be deemed tohave been withdrawn after final judgment on suchappeal or motion or within 180 days after the entryof the original judgment, whichever is later. Noth-ing herein shall preclude or prevent any attorneyfrom filing a motion to withdraw with leave of thecourt during that period subsequent to the entry ofjudgment. In the absence of a specific withdrawal,counsel will continue of record for all postjudg-ment purposes until 180 days have elapsed fromthe entry of judgment or, in the event an appealor a motion to open a judgment is filed within such180 day period, until final judgment on that appealor determination of that motion, whichever is later.

(e) Except as provided in subsections (a), (b),(c), and (d) no attorney shall withdraw his or herappearance after it has been entered upon therecord of the court without the leave of the court.

(f) All appearances entered on behalf of partiesfor matters involving Title IV-D child support mat-ters shall be deemed to be for those matters only.

(g) All appearances entered on behalf of partiesin the family division of the superior court shall


not be deemed appearances for any matter involv-ing a Title IV-D child support matter unless specifi-cally so designated.

(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.25a-3 was temporarily assigned the number 25a-2 in the Con-necticut Law Journal of July 13, 2010; amended June 15,2012, to take effect Jan. 1, 2013; amended June 14, 2013,to take effect Oct. 1, 2013.)

Sec. 25a-4. Telephonic Hearings(a) In any case where mandated by law, the

judicial authority shall upon written motion or onits own motion permit an individual to testify bytelephone or other audio electronic means.

(b) In any case where permitted by law, thejudicial authority may, upon written motion or onits own motion, permit an individual to testify bytelephone or other audio electronic means.

(c) Upon an order for a telephonic hearing, thejudicial authority shall set the date, time and placefor such hearing and shall issue an order in con-nection therewith.


Sec. 25a-5. Signing of Pleading(a) Every pleading and other paper of a party

represented by an attorney shall be signed byat least one attorney of record in the attorney’sindividual name. A party who is not representedby an attorney, and a support enforcement officerwhere appropriate, shall sign the pleadings andother papers. The name of the attorney, partyor support enforcement officer who signs suchdocument shall be legibly typed or printed beneaththe signature.

(b) The signing of any pleading, motion, objec-tion or request shall constitute a certificate thatthe signer has read such document, that to thebest of the signer’s knowledge, information andbelief there is good ground to support it, that it isnot interposed for delay, and that the signer hascomplied with the requirements of Section 4-7regarding personal identifying information. Eachpleading and every other court-filed documentshall set forth the signer’s telephone number andmailing address.

(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.25a-5 was temporarily assigned the number 25a-2B in theConnecticut Law Journal of July 13, 2010.)

Sec. 25a-6. Contents of PetitionAll petitions shall contain a concise statement

of the facts constituting the cause of action, ademand for relief and the basis on which reliefis sought.

(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.25a-6 was temporarily assigned the number 25a-3 in the Con-necticut Law Journal of July 13, 2010.)

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Sec. 25a-7. Automatic Orders upon Serviceof Petition(a) The following automatic orders shall apply

to both parties, with service of the automaticorders to be made with service of process of apetition for child support. An automatic order shallnot apply if there is a prior, contradictory order ofa judicial authority. The automatic orders shallbe effective with regard to the petitioner or theapplicant upon the signing of the document initiat-ing the action (whether it be complaint, petition orapplication), and with regard to the respondent,upon service and shall remain in place duringthe pendency of the action, unless terminated,modified, or amended by further order of a judicialauthority upon motion of either of the parties:

(1) Neither party shall cause the other party orthe children who are the subject of the complaint,application or petition to be removed from anymedical, hospital and dental insurance coverage,and each party shall maintain the existing medical,hospital and dental insurance coverage in fullforce and effect.

(b) The automatic orders of a judicial authorityas enumerated in subsection (a) shall be set forthimmediately following the party’s requested reliefin any complaint, petition or application, and shallset forth the following language in bold letters: Ifyou do not follow or obey these orders youmay be punished by contempt of court. If youobject to these orders or would like to havethem changed or modified while your case ispending, you have the right to a hearing by ajudicial authority within a reasonable time. Theclerk shall not accept for filing any complaint, peti-tion or application that does not comply withthis subsection.


Sec. 25a-8. Order of Notice(a) On a petition for support or the establish-

ment of paternity when the adverse party residesout of or is absent from the state or the where-abouts of the adverse party are unknown to theplaintiff or the applicant, any judicial authority orclerk of the court may make such order of noticeas he or she deems reasonable. If such notice isby publication, it shall not include the automaticorders set forth in Section 25a-7, but shall,instead, include a statement that automatic ordershave issued in the case pursuant to Section 25a-7 and that such orders are set forth in the applica-tion or petition on file with the court. Such noticehaving been given and proved, the judicial author-ity may hear the application or petition if it finds


that the adverse party has actually received noticethat the application or petition is pending. If actualnotice is not proved, the judicial authority in itsdiscretion may hear the case or continue it forcompliance with such further order of notice as itmay direct.

(b) With regard to any motion for modificationor for contempt or any other motion requiring anorder of notice, where the adverse party residesout of or is absent from the state, any judicialauthority or clerk of the court may make suchorder of notice as he or she deems reasonable.Such notice having been given and proved, thecourt may hear the motion if it finds that theadverse party has actually received notice thatthe motion is pending.


Sec. 25a-9. Motions(a) Any appropriate party may move for child

support, appointment of counsel or guardian adlitem for the minor child, counsel fees, or for anorder or enforcement of an order with respect tothe maintenance of the family or for any otherstatutorily authorized relief.

(b) Each such motion shall state clearly, in thecaption of the motion, whether it is a pendentelite or a postjudgment motion.


Sec. 25a-10. —Motion to Cite in New PartiesAny motion to cite in or to admit new parties

must comply with Section 11-1 and state brieflythe grounds upon which it is made. In Title IV-Dchild support matters, a motion to cite in or toadmit new parties is limited to a parent, legal cus-todian or guardian.


Sec. 25a-11. Answer to Cross PetitionA plaintiff in a family support magistrate matter

seeking to contest the grounds of a cross petitionmay file an answer admitting or denying the alle-gations of such cross petition or leaving thepleader to his or her proof. If a decree is renderedon the cross petition, the judicial authority mayaward to the plaintiff such relief as is claimed inthe petition.

(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.25a-11 was temporarily assigned the number 25a-6 in theConnecticut Law Journal of July 13, 2010.)

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Sec. 25a-12. Order of PleadingsThe order of pleadings shall be:(1) the petition for establishment of paternity

and/or a petition for support;(2) the defendant’s motion to dismiss the

petition;(3) the defendant’s motion to strike the petition

or claims for relief;(4) the defendant’s answer, cross petition and

claims for relief;(5) the plaintiff’s motion to strike the defendant’s

answer, cross petition, or claims for relief;(6) the plaintiff’s answer.(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.

25a-12 was temporarily assigned the number 25a-7 in theConnecticut Law Journal of July 13, 2010.)

Sec. 25a-13. ReclaimsIf a motion has gone off the family support mag-

istrate calendar without being adjudicated, anyparty may claim the motion for adjudication. If anobjection to a request has gone off the familysupport magistrate calendar without being adjudi-cated, the party who filed the request may claimthe objection to the request for adjudication. Anyparty may claim for adjudication any motion orrequest initiated by support enforcement servicesthat has gone off without being adjudicated anda support enforcement officer may claim anymotion or request initiated by support enforce-ment services that has gone off without beingadjudicated.


Sec. 25a-14. —Continuances when Coun-sel’s Presence or Oral Argument RequiredMatters upon the short calendar list requiring

oral argument or counsel’s presence shall not becontinued except for good cause shown; and nosuch matter in which adverse parties are inter-ested shall be continued unless the parties shallagree thereto before the day of the short calendarsession and notify the clerk, who shall make notethereof on the list of the judicial authority; in theabsence of such agreement, unless the judicialauthority shall otherwise order, any counselappearing may argue the matter and submit it fordecision or request that it be denied.


Sec. 25a-15. Statements to Be Filed(a) At least five days before the hearing date

of a motion or order to show cause concerningalimony, support, or counsel fees, or at the time


a dissolution of marriage or civil union, legal sepa-ration or annulment action or action for custodyor visitation is scheduled for a hearing, each partyshall file, where applicable, a sworn statementsubstantially in accordance with a form prescribedby the chief court administrator, of current income,expenses, assets and liabilities. When the attor-ney general has appeared as a party in interest,a copy of the sworn statements shall be servedupon him or her in accordance with Sections 10-12 through 10-14 and 10-17. Unless otherwiseordered by the judicial authority, all appearing par-ties shall file sworn statements within thirty daysprior to the date of the decree. Notwithstandingthe above, the court may render pendente liteand permanent orders, including judgment, in theabsence of the opposing party’s sworn statement.The provisions of Section 25-59A (h) shall applyto sworn statements filed under this subsection.

(b) Where there is a minor child who requiressupport, the parties shall file a completed childsupport and arrearage guidelines worksheet atthe time of any court hearing concerning childsupport.

(c) At the time of any hearing, including pen-dente lite and postjudgment proceedings, in whicha moving party seeks a determination, modifica-tion, or enforcement of any alimony or child sup-port order, a party shall submit an Advisement ofRights Re: Income Withholding form (JD-FM-71).

(Adopted June 21, 2010, to take effect Aug. 1, 2010;amended June 14, 2013, to take effect Jan. 1, 2014.) (Sec.25a-15 was temporarily assigned the number 25a-9 in theConnecticut Law Journal of July 13, 2010.)

Sec. 25a-16. Opening ArgumentInstead of reading the pleadings, any party shall

be permitted to make a brief opening statementat the discretion of the judicial authority, to apprisethe trier in general terms as to the nature of thecase being presented for trial. The judicial author-ity shall have discretion as to the latitude of thestatements of the parties.


Sec. 25a-17. Motion to Open Judgment ofPaternity by Acknowledgment(a) Any mother or acknowledged father who

wishes to challenge an acknowledgment of pater-nity pursuant to General Statutes § 46b-172 (a)(2) shall file a motion to open judgment, whichshall state the statutory grounds upon which themotion is based and shall append a certified copyof the document containing the acknowledgmentof paternity to such motion.

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(b) Upon receipt of such motion to open andaccompanying document, the clerk shall causethe matter to be docketed.

(c) Any action to challenge an acknowledgmentof paternity for which there is no other family courtfile involving the same parties shall be com-menced by an order to show cause accompaniedby the motion to open judgment and the documentcontaining the acknowledgment of paternityrequired by subsection (a) of this section. Uponpresentation of the motion to open and theacknowledgment of paternity, the judicial authorityshall cause an order to be issued requiring theadverse party or parties to appear on a day certainand show cause, if any there be, why the reliefrequested by the moving party should not begranted. The motion to open, acknowledgment ofpaternity and order shall be served on the adverseparty not less than twelve days before the dateof the hearing, which shall not be held more thanthirty days from the filing of the challenge.

(d) Nothing in this section shall preclude anindividual from filing a special defense of a chal-lenge to a paternity judgment, or a counterclaimin response to a petition for support.


Sec. 25a-18. Modification of Alimony orSupport(a) Upon an application for a modification of an

award of alimony or support of minor children,filed by a person who is then in arrears under theterms of such award, the judicial authority may,upon hearing, ascertain whether such arrearagehas accrued without sufficient excuse so as toconstitute a contempt of court and, in its discre-tion, may determine whether any modification ofcurrent alimony and support shall be ordered priorto the payment, in whole or in part as the judicialauthority may order, of any arrearage found toexist.

(b) In Title IV-D matters, upon any motion tomodify support for minor children, where themotion seeks to reduce the amount of support,the judicial authority may, upon hearing, ascertainwhether such arrearage has accrued without suffi-cient excuse so as to constitute a contempt ofcourt and, in its discretion, may determine whetherany modification of current alimony and supportshall be ordered prior to the payment, in whole orin part as the judicial authority may order, of anyarrearage found to exist.

(c) Either parent or both parents of minor chil-dren, or any individual receiving Title IV-D ser-vices from the state of Connecticut may be citedor summoned by any party to the action, or in Title


IV-D matters by support enforcement services ofthe judicial branch, to appear and show causewhy orders of support or alimony should not beentered or modified.

(d) In matters where the parties, or other individ-uals pursuant to subsection (b) of this section,to a child support order are receiving Title IV-Dservices from the state of Connecticut, supportenforcement services of the judicial branch mayinitiate a motion to modify an existing child supportorder pursuant to General Statutes § 46b-231 (s)(4) and, in connection with such motion, may issuean order and summons and assign a date for ahearing on such motion.

(e) If any applicant, other than support enforce-ment services of the judicial branch, is proceedingwithout the assistance of counsel and citation ofany other party is necessary, the applicant shallsign the application and present the application,proposed order and summons to the clerk; theclerk shall review the proposed order and sum-mons and, unless it is defective as to form, shallsign the proposed order and summons and shallassign a date for a hearing on the application.

(f) Each motion for modification shall state thespecific factual and statutory basis for the claimedmodification and shall include the outstandingorder and date thereof to which the motion formodification is addressed.

(g) On motions addressed to financial issues,the provisions of Section 25-30 (a), (e) and (f)shall be followed.


Sec. 25a-19. Standard Disclosure and Pro-duction(a) Upon request by a party or as ordered by the

judicial authority, opposing parties shall exchangethe following documents within thirty days of suchrequest or such order:

(1) all federal and state income tax returns filedwithin the last three years, including personalreturns and returns filed on behalf of any partner-ship or closely held corporation of which a partyis a partner or shareholder;

(2) IRS forms W-2, 1099 and K-1 within the lastthree years including those for the past year if theincome tax returns for that year have not beenprepared;

(3) copies of all pay stubs or other evidence ofincome for the current year and the last pay stubfrom the past year;

(4) statements for all accounts maintained withany financial institution, including banks, brokersand financial managers, for the past twenty-fourmonths;

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(5) the most recent statement showing anyinterest in any Keogh, IRA, profit sharing plan,deferred compensation plan, pension plan, orretirement account;

(6) the most recent statement regarding anyinsurance on the life of any party;

(7) a summary furnished by the employer of theparty’s medical insurance policy, coverage, costof coverage, spousal benefits, and COBRA costsfollowing dissolution;

(8) any written appraisal concerning any assetowned by either party.

(b) Such duty to disclose shall continue duringthe pendency of the action should a party appear.This section shall not preclude discovery underany other provisions of these rules.


Sec. 25a-20. Medical EvidenceA party who plans to offer a hospital record in

evidence shall have the record in the clerk’s officetwenty-four hours prior to trial. Counsel must rec-ognize their responsibility to have medical testi-mony available when needed and shall, whennecessary, subpoena medical witnesses to thatend.


Sec. 25a-21. ExpertsAs soon as is practicable, if a party, including

the state of Connecticut, is going to rely on in-court expert testimony, that party shall providenotice to all opposing parties, but said notice shallnot be provided less than fourteen days before thehearing. Discovery, facts unknown, and opinionsheld by experts may be ordered disclosed by thejudicial authority on such terms and conditions asthe judicial authority deems reasonable.


Sec. 25a-22. Interrogatories; In General(a) In any action in the family support magistrate

division to establish, enforce or modify a childsupport order, upon motion of any party and whenthe judicial authority deems it necessary, anyparty may be required to answer all or part of theinterrogatories set forth in Form 207 of the rulesof practice, which is printed in the Appendix ofForms in this volume.

(b) In any paternity action before the family sup-port magistrate division, interrogatories may onlybe served upon a party where the judicial authoritydeems it necessary.


(c) For good cause shown, in postjudgmentmatters, the judicial authority may upon motionauthorize further discovery.


Sec. 25a-23. Answers to Interrogatories(a) Any such interrogatories shall be answered

under oath by the party to whom directed andsuch answers shall not be filed with the court butshall be served within thirty days after the date ofcertification of service, in accordance with Sec-tions 10-12, 10-14 and 10-17, of the interrogato-ries or, if applicable, the notice of interrogatorieson the answering party, unless:

(1) Counsel file with the court a written stipula-tion extending the time within which answers orobjections may be served; or

(2) The party to whom the interrogatories aredirected, after service in accordance with Sections10-12,10-14 and 10-17, files a request for exten-sion of time, for not more than thirty days, withinthe initial thirty day period. Such request shallcontain a certification by the requesting party thatthe case has not been assigned for trial. Suchrequest shall be deemed to have been automati-cally granted by the judicial authority on the dateof filing, unless within ten days of such filing theparty who has served the interrogatories or thenotice of interrogatories shall file objectionthereto. A party shall be entitled to one suchrequest for each set of interrogatories directed tothat party; or

(3) Upon motion, the judicial authority allows alonger time.

(b) The party answering interrogatories shallattach a cover sheet to the answers. The coversheet shall comply with Sections 4-1 and 4-2 andshall state that the party has answered all of theinterrogatories or shall set forth those interrogato-ries to which the party objects and the reasonsfor objection. The cover sheet and the answersshall not be filed with the court unless theresponding party objects to one or more interroga-tories, in which case only the cover sheet shallbe so filed.

(c) All answers to interrogatories shall repeatimmediately before each answer the interrogatorybeing answered. Answers are to be signed bythe person making them. The party serving theinterrogatories or the notice of interrogatories maymove for an order under Section 25a-25 withrespect to any failure to answer.


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Sec. 25a-24. Requests for Production,Inspection and Examination; In General(a) Upon motion and by order of the judicial

authority, requests for production may be servedupon any party at any time after the return day.

(b) If data has been electronically stored, thejudicial authority may for good cause shown orderdisclosure of the data in an alternative format pro-vided the data is otherwise discoverable. Whenthe judicial authority considers a request for aparticular format, the judicial authority may con-sider the cost of preparing the disclosure in therequested format and may enter an order that oneor more parties shall pay the cost of preparingthe disclosure.

(c) The party serving such request or notice ofrequests for production shall not file it with thecourt.

(d) A party seeking the production of a writtenauthorization in compliance with the Health Insur-ance Portability and Accountability Act to inspectand make copies of protected health information,or a written authorization in compliance with thePublic Health Service Act to inspect and makecopies of alcohol and drug records that are pro-tected by that act, shall file a motion pursuant toSection 13-11A.


Sec. 25a-25. Order for Compliance; Failureto Answer or Comply with Order(a) If any party has failed to answer interrogato-

ries or to answer them fairly, or has intentionallyanswered them falsely or in a manner calculatedto mislead, or has failed to respond to requestsfor production or has failed to comply with theprovisions of Section 25a-26, or has failed toappear and to testify at a deposition duly noticedpursuant to this chapter, or has failed otherwisesubstantially to comply with any other discoveryorder made pursuant to Sections 13-8, 13-10except subsection (c), 25a-22, 25a-23 or 25a-24,the judicial authority may make such order asappropriate.

(b) Such orders may include the following:(1) The entry of a nonsuit or default against the

party failing to comply;(2) The award to the discovering party of the

costs of the motion, including a reasonable attor-ney’s fee;

(3) The entry of an order that the mattersregarding which the discovery was sought or otherdesignated facts shall be taken to be establishedfor the purposes of the action in accordance withthe claim of the party obtaining the order;


(4) The entry of an order prohibiting the partywho has failed to comply from introducing desig-nated matters in evidence;

(5) If the party failing to comply is the plaintiff,the entry of a judgment of dismissal.


Sec. 25a-26. Continuing Duty to DiscloseIf, subsequent to compliance with any request

or order for discovery at any time the matter isbefore the court, a party discovers additional ornew material or information previously requestedand ordered subject to discovery or inspection ordiscovers that the prior compliance was totally orpartially incorrect or, though correct when made,is no longer true and the circumstances are suchthat a failure to amend the compliance is in sub-stance a knowing concealment, that party shallpromptly notify the other party, or the other party’sattorney, and file and serve in accordance withSections 10-12, 10-14 and 10-17 a supplementalor corrected compliance.


Sec. 25a-27. Depositions; In GeneralIn addition to other provisions for discovery and

subject to the provisions of Sections 13-2, 13-3and 13-5, any party who has appeared in anyTitle IV-D matter or in any matter under GeneralStatutes §§ 46b-301 through 46b-425 where thejudicial authority finds it reasonably probable thatevidence outside the record will be required, may,at any time after the commencement of the actionor proceeding, in accordance with the proceduresset forth in this chapter, take the testimony of anyperson, including a party, by deposition upon oralexamination. The attendance of witnesses maybe compelled by subpoena as provided in Section13-28. The attendance of a party deponent or ofan officer, director, or managing agent of a partymay be compelled by notice to the named personor such person’s attorney in accordance with therequirements of Section 13-27 (a). The depositionof a person confined in prison may be taken onlyby leave of the judicial authority on such termsas the judicial authority prescribes.

Leave of the court for such a deposition isrequired. Motions for the taking of a depositionshall include the proposed notice of the depositionand the identification of such documents or othertangible evidence as may be sought to be subpoe-naed. Only those documents or other tangible evi-dence approved by the judicial authority shall bepermitted to be subpoenaed from the deponent.


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TECHNICAL CHANGE: The first sentence now refers toGeneral Statutes §§ 46b-301 through 46b-425. See PublicActs 2015, No. 15-71.

Sec. 25a-28. —Place of Deposition(a) Any party who is a resident of this state may

be compelled by notice as provided in Section 13-27 (a) to give a deposition at any place within thecounty of such party’s residence, or within thirtymiles of such residence, or at such other placeas is fixed by order of the judicial authority. Aplaintiff who is a resident of this state may alsobe compelled by like notice to give a depositionat any place within the county where the actionis commenced or is pending.

(b) Except as otherwise required by law, a plain-tiff who is not a resident of this state may becompelled by notice under Section 13-27 (a) toattend at the plaintiff’s expense an examinationin the county of this state where the action iscommenced or is pending or at any place withinthirty miles of the plaintiff’s residence or within thecounty of his or her residence or in such otherplace as is fixed by order of the judicial authority.

(c) Except as otherwise required by law, adefendant who is not a resident of this state maybe compelled:

(1) By subpoena to give a deposition in anycounty in this state in which the defendant is per-sonally served, or

(2) By notice under Section 13-27 (a) to give adeposition at any place within thirty miles of thedefendant’s residence or within the county of hisor her residence or at such other place as is fixedby order of the judicial authority.

(d) A nonparty deponent may be compelled bysubpoena served within this state to give a deposi-tion at a place within the county of his or herresidence or within thirty miles of the nonpartydeponent’s residence, or if a nonresident of thisstate within any county in this state in which heor she is personally served, or at such other placeas is fixed by order of the judicial authority.

(e) In this section, the terms ‘‘plaintiff’’ and‘‘defendant’’ include officers, directors and man-aging agents of corporate plaintiffs and corporatedefendants or other persons designated underSection 13-27 (h) as appropriate.

(f) If a deponent is an officer, director or manag-ing agent of a corporate party, or other persondesignated under Section 13-27 (h), the place ofexamination shall be determined as if the resi-dence of the deponent were the residence ofthe party.

(Adopted June 21, 2010, to take effect Aug. 1, 2010.) (Sec.25a-28 was temporarily assigned the number 25a-19B in theConnecticut Law Journal of July 13, 2010.)


Sec. 25a-29. Appeal from Decision of FamilySupport MagistrateAny person who is aggrieved by a final decision

of a family support magistrate may appeal suchdecision in accordance with the provisions of Gen-eral Statutes § 46b-231. The appeal shall be insti-tuted by the filing of a petition which shall includethe reasons for the appeal.


Sec. 25a-30. Support Enforcement ServicesIn cases where the payment of alimony and/or

support has been ordered, a support enforcementofficer, where provided by statute, shall:

(a) Whenever there is a default in any paymentof alimony or support of children under judgmentsof dissolution of marriage or civil union or separa-tion, or of support under judgments of support,where necessary, (1) initiate and facilitate, but notadvocate on behalf of either party, an applicationto a family support magistrate and issue an orderrequiring said party to appear before a family sup-port magistrate to show cause why such partyshould not be held in contempt, or (2) take suchother action as is provided by rule or statute.

(b) Review child support orders (1) in non-TFATitle IV-D cases at the request of either parent orcustodial party subject to a support order, or uponreceipt of information indicating a substantialchange in circumstances of any party to the sup-port order, (2) in TFA cases, at the request of theoffice of child support services, (3) as necessary

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to comply with federal requirements for the childsupport enforcement program mandated by TitleIV-D of the Social Security Act, and initiate andfacilitate, but not advocate on behalf of eitherparty, an action before a family support magistrateto modify such support order if it is determinedupon such review that the order substantially devi-ates from the child support guidelines establishedpursuant to General Statutes § 46b-215a or§ 46b-215b. The requesting party shall have theright to such review every three years withoutproving a substantial change in circumstances;more frequent reviews shall be made only if therequesting party demonstrates a substantialchange in circumstances.

(c) In connection with subsections (a) or (b)above, or at any other time upon direction of afamily support magistrate, investigate (1) thefinancial situation of the parties, using all appro-priate information and resources available to theTitle IV-D child support program, including infor-mation obtained through electronic means fromstate and federal sources in the certified childsupport system, or (2) information about the statusof participation in programs that increase the par-ty’s ability to fulfill the duty of support, and reporthis or her findings thereon to a family supportmagistrate and to the parties and upon direction ofa family support magistrate facilitate agreementsbetween parties.


TECHNICAL CHANGE: Subsection (b) (2) of this sectionnow refers to the office of child support services. See PublicActs 2016, No. 16-13.

SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 26-1

SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS

CHAPTER 26

GENERAL PROVISIONS


Sec. Sec.26-1. Definitions Applicable to Proceedings on Juvenile

Matters


Sec. 26-1. Definitions Applicable to Pro-ceedings on Juvenile MattersIn these definitions and in the rules of practice

and procedure on juvenile matters, the singularshall include the plural and the plural, the singularwhere appropriate.

(a) The definitions of the terms ‘‘child,’’ ‘‘youth,’’‘‘abused,’’ ‘‘mentally deficient,’’ ‘‘delinquent,’’‘‘delinquent act,’’ ‘‘neglected,’’ ‘‘uncared for,’’‘‘alcohol-dependent child,’’ ‘‘family with serviceneeds,’’ ‘‘drug-dependent child,’’ ‘‘serious juvenileoffense,’’ ‘‘serious juvenile offender,’’ and ‘‘seri-ous juvenile repeat offender’’ shall be as set forthin General Statutes § 46b-120. The definition of‘‘victim’’ shall be as set forth in General Statutes§ 46b-122.

(b) ‘‘Commitment’’ means an order of the judi-cial authority whereby custody and/or guardian-ship of a child or youth are transferred to thecommissioner of the department of children andfamilies.

(c) ‘‘Complaint’’ means a written allegation orstatement presented to the judicial authority thata child’s or youth’s conduct as a delinquent orsituation as a child from a family with serviceneeds brings the child or youth within the jurisdic-tion of the judicial authority as prescribed by Gen-eral Statutes § 46b-121.

(d) ‘‘Detention’’ means a secure building or staffsecure facility for the temporary care of a childwho is the subject of a delinquency complaint.

(e) ‘‘Family support center’’ means a commu-nity-based service center for children and familiesinvolved with a complaint that has been filed withthe superior court under General Statutes § 46b-149, that provides multiple services, or access tosuch services, for the purpose of preventing suchchildren and families from having further involve-ment with the court as families with service needs.

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26-2. Persons in Attendance at Hearings26-3. Case Initiation; Electronic Filing

(f) ‘‘Guardian’’ means a person who has a judi-cially created relationship with a child or youth,which is intended to be permanent and self-sus-taining, as evidenced by the transfer to the care-taker of the following parental rights with respectto the child or youth: protection, education, careand control of the person, custody of the personand decision making.

(g) ‘‘Hearing’’ means an activity of the court onthe record in the presence of a judicial authorityand shall include (1) ‘‘Adjudicatory hearing’’: Acourt hearing to determine the validity of the factsalleged in a petition or information to establishthereby the judicial authority’s jurisdiction todecide the matter which is the subject of the peti-tion or information; (2) ‘‘Contested hearing on anorder of temporary custody’’ means a hearing onan ex parte order of temporary custody or an orderto appear which is held not later than ten daysfrom the day of a preliminary hearing on suchorders. Contested hearings shall be held on con-secutive days except for compelling circum-stances or at the request of the respondent; (3)‘‘Dispositive hearing’’: The judicial authority’sjurisdiction to adjudicate the matter which is thesubject of the petition or information having beenestablished, a court hearing in which the judicialauthority, after considering the social study or pre-dispositional study and the total circumstances ofthe child or youth, orders whatever action is in thebest interests of the child, youth or family and,where applicable, the community. In the discretionof the judicial authority, evidence concerning adju-dication and disposition may be presented in asingle hearing; (4) ‘‘Preliminary hearing’’ meansa hearing on an ex parte order of temporary cus-tody or an order to appear or the first hearing ona petition alleging that a child or youth is uncaredfor, abused, or neglected. A preliminary hearingon any ex parte custody order or order to appear

SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 26-1

shall be held not later than ten days from theissuance of the order; (5) ‘‘Plea hearing’’ is a hear-ing at which (i) a parent or guardian who is anamed respondent in a neglect, uncared for ordependency petition, upon being advised of hisor her rights, admits, denies, or pleads nolo con-tendere to allegations contained in the petition; or(ii) a child or youth who is a named respondentin a delinquency petition or information enters aplea of not guilty, guilty, or nolo contendere uponbeing advised of the charges against him or hercontained in the information or petition, or a hear-ing at which a child or youth who is a namedrespondent in a family with service needs petitionadmits or denies the allegations contained in thepetition upon being advised of the allegations.

(h) ‘‘Indian child’’ means an unmarried personunder age eighteen who is either a member of afederally recognized Indian tribe or is eligible formembership in a federally recognized Indian tribeand is the biological child of a member of a feder-ally recognized Indian tribe, and is involved incustody proceedings, excluding delinquency pro-ceedings.

(i) ‘‘Parent’’ means a biological mother or fatheror adoptive mother or father except a biologicalor adoptive mother or father whose parental rightshave been terminated; or the father of any childor youth born out of wedlock, provided at the timeof the filing of the petition (1) he has been adjudi-cated the father of such child or youth by a courtwhich possessed the authority to make such adju-dication, or (2) he has acknowledged in writing tobe the father of such child or youth, or (3) he hascontributed regularly to the support of such child,or (4) his name appears on the birth certificate,or (5) he has filed a claim for paternity as providedunder General Statutes § 46b-172a, or (6) he hasbeen named in the petition as the father of theminor child or youth by the mother.

(j) ‘‘Parties’’ includes: (1) The child or youth whois the subject of a proceeding and those additionalpersons as defined herein; (2) ‘‘Legal party’’: Anyperson, including a parent, whose legal relation-ship to the matter pending before the judicialauthority is of such a nature and kind as to man-date the receipt of proper legal notice as a condi-tion precedent to the establishment of the judicialauthority’s jurisdiction to adjudicate the matterpending before it; and (3) ‘‘Intervening party’’: Anyperson who is permitted to intervene in accord-ance with Section 35a-4.

(k) ‘‘Permanency plan’’ means a plan devel-oped by the commissioner of the department ofchildren and families for the permanent placementof a child or youth in the commissioner’s care.

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Permanency plans shall be reviewed by the judi-cial authority as prescribed in General Statutes§§ 17a-110 (b), 17a-111b (c), 46b-129 (k), 46b-141, and 46b-149 (j).

(l) ‘‘Petition’’ means a formal pleading, executedunder oath, alleging that the respondent is withinthe judicial authority’s jurisdiction to adjudicatethe matter which is the subject of the petition byreason of cited statutory provisions and seekinga disposition. Except for a petition for erasure ofrecord, such petitions invoke a judicial hearingand shall be filed by any one of the parties author-ized to do so by statute.

(m) ‘‘Information’’ means a formal pleading filedby a prosecutor alleging that a child or youth in adelinquency matter is within the judicial author-ity’s jurisdiction.

(n) ‘‘Probation’’ means a legal status created indelinquency cases following conviction wherebya respondent child is permitted to remain in thehome or in the physical custody of a relative orother fit person subject to supervision by the courtthrough the court’s probation officers and uponsuch terms as the judicial authority determines,subject to the continuing jurisdiction of the judi-cial authority.

(o) ‘‘Respondent’’ means a person who isalleged to be a delinquent or a child from a familywith service needs, or a parent or a guardian ofa child or youth who is the subject of a petitionalleging that the child is uncared for, abused,neglected, or requesting termination of parentalrights.

(p) ‘‘Specific steps’’ means those judiciallydetermined steps the parent or guardian and thecommissioner of the department of children andfamilies should take in order for the parent orguardian to retain or regain custody of a childor youth.

(q) ‘‘Staff secure facility’’ means a residentialfacility: (1) that does not include construction fea-tures designed to physically restrict the move-ments and activities of juvenile residents who areplaced therein, (2) that may establish reasonablerules restricting entrance to and egress from thefacility, and (3) in which the movements and activi-ties of individual juvenile residents may, for treat-ment purposes, be restricted or subject to controlthrough the use of intensive staff supervision.

(r) ‘‘Supervision’’ includes: (1) ‘‘Nonjudicialsupervision’’: A legal status without the filing of apetition or a court conviction or adjudication butfollowing the child’s admission to a complaintwherein a probation officer exercises supervisionover the child with the consent of the child and theparent; (2) ‘‘Protective supervision’’: A dispositionfollowing adjudication in neglected, abused or


uncared for cases created by an order of the judi-cial authority requesting a supervising agencyother than the court to assume the responsibilityof furthering the welfare of the family and bestinterests of the child or youth when the child’s oryouth’s place of abode remains with the parentor any suitable or worthy person, or when thejudicial authority vests custody or guardianship inanother suitable and worthy person, subject tothe continuing jurisdiction of the court; and (3)‘‘Judicial supervision’’: A legal status similar toprobation for a child adjudicated to be from a fam-ily with service needs or subject to supervisionpursuant to an order of suspended proceedingsunder General Statutes § 46b-133b or § 46b-133e.

(s) ‘‘Take into Custody Order’’ means an orderby a judicial authority that a child be taken intocustody and immediately turned over to a deten-tion superintendent where probable cause hasbeen found that the child has committed a delin-quent act, there is no less restrictive alternativeavailable, and the child meets the criteria set forthin Section 31a-13.

(P.B. 1978-1997, Sec. 1023.1.) (Amended June 24, 2002,to take effect Jan. 1, 2003; amended June 30, 2008, to takeeffect Jan. 1, 2009; amended June 21, 2010, to take effectJan. 1, 2011; amended June 20, 2011, to take effect Jan. 1,2012; amended June 15, 2012, to take effect Jan. 1, 2013;amended June 13, 2014, to take effect Jan. 1, 2015.)

Sec. 26-2. Persons in Attendance atHearings(a) Except as provided in subsection (b) of this

section, any judge hearing a juvenile matter, mayduring such hearing, exclude from the courtroom

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in which such hearing is held any person whosepresence is, in the court’s opinion, not necessary,except that in delinquency proceedings, any vic-tim shall not be excluded unless, after hearingfrom the parties and the victim and for good causeshown, which shall be clearly and specificallystated on the record, the judge orders otherwise.

(b) Any judge hearing a juvenile matter, in whicha child is alleged to be uncared for, neglected orabused or in which a child is the subject of apetition for termination of parental rights, may per-mit any person whom the court finds has a legiti-mate interest in the hearing or the work of thecourt to attend such hearing. Such person mayinclude a party, foster parent, relative related tothe child by blood or marriage, service provideror any person or representative of any agency,entity or association, including a representative ofthe news media. The court may, as a conditionof participation, for the child’s safety and protec-tion and for good cause shown, prohibit any per-son or representative of any agency, entity orassociation, including a representative of thenews media, who is present in court from furtherdisclosing any information that would identify thechild, the custodian or caretaker of the child orthe members of the child’s family involved inthe hearing.


Sec. 26-3. Case Initiation; Electronic FilingProceedings in juvenile matters may be initiated

and papers filed, signed or verified by electronicmeans in the manner prescribed in Section 4-4.


SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 27-4A

CHAPTER 27

RECEPTION AND PROCESSING OF DELINQUENCY AND FAMILY WITHSERVICE NEEDS COMPLAINTS OR PETITIONS


Sec. Sec.27-1. Complaints; In General [Repealed]27-1A. Referrals for Nonjudicial Handling of Delinquency

Complaints27-2. —Insufficient Allegations in Complaints [Repealed]27-3. —Sufficient Allegations in Complaints [Repealed]27-4. Additional Offenses and Misconduct27-4A. Ineligibility for Nonjudicial Handling of Delin-

quency Complaint


Sec. 27-1. Complaints; In General


Sec. 27-1A. Referrals for Nonjudicial Han-dling of Delinquency Complaints(Amended June 30, 2008, to take effect Jan. 1, 2009.)

(a) Any police summons accompanied by apolice report alleging an act of delinquency shallbe in writing and signed by the police officer andfiled with the clerk of the superior court for juvenilematters. After juvenile identification and docketnumbers are assigned, the summons and reportshall be referred to the probation department forpossible nonjudicial handling.

(b) If the probation officer determines that adelinquency complaint is eligible for nonjudicialhandling, the probation officer may cause a noticeto be mailed to the child and parent or guardiansetting forth with reasonable particularity the con-tents of the complaint and fixing a time and loca-tion of the court and date not less than sevendays, excluding Saturdays, Sundays, and holi-days, subsequent to mailing.

(c) Delinquency matters eligible for nonjudicialhandling shall be designated as such on thedocket. If the prosecuting authority objects to thedesignation, the judicial authority shall determineif such designation is appropriate. The judicialauthority may refer to the office of juvenile proba-tion a matter so designated and may, sua sponte,refer a matter for nonjudicial handling prior to adju-dication.


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27-5. Initial Interview for Delinquency Nonjudicial Han-dling Eligibility

27-6. Denial of Responsibility27-7. —Written Statement of Responsibility27-8. —Scheduling of Judicial Plea/Dispositional Hear-

ing [Repealed]27-8A. Nonjudicial Supervision—Delinquency27-9. Family with Service Needs Referrals

Sec. 27-2. —Insufficient Allegations in Com-plaints[Repealed as of Jan. 1, 2003.]

Sec. 27-3. —Sufficient Allegations in Com-plaints[Repealed as of Jan. 1, 2003.]

Sec. 27-4. Additional Offenses and Mis-conduct(Amended June 24, 2002, to take effect Jan. 1, 2003.)

Any additional police summons, delinquencycomplaint, delinquency petition, or informationregarding a child which is received by the courtprior to action by the judicial authority on anypending request for nonjudicial handling shall beconsolidated with the initial offenses or miscon-duct for purposes of eligibility for nonjudicialhandling.

(P.B. 1978-1997, Sec. 1025.1 (2).) (Amended June 24,2002, to take effect Jan. 1, 2003; amended June 30, 2008,to take effect Jan. 1, 2009.)

Sec. 27-4A. Ineligibility for Nonjudicial Han-dling of Delinquency Complaint(Amended June 30, 2008, to take effect Jan. 1, 2009.)

In the case of a delinquency complaint, a childshall not be eligible for nonjudicial handling if oneor more of the following apply, unless waived bythe judicial authority:

(1) The alleged misconduct:(A) is a serious juvenile offense under General

Statutes § 46b-120, or any other felony or viola-tion of General Statutes § 53a-54d;

(B) concerns the theft or unlawful use or opera-tion of a motor vehicle; or

SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 27-4A

(C) concerns the sale of, or possession of withintent to sell, any illegal drugs or the use or pos-session of a firearm.

(2) The child was previously convicted delin-quent or adjudged a child from a family with ser-vice needs.

(3) The child admitted nonjudicially at leasttwice previously to having been delinquent.

(4) The alleged misconduct was committed bya child while on probation or under judicial super-vision.

(5) If the nature of the alleged misconduct war-rants judicial intervention.


Sec. 27-5. Initial Interview for DelinquencyNonjudicial Handling Eligibility(Amended June 24, 2002, to take effect Jan. 1, 2003;


(a) At the initial interview to determine eligibilityfor nonjudicial handling of a delinquency com-plaint, held at the time of arraignment or noticedate, the probation officer shall inquire of the childand parent or guardian whether they have readthe court documents and understand the natureof the complaint set forth therein. Any allegationsof misconduct being considered for nonjudicialhandling, including any additional allegations notcontained in the summons or notice to appearbecause they were filed with the court after theissuance of that notice shall likewise be explainedin simple and nontechnical language.

(b) The probation officer shall inform the childand parent or guardian of their rights under Sec-tion 30a-1. If either the child or the parent or guard-ian state that they wish to be represented bycounsel, or if the probation officer determines thata judicial hearing is necessary, the interview shallend. Any further interview to consider nonjudicialhandling shall take place with counsel presentunless waived.

(P.B. 1978-1997, Sec. 1025.1 (3), (4).) (Amended June 24,2002, to take effect Jan. 1, 2003; amended June 30, 2008,to take effect Jan. 1, 2009.)

Sec. 27-6. Denial of Responsibility(Amended June 24, 2002, to take effect Jan. 1, 2003.)

Where the child denies responsibility for thealleged misconduct, the interview shall end andthe child and the parent or guardian shall beinformed that, if the evidence warrants, the casewill be set down for a plea hearing.


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Sec. 27-7. —Written Statement of Responsi-bility(a) Where the child and the parent or guardian

affirm that they are ready to go forward with theinvestigation, with or without counsel, and to makea statement concerning the child’s responsibilityfor the alleged misconduct, such affirmation mustbe embodied in a written statement of responsibil-ity executed by both child and parent, or guardian,and, in the case of the child, in the presence ofthe parent or guardian.

(b) If a child orally acknowledges responsibilityfor the alleged misconduct but refuses to executea written statement of responsibility, such an oraladmission shall not be accepted as the equivalentof an admission, and the case shall be dealt within the manner prescribed in Section 27-6. If thewritten statement of responsibility is executed, theprobation officer shall proceed with the nonjudicialhandling of the case.

(c) The age, intelligence and maturity of thechild and the mutuality of interests between parentor guardian and child shall be weighed indetermining their competency to execute suchwritten statement of responsibility.


Sec. 27-8. —Scheduling of Judicial Plea/Dispositional Hearing[Repealed as of Jan. 1, 2003.]

Sec. 27-8A. Nonjudicial Supervision—Del-inquency(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) If a child has acknowledged responsibility

for the alleged misconduct which is not one forwhich a judicial hearing is mandated pursuant toSection 27-4A, and the probation officer has thenfound from investigation of the child’s total circum-stances that some form of court accountabilityless exacting than that arising out of a courtappearance appears to be in the child’s best inter-ests, the officer may, subject to the conditionsimposed by subsection (b) hereof, place the childon nonjudicial supervision for a term establishedby the juvenile probation supervisor for a periodnot to exceed 180 days.

(b) Whenever the probation officer seeks toeffect nonjudicial supervision, the parent and thechild shall have a right to a conference with theprobation officer’s administrative superior, or acourt hearing. Whenever a parent or child electsto pursue either or both rights, supervision shallbe held in abeyance until the outcome thereof.

(c) Such nonjudicial supervision when com-pleted shall constitute a resolution of the case,


and thereafter a child may not again be presentedfor formal court action on the same summons,complaint or petition or the facts therein set forth,provided however, that a judicial hearing may beinitiated on the original summons, complaint, peti-tion, or information during said nonjudicial super-vision if there has been a failure to comply withterms of the supervision and any oral or writtenstatement of responsibility shall not be usedagainst the child. When the judicial authority refersthe file for nonjudicial handling, the referral ordershould provide that upon successful completionof any nonjudicial handling, the matter will be dis-missed and erased immediately without the filingof a request, application or petition for erasure,for all purposes except for subsequent consider-ation for nonjudicial handling under Section 27-4A.


Sec. 27-9. Family with Service NeedsReferrals(a) Any complaint alleging that a child is from

a family with service needs shall be referred to aprobation officer, who shall determine its suffi-ciency as a family with service needs complaint.If the probation officer determines the complaintis sufficient, the probation officer shall, after initialassessment promptly refer the child and the

327


child’s family to a suitable community-based pro-gram or other service provider or to a family sup-port center for voluntary services.

(b) If the child and the child’s family are referredto a community-based program or other serviceprovider and the person in charge of such programor provider determines that the child and thechild’s family can no longer benefit from its ser-vices, such person shall inform the probation offi-cer, who shall, after an appropriate assessment,either refer the child and the child’s family to afamily support center for additional services ordetermine whether or not to file a petition with thecourt. If the child and the child’s family are referredto a family support center and the person in chargeof the family support center determines that thechild and the child’s family can no longer benefitfrom its services, such person shall inform theprobation officer, who may file a petition withthe court.

(c) When a judicial authority, after a petition hasbeen filed, refers a child alleged to be from afamily with service needs to community-basedservices or other services or a family support cen-ter pursuant to General Statutes § 46b-149 (g),the referral order should provide that upon suc-cessful resolution, the matter will be dismissedand erased without the filing of a request, applica-tion, or petition for erasure for all purposes exceptsubsequent consideration for nonjudicial handlingof a delinquency complaint under Section 27-4A.



CHAPTER 28

DELINQUENCY AND FAMILY WITH SERVICE NEEDSNONJUDICIAL SUPERVISION


Sec.28-1. Nonjudicial Supervision [Repealed] (Transferred to

Section 27-8A.)


Sec. 28-1. Nonjudicial Supervision[Repealed as of Jan. 1, 2003.]

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CHAPTER 29

RECEPTION AND PROCESSING OF DELINQUENCY AND CHILD FROM FAMILY WITH SERVICENEEDS PETITIONS AND DELINQUENCY INFORMATIONS


Sec. Sec.29-1. Contents of Delinquency and Family with Service

Needs Petitions or Delinquency Informations29-1A. Processing of Delinquency Petitions and Infor-

mations


Sec. 29-1. Contents of Delinquency andFamily with Service Needs Petitions orDelinquency Informations(Amended June 24, 2002, to take effect Jan. 1, 2003;

amended June 13, 2014, to take effect Jan. 1, 2015.)(a) A delinquency petition or information shall

set forth in plain, concise and definite languagethe offense which the petitioner contends the childhas committed. The petition or information shallfurther state the citation of any provision of lawwhich is the basis of the petition or information,together with a statement that the offenseoccurred on or about a particular date or periodof time at a particular location.

(b) A family with service needs petition shall setforth in plain, concise and definite language thespecific misconduct which the petitioner contendsthe child or youth has committed. The petitionshall further state the citation of any provision oflaw which is the basis of the petition, together witha statement that the misconduct occurred on orabout a particular date or period of time at a partic-ular location.


Sec. 29-1A. Processing of Delinquency Peti-tions and InformationsThe procedures promulgated in General Stat-

utes § 46b-128 or § 46b-133 (a), (b), (c) and (d)shall apply. Any police summons and report whichrequires judicial processing should be returned tothe clerk for preparation of a formal informationbased on the police summons or report. The infor-mation, summons and report shall be submitted

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29-1B. Processing of Family with Service Needs Petitions29-2. Service of Petitions

to the juvenile prosecutor for review and verifiedsignature. The juvenile prosecutor may thereafterfile an amendment or a substituted information.


Sec. 29-1B. Processing of Family with Ser-vice Needs Petitions(Amended June 13, 2014, to take effect Jan. 1, 2015.)The procedures promulgated in General Stat-

utes § 46b-149 shall apply. Court process shallbe initiated by a petition filed by a probation officerand signed and verified by the juvenile prosecutor.


Sec. 29-2. Service of Petitions(a) Notice of summons, together with a copy

of the verified delinquency or family with serviceneeds petition, may be made to the child or youthand parent, guardian or other person having con-trol of the child or youth by service in accordancewith any one of the methods set out in GeneralStatutes § 46b-128. Any notice sent by first classmail shall include a provision informing the partythat appearance in court as a result of the noticemay subject the appearing party to the jurisdictionof the court. If the child or youth does not appearon the plea date, service shall be made in accord-ance with General Statutes § 46b-128 or § 46b-149 (d), as appropriate.

(b) Petitions alleging delinquency or family withservice needs misconduct shall be served or deliv-ered not less than seven days before the date ofthe hearing which shall be held not more thanthirty days from the date of filing of the petition.



CHAPTER 30

DETENTION

Sec. Sec.30-1. Notice and Statement by Person Bringing Child to

Detention [Repealed]30-1A. Admission to Detention30-2. Release [Repealed]30-2A. Family with Service Needs and Detention30-3. Advisement of Rights30-4. Notice to Parents by Detention Personnel


Sec. 30-1. Notice and Statement by PersonBringing Child to Detention[Repealed as of Jan. 1, 2003.]

Sec. 30-1A. Admission to DetentionWhenever an officer or other person intends

to admit a child into detention, the provisions ofGeneral Statutes § 46b-133 shall apply.


Sec. 30-2. Release[Repealed as of Jan. 1, 2003.]

Sec. 30-2A. Family with Service Needs andDetention(a) No child who has been adjudicated as a

child from a family with service needs in accord-ance with General Statutes § 46b-149 may beprocessed or held in a juvenile detention centeras a delinquent child, or be convicted as a delin-quent, solely for the violation of a valid order whichregulates future conduct of the child that wasissued by the court following such an adjudication,and no such child who is charged or found to bein violation of any such order may be ordereddetained in any juvenile detention center.

(b) No nondelinquent juvenile runaway fromanother state may be held in a juvenile detentioncenter in accordance with the provisions of Gen-eral Statutes § 46b-151h.


Sec. 30-3. Advisement of RightsUpon admission to detention, the child shall be

advised of the right to remain silent and the rightto counsel and be further advised of the right toa detention hearing in accordance with Sections30-5 through 30-8, which hearing may be waived

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30-5. Detention Time Limitations30-6. Basis for Detention30-7. Place of Detention Hearings30-8. Initial Order for Detention; Waiver of Hearing30-9. Information Allowed at Detention Hearing30-10. Orders of a Judicial Authority after Initial Deten-

tion Hearing30-11. Detention after Dispositional Hearing

only with the written consent of the child and thechild’s attorney.

(P.B. 1978-1997, Sec. 1030.1 (3).) (Amended June 24,2002, to take effect Jan. 1, 2003.)

Sec. 30-4. Notice to Parents by DetentionPersonnelUpon admission, the detention superintendent

or a designated representative shall make effortsto immediately notify the parent or guardian in themanner calculated most speedily to effect suchnotice and, upon the parent’s or guardian’sappearance at the detention facility, shall advisethe parent or guardian of his or her rights andnote the child’s rights, including the child’s rightto a detention hearing.


Sec. 30-5. Detention Time Limitations(a) No child shall be held in detention for more

than twenty-four hours, excluding Saturdays,Sundays, and holidays, unless (1) a delinquencypetition or information alleging delinquent conducthas been filed or an affidavit is filed by a policeofficer, probation officer or prosecutor setting forththe facts upon which they believe that a child indetention is a delinquent or nondelinquent childwhose return is sought by another jurisdiction inaccordance with the Interstate Compact on Juve-niles, and (2) an order for such continued deten-tion has been signed by the judicial authority.

(b) A hearing to determine probable cause andthe need for further detention shall be held no laterthan the next business day following the arrest.However, a judicial finding of probable cause mustbe made within forty-eight hours of arrest, includ-ing Saturdays, Sundays and holidays. If there isno such finding of said probable cause within forty-eight hours of the arrest, the child shall be


released from detention subject to an informationand subsequent arrest by warrant or take intocustody order.

(c) If a nondelinquent child is being held foranother jurisdiction in accordance with the Inter-state Compact on Juveniles, that child shall beheld not more than ninety days and shall be heldin a secure facility, as defined by rules promul-gated in accordance with the Compact, other thana locked, state operated detention facility.


Sec. 30-6. Basis for DetentionNo child shall be held in detention unless it

appears from the available facts that there is prob-able cause to believe that the child is responsiblefor the acts alleged, that there is no less restrictivealternative available and that there is (1) a strongprobability that the child will run away prior tothe court hearing or disposition, or (2) a strongprobability that the child will commit or attempt tocommit other offenses injurious to the child or thecommunity prior to the court disposition, or (3)probable cause to believe that the child’s contin-ued residence in the child’s home pending dispo-sition poses a risk to the child or the communitybecause of the serious and dangerous nature ofthe act or acts the child is alleged to have commit-ted, (4) a need to hold the child for another jurisdic-tion, (5) a need to hold the child to assure thechild’s appearance before the court, in view of thechild’s previous failure to respond to the courtprocess, or (6) the child has violated one or moreof the conditions of a suspended detention order.The court in exercising its discretion to detainunder General Statutes § 46b-133 (e) may con-sider a suspended detention order with graduatedsanctions as an alternative to detention in accord-ance with graduated sanctions procedures estab-lished by the judicial branch.

(P.B. 1978-1997, Sec. 1031.1 (2).) (Amended June 24,2002, to take effect Jan. 1, 2003; amended June 30, 2008,to take effect Jan. 1, 2009; amended June 20, 2011, to takeeffect Jan. 1, 2012.)

Sec. 30-7. Place of Detention HearingsThe initial detention hearing may be conducted

in the superior court for juvenile matters at thedetention facility where the child is held and, there-after, detention hearings shall be held at the supe-rior court for juvenile matters of appropriatevenue.


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Sec. 30-8. Initial Order for Detention; Waiverof Hearing(Amended June 24, 2002, to take effect Jan. 1, 2003.)Such initial order of detention may be signed

without a hearing only if there is a written waiverof the detention hearing by the child and the child’sattorney and there is a finding by the judicialauthority that the circumstances outlined in Sec-tion 30-6 pertain to the child in question. An orderof detention entered without a hearing shall autho-rize the detention of the child for a period not toexceed ten days, including the date of admission,and may further authorize the detention superin-tendent or a designated representative to releasethe child to the custody of a parent, guardian orsome other suitable person, with or without condi-tions of release, if detention is no longer neces-sary, except that no child shall be released fromdetention who is alleged to have committed a seri-ous juvenile offense except by order of a judicialauthority of the superior court. Such an ex parteorder of detention shall not be renewable withouta detention hearing before the judicial authority.


Sec. 30-9. Information Allowed at Deten-tion HearingAt the detention hearing the judicial authority

may consider any information which is materialand relevant to the issue of detention. Probablecause may be proven by sworn affidavit in lieu oftestimony. The probation department may ascer-tain such factors as might pertain to any need fordetention. Any written reports or social recordsmade available to the judicial authority shall bemade available to counsel of record and, in theabsence of counsel, to the parties unless the judi-cial authority finds that the availability of suchmaterials would be psychologically destructive tothe relationship between members of the family.Either through direct access or by quotation orsummation by the judicial authority, the partiesshould be made aware of such findings in thereports or social records as directly enter into thejudicial authority’s decision.


Sec. 30-10. Orders of a Judicial Authorityafter Initial Detention Hearing(Amended June 24, 2002, to take effect Jan. 1, 2003.)(a) At the conclusion of the initial detention hear-

ing, the judicial authority shall issue an order fordetention on finding probable cause to believethat the child has committed a delinquent act and


that at least one of the factors outlined in Section30-6 applies to the child.

(b) If the child is placed in detention, such orderfor detention shall be for a period not to exceedfifteen days, including the date of admission, oruntil the dispositional hearing is held, whicheveris the shorter period, unless, following a furtherdetention review hearing, the order is renewed.Such detention review hearing may not be waived.

(c) If the child is not placed in detention butreleased on a suspended order of detention onconditions, such suspended order of detentionshall continue to the dispositional hearing or untilfurther order of the judicial authority. Said sus-pended order of detention may be reviewed bythe judicial authority every fifteen days. Upon afinding of probable cause that the child has vio-lated any condition, a judicial authority may issuea take into custody order or order such child toappear in court for a hearing on revocation of thesuspended order of detention. Such an order toappear shall be served upon the child in accord-ance with General Statutes § 46b-128 (b), or, ifthe child is represented, by serving the order toappear upon the child’s counsel, who shall notifythe child of the order and the hearing date. After

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a hearing and upon a finding that the child hasviolated reasonable conditions imposed onrelease, the judicial authority may impose differentor additional conditions of release or may remandthe child to detention.

(d) In conjunction with any order of release fromdetention the judicial authority may, in accordancewith General Statutes § 46b-133 (g), order thechild to participate in a program of periodic drugtesting and treatment as a condition of suchrelease. The results of any such drug test shallbe admissible only for the purposes of enforcingthe conditions of release from detention.


Sec. 30-11. Detention after DispositionalHearingWhile awaiting implementation of the judicial

authority’s order in a delinquency case, a childmay be held in detention subsequent to the dispo-sitional hearing, provided a hearing to review thecircumstances and conditions of such detentionorder shall be conducted every fifteen days andsuch hearing may not be waived.


SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERS Sec. 30a-1

CHAPTER 30a

DELINQUENCY AND FAMILY WITH SERVICE NEEDS HEARINGS


Sec. Sec.30a-1. Initial Plea Hearing30a-1A. Family with Service Needs Preadjudication Con-

tinuance30a-2. Pretrial Conference30a-3. —Standards of Proof; Burden of Going Forward30a-4. Plea Canvass30a-5. Dispositional Hearing


Sec. 30a-1. Initial Plea Hearing(a) The judicial authority shall begin the hearing

by determining whether all necessary parties arepresent and that the rules governing service ornotice for nonappearing parties have been com-plied with, and shall note these facts for the record.The judicial authority shall then inform the partiesof the substance of the petition or information.

(b) In age appropriate language, the judicialauthority prior to any plea shall advise the childor youth and parent or guardian of the followingrights:

(1) That the child or youth is not obligated tosay anything and that anything that is said maybe used against the child or youth.

(2) That the child or youth is entitled to theservices of an attorney and that if the child oryouth and the parent or parents, or guardian areunable to afford an attorney for the child or youth,an application for a public defender or an attorneyappointed by the chief public defender should becompleted and filed with the office of the publicdefender or the clerk of the court to request anattorney without cost.

(3) That the child or youth will not be questionedunless he or she consents, that the child or youthcan consult with an attorney before being ques-tioned and may have an attorney present duringquestioning, and that the child or youth can stopanswering questions at any time.

(4) That the child or youth has the right to atrial and the rights of confrontation and cross-examination of witnesses.

(c) Notwithstanding any prior statementacknowledging responsibility for the acts alleged,the judicial authority shall inquire of the child oryouth whether the child or youth presently admits

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30a-6. —Statement on Behalf of Victim30a-6A. —Persons in Attendance at Hearings [Repealed]

(Transferred to Section 26-2.)30a-7. Recording of Hearings30a-8. Records30a-9. Appeals in Delinquency and Family with Service

Needs Proceedings

or denies the allegations of the petition or infor-mation.

(d) If the judicial authority determines that achild or youth, or the parent, parents or guardianof a child or youth are unable to afford counselfor the child or youth, the judicial authority shall,in a delinquency proceeding, appoint the office ofthe public defender to represent the child or youth,or in a family with service needs proceeding, notifythe chief public defender, who shall assign anattorney to represent the child or youth.

(e) If the judicial authority, even in the absenceof a request for appointment of counsel, deter-mines that the interests of justice require the provi-sion of an attorney to represent the child, youthor the child’s or youth’s parent or parents, guard-ian or other person having control of the child oryouth, in any delinquency or family with serviceneeds proceeding, the judicial authority mayappoint an attorney to represent any such partyand shall notify the chief public defender who shallassign an attorney to represent any such party.Where, under the provisions of this section, thecourt so appoints counsel for any such party whois found able to pay, in whole or in part, the costthereof, the judicial authority shall assess as costson the appropriate form against such parent orparents, guardian or other person having controlof the child or youth, including any agency vestedwith the legal custody of the child or youth, theexpense so incurred and paid by the PublicDefender Services Commission in providing suchcounsel, to the extent of their financial ability todo so in accordance with the rates establishedby the Public Defender Services Commission forcompensation of counsel.

(f) If the parent, parents or guardian of the childor youth fails to comply with a court order entered

SUPERIOR COURT—PROCEDURE IN JUVENILE MATTERSSec. 30a-1

in the best interests of the child or youth andis facing potential imprisonment for contempt ofcourt, such parent or guardian, if unable to affordcounsel, shall be entitled to have counsel providedfor such parent or guardian of the child or youthin accordance with subsection (e) of this section.

(g) For purposes of determining eligibility forappointment of counsel, the judicial authority shallcause the parent or guardian of a child or youthto complete a written statement under oath oraffirmation setting forth the child’s or youth’s, orparent’s, parents’ or guardian’s or other person’sliabilities and assets, income and sources thereof,and such other information as the office of thepublic defender or the Public Defender ServicesCommission shall designate and require on formsadopted by said office of the public defender orPublic Defender Services Commission.


Sec. 30a-1A. Family with Service Needs Pre-adjudication ContinuanceIf a family with service needs petition is filed

and it appears that the interest of the child or thefamily may be best served, prior to adjudication,by referral to community-based or other services,the judicial authority may permit the matter to becontinued for a reasonable period of time not toexceed six months, which time period may beextended by an additional three months for cause.If it appears at the conclusion of the continuancethat the matter has been satisfactorily resolved,the judicial authority may dismiss the petition.


Sec. 30a-2. Pretrial Conference(a) When counsel is requested, or responsibility

is denied, the case may be continued for a pretrialconference. At the pretrial, the parties may agreethat a substitute information will be filed, or thatcertain charges will be nolled or dismissed. If thechild or youth and parent or guardian subse-quently execute a written statement of responsibil-ity at the pretrial conference, or the attorney forthe child or youth conveys to the prosecutor anagreement on the adjudicatory grounds, a predis-positional study shall be compiled by the probationdepartment and the case shall be assigned for aplea and dispositional hearing.

(b) If a plea agreement has been reached bythe parties which contemplates the entry of anadmission in a family with service needs case, ora plea of guilty or nolo contendere in a delinquencycase, and the recommendation of a particular dis-position, the agreement shall be disclosed in opencourt at the time the plea is offered. Thereupon

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the judicial authority may accept or reject anyagreement, or may defer the decision on accep-tance or rejection of the agreement until it hashad an opportunity to review the predisposi-tional study.


Sec. 30a-3. —Standards of Proof; Burden ofGoing Forward(Amended June 30, 2003, to take effect Jan. 1, 2004.)(a) The standard of proof for a delinquency con-

viction is evidence beyond a reasonable doubtand for a family with service needs adjudicationis clear and convincing evidence.

(b) The burden of going forward with evidenceshall rest with the juvenile prosecutor.


Sec. 30a-4. Plea CanvassTo assure that any plea or admission is volun-

tary and knowingly made, the judicial authorityshall address the child or youth in age appropriatelanguage to determine that the child or youth sub-stantially understands:

(1) The nature of the charges;(2) The factual basis of the charges;(3) The possible penalty, including any exten-

sions or modifications;(4) That the plea or admission must be voluntary

and not the result of force, threats, or promises,apart from the plea agreement;

(5) That the child or youth has (i) the right todeny responsibility or plead not guilty or to persistif that denial or plea has already been made, (ii)the right to be tried by a judicial authority and (iii)at trial, the right to the assistance of counsel, theright to confront and cross-examine witnessesagainst him or her, and the right not to be com-pelled to incriminate himself or herself.


Sec. 30a-5. Dispositional Hearing(a) The dispositional hearing may follow imme-

diately upon a conviction or an adjudication.(b) The judicial authority may admit into evi-

dence any testimony that is considered relevantto the issue of the disposition, in any form thejudicial authority finds of probative value, but nodisposition shall be made by the judicial authorityuntil the predispositional study, unless waived,has been submitted. A written predispositionalstudy may be waived by the judicial authority forgood cause shown upon the request of the parties,provided that the basis for the waiver and the


probation officer’s oral summary of any investiga-tion are both placed on the record. The predisposi-tional study shall be presented to the judicialauthority and copies thereof shall be provided toall counsel in sufficient time for them to prepareadequately for the dispositional hearing, and, inany event, no less than forty-eight hours prior tothe date of the disposition.

(c) The prosecutor and the child or youth andparent or guardian shall have the right to producewitnesses on behalf of any dispositional plan theymay wish to offer.

(d) Prior to any disposition, the child or youthshall be allowed a reasonable opportunity to makea personal statement to the judicial authority inmitigation of any disposition.

(e) The judicial authority shall determine anappropriate disposition upon conviction of a childas delinquent in accordance with General Stat-utes §§ 46b-140 and 46b-141.

(f) The judicial authority shall determine anappropriate disposition upon adjudication of achild from a family with service needs in accord-ance with General Statutes § 46b-149 (h).

(g) The judicial authority shall determine theappropriate disposition upon a finding that a childadjudicated as a child from a family with serviceneeds has violated a valid court order.


Sec. 30a-6. —Statement on Behalf of VictimWhenever a victim of a delinquent act, the par-

ent or guardian of such victim or such victim’scounsel exercises the right to appear before thejudicial authority for the purpose of making a state-ment to the judicial authority concerning the dispo-sition of the case, no statement shall be receivedunless the delinquent has signed a statement of

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responsibility, confirmed a plea agreement orbeen convicted as a delinquent.


Sec. 30a-6A. —Persons in Attendance atHearings[Transferred as of Jan. 1, 2013, to Section 26-2.]

Sec. 30a-7. Recording of HearingsA verbatim stenographic or electronic recording

shall be kept of any hearing, the transcript of whichshall form part of the record of the case.


Sec. 30a-8. Records(a) Except as otherwise provided by statute, all

records maintained in juvenile matters broughtbefore the judicial authority, either current orclosed, including transcripts of hearings, shall bekept confidential.

(b) Except as otherwise provided by statute, nomaterial contained in the court records, includingthe predispositional study, medical or clinicalreports, school reports, police reports, or thereports of social agencies, may be copied or other-wise reproduced in written form in whole or in partby the parties without the express consent of thejudicial authority.

(c) Each counsel and self-represented party ina delinquency matter shall have access to and beentitled to copies, at his or her expense, of theentire court record, including transcripts of all pro-ceedings, without express consent of the judi-cial authority.


Sec. 30a-9. Appeals in Delinquency andFamily with Service Needs ProceedingsThe rules governing other appeals shall, so far

as applicable, be the rules for all proceedings indelinquency and family with service needsappeals.



CHAPTER 31

DELINQUENCY AND FAMILY WITH SERVICE NEEDS HEARING[Repealed as of Jan. 1, 2003.]

Sec. Sec.31-1. Adjudicatory Hearing; Actions by Judicial Author-

ity [Repealed]31-2. —Continuance for Pretrial Conference [Repealed]31-3. —Burden of Going Forward [Repealed]31-4. —Physical Presence of Child [Repealed]31-5. Dispositional Hearing; Factors to Be Considered by

Judicial Authority [Repealed]31-6. —When Held; Evidence and Predispositional

Study [Repealed]


Sec. 31-1. Adjudicatory Hearing; Actions byJudicial Authority[Repealed as of Jan. 1, 2003.]

Sec. 31-2. —Continuance for Pretrial Con-ference[Repealed as of Jan. 1, 2003.]

Sec. 31-3. —Burden of Going Forward[Repealed as of Jan. 1, 2003.]

Sec. 31-4. —Physical Presence of Child[Repealed as of Jan. 1, 2003.]

Sec. 31-5. Dispositional Hearing; Factors toBe Considered by Judicial Authority[Repealed as of Jan. 1, 2003.]

Sec. 31-6. —When Held; Evidence and Pre-dispositional Study[Repealed as of Jan. 1, 2003.]

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31-7. —Availability of Predispositional Study to Counseland Parties [Repealed]

31-8. —Dispositional Plan Offered by Child or Parent[Repealed]

31-9. —Statement on Behalf of Victim [Repealed]31-10. Modification of Probation and Supervision

[Repealed]31-11. Take into Custody [Repealed]31-12. Physical and Mental Examinations [Repealed]31-13. Mentally Ill Children [Repealed]

Sec. 31-7. —Availability of PredispositionalStudy to Counsel and Parties[Repealed as of Jan. 1, 2003.]

Sec. 31-8. —Dispositional Plan Offered byChild or Parent[Repealed as of Jan. 1, 2003.]

Sec. 31-9. —Statement on Behalf of Victim[Repealed as of Jan. 1, 2003.]

Sec. 31-10. Modification of Probation andSupervision[Repealed as of Jan. 1, 2003.]

Sec. 31-11. Take into Custody[Repealed as of Jan. 1, 2003.]

Sec. 31-12. Physical and Mental Exami-nations[Repealed as of Jan. 1, 2003.]

Sec. 31-13. Mentally Ill Children[Repealed as of Jan. 1, 2003.]


CHAPTER 31a

DELINQUENCY AND FAMILY WITH SERVICE NEEDS MOTIONS AND APPLICATIONS


Sec. Sec.31a-1. Motions and Amendments31a-1A. Continuances and Advancements31a-2. Motion for Bill of Particulars31a-3. Motion to Dismiss31a-4. Motion to Suppress31a-5. Motion for Judgment of Acquittal31a-6. Motion for Transfer of Venue31a-7. Motion in Limine31a-8. Motion for Sequestration31a-9. Severance of Offenses31a-10. Trial Together on Petitions or Informations31a-11. Motion for New Trial31a-12. Motion to Transfer to Adult Criminal Docket31a-13. Take into Custody Order


Sec. 31a-1. Motions and Amendments(a) A motion other than one made during a

hearing shall be in writing and have annexed toit a proper order and, where appropriate, shall bein the form called for by Section 4-1. A motionshall state in paragraphs successively numberedthe specific grounds upon which it is made. Acopy of the written motion shall be served on theopposing party or counsel pursuant to Sections10-12 through 10-17.

(b) Motions shall be filed not later than ten daysafter the setting of the trial date except with thepermission of the judicial authority. All motionsshall be calendared to be heard by the judicialauthority not later than fifteen days after filing pro-vided reasonable notice is given to parties in inter-est, or notices are waived. Any motion filed in acase on trial or assigned for trial may be disposedof by the judicial authority at its discretion orordered to be scheduled for hearing.

(c) If the moving party determines and reportsthat all counsel and self-represented parties agreeto the granting of a motion or the considerationof a motion without the need for oral argument ortestimony, or the motion states on its face thatthere is such an agreement, the motion may begranted without a hearing.

(d) A petition or information may be amendedat any time by the judicial authority on its ownmotion or in response to the motions of any party

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31a-13A. Temporary Custody Order—Family with ServiceNeeds Petition

31a-14. Physical and Mental Examinations31a-15. Mentally Ill Children31a-16. Discovery31a-17. Disclosure of Defenses in Delinquency Pro-

ceedings31a-18. Modification of Probation and Supervision31a-19. Motion for Extension of Delinquency Commit-

ment; Motion for Review of Permanency Plan31a-19A. Motion for Extension or Revocation of Family with

Service Needs Commitment; Motion for Reviewof Permanency Plan

31a-20. Petition for Violation of Family with Service NeedsPost-Adjudicatory Orders

31a-21. Petition for Child from a Family with Service Needsat Imminent Risk

prior to any final adjudication. When an amend-ment has been so ordered, a continuance shallbe granted whenever the judicial authority findsthat the new allegations in the petition or chargesin the information justify the need for additionaltime to permit the parties to respond adequatelyto the additional or changed facts and circum-stances.


Sec. 31a-1A. Continuances and Advance-ments(a) Motions for continuances or changes in

scheduled court dates must be submitted in writ-ing in compliance with Section 31a-1 (a) and filedno later than seven days prior to the scheduleddate. Such motions must state the precise rea-sons for the request, the name of the judicialauthority scheduled to hear the case, and whetheror not all other parties consent to the request. Afterconsulting with the judicial authority, the clerk willhandle bona fide emergency requests submittedless than seven days prior to scheduled courtdates.

(b) Trials that are not completed within the allot-ted prescheduled time will be subject to continua-tion at the next available court date.


Sec. 31a-2. Motion for Bill of ParticularsThe child or youth may file a motion, or the

judicial authority may order at any time, that the


prosecuting authority file a bill of particulars. Thejudicial authority shall order that a bill of particularsdisclose information sufficient to enable the childor youth to prepare the defense, including but notbeing limited to reasonable notice of the offensecharged and the date, time and place of its com-mission. When any bill of particulars is ordered, anamended or substitute information, if necessary,shall be filed incorporating its provisions.


Sec. 31a-3. Motion to DismissThe child or youth may file a motion to dismiss

if the motion is capable of determination withouta trial of the general issue on grounds (1) to (9) ofSection 41-8 of the rules of procedure in criminalmatters, subject to the conditions of Section 41-10 and 41-11.


Sec. 31a-4. Motion to SuppressThe child or youth may file a motion to suppress

potential testimony or other evidence if requiredunder the constitution or laws of the United Statesor the state of Connecticut in accordance with theprovisions of Sections 41-13 through 41-17 of therules of procedure in criminal matters.


Sec. 31a-5. Motion for Judgment ofAcquittal(a) After the close of the juvenile prosecutor’s

case in chief, upon motion of the child or youthor upon its own motion, the judicial authority shallorder the entry of a judgment of acquittal as toany principal offense charged and as to any lesserincluded offense for which the evidence would notreasonably permit an adjudication or finding ofguilty. Such judgment of acquittal shall not applyto any lesser included offense for which the evi-dence would reasonably permit a finding of guilty.

(b) The judicial authority shall either grant ordeny the motion before calling upon the child oryouth to present the respondent’s case in chief.If the motion is not granted, the respondent mayoffer evidence without having reserved the rightto do so.


Sec. 31a-6. Motion for Transfer of VenueThe child or youth or juvenile prosecutor may

file a motion, or the judicial authority may orderat any time, that a juvenile matter be transferredto a different venue in accordance with Sections41-23 and 41-25 of the rules of procedure in crimi-nal matters.


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Sec. 31a-7. Motion in LimineThe judicial authority to whom a matter has

been referred for trial may in its discretion enter-tain a motion in limine made by the child or youthor juvenile prosecutor regarding the admission orexclusion of anticipated evidence. Such motionshall be in writing and shall describe the antici-pated evidence and the prejudice which mayresult therefrom. The judicial authority may grantthe relief sought in the motion or such other reliefas it may deem appropriate, may deny the motionwith or without prejudice to its later renewal, ormay reserve decision thereon until a later time inthe proceeding.


Sec. 31a-8. Motion for SequestrationA child or youth or juvenile prosecutor may file

a motion for sequestration. The judicial authorityupon such motion shall cause any witness to besequestered during the hearing on any issue ormotion or during any part of the trial in which suchwitness is not testifying.


Sec. 31a-9. Severance of OffensesIf it appears that a child or youth is prejudiced

by a joinder of offenses, the judicial authority may,upon its own motion or the motion of the child oryouth, order separate trials of the counts or pro-vide whatever other relief justice may require.


Sec. 31a-10. Trial Together on Petitions orInformationsThe judicial authority may, upon its own motion

or the motion of the child or youth or juvenileprosecutor, order that two or more petitions orinformations against the same child or youth betried together. Petitions or informations againstdifferent children or youths may not be triedtogether unless all parties agree to waive the con-fidentiality rules.


Sec. 31a-11. Motion for New Trial(a) Upon motion of the child or youth, the judicial

authority may grant a new trial if it is required inthe interest of justice in accordance with Section42-53 of the rules of criminal procedure.

(b) Unless otherwise permitted by the judicialauthority in the interests of justice, a motion for anew trial shall be made within five days after anadjudication or finding of guilty or within any fur-ther time the judicial authority allows during thefive day period.

(c) A request for a new trial on the ground ofnewly discovered evidence shall require a petition


for a new trial and shall be brought in accordancewith General Statutes § 52-270. The judicialauthority may grant the petition even though anappeal is pending.


Sec. 31a-12. Motion to Transfer to AdultCriminal DocketThe juvenile prosecutor may file a motion to

transfer prosecution to the adult criminal docketin accordance with General Statutes § 46b-127.


Sec. 31a-13. Take into Custody Order(a) Upon application in a delinquency proceed-

ing, a take into custody order may be issued bythe judicial authority:

(1) Upon a finding of probable cause to believethat the child is responsible for: (i) a delinquentact, including violation of court orders of probationor the failure of the child charged with a delinquentact, duly notified, to attend a pretrial, probation orevaluation appointment, or (ii) for failure to complywith any duly warned condition of a suspendedorder of detention. The judicial authority also mustfind at the time it issues a take into custody orderthat a ground for detention pursuant to Section30-6 exists before issuing the order.

(2) For failure to appear in court in response toa delinquency petition or summons served in handor to a direct notice previously provided in court.

(b) Any application for a take into custody ordermust be supported by a sworn statement allegingfacts to substantiate probable cause, and whereapplicable, a petition or information charging adelinquent act.

(c) Any child detained under a take into custodyorder is subject to Sections 30-1A through 30-11.


Sec. 31a-13A. Temporary Custody Order—Family with Service Needs PetitionIf it appears from the allegations of a petition or

other sworn affirmation that there is: (1) A strongprobability that the child may do something thatis injurious to himself or herself prior to court dis-position; (2) a strong probability that the child willrun away prior to the hearing; or (3) a need tohold the child for another jurisdiction, a judicialauthority may vest temporary custody of suchchild in some suitable person or agency. A hearingon temporary custody shall be held not later thanten days after the date on which a judicial authoritysigns an order of temporary custody. Followingsuch hearing, the judicial authority may order that

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the child’s temporary custody continue to bevested in some suitable person or agency.


Sec. 31a-14. Physical and Mental Exami-nations(a) No physical and/or mental examination or

examinations by any physician, psychologist, psy-chiatrist or social worker shall be ordered by thejudicial authority of any child denying delinquentbehavior or status as a child or youth from a familywith service needs prior to the adjudication,except (1) with the agreement of the child’s oryouth’s parent or guardian and attorney, (2) whenthe child or youth has executed a written state-ment of responsibility, (3) when the judicial author-ity finds that there is a question of the child’s oryouth’s competence to understand the nature ofthe proceedings or to participate in the defense,or a question of the child or youth having beenmentally capable of unlawful intent at the time ofthe commission of the alleged act, or (4) wherethe child or youth has been detained and as anincident of detention is administered a physicalexamination to establish the existence of any con-tagious or infectious condition.

(b) Any information concerning a child or youththat is obtained during any mental health screen-ing or assessment of such child or youth shall beused solely for planning and treatment purposesand shall otherwise be confidential and retainedin the files of the entity performing such screeningor assessment. Such information may be furtherdisclosed only for the purposes of any court-ordered evaluation or treatment of the child oryouth, or provision of services to the child or youth,or pursuant to General Statutes §§ 17a-101 to17a-101e, inclusive, 17b-450, 17b-451 or 51-36a.Such information shall not be subject to subpoenaor other court process for use in any other pro-ceeding or for any other purpose.

(c) Upon a showing that the mental health of achild or youth is at issue, either prior to adjudica-tion for the reasons set forth in subsection (a)herein or subsequent thereto as a determinateof disposition, the judicial authority may order achild’s or youth’s placement for a period not toexceed thirty days in a hospital or other institutionempowered by law to treat mentally ill childrenfor study and a report on the child’s or youth’smental condition.


Sec. 31a-15. Mentally Ill ChildrenNo child shall be committed by a judicial author-

ity as mentally ill pursuant to General Statutes


§ 46b-140 until such a study has been made anda sworn report filed with the judicial authority orin lieu thereof without the sworn certificate of atleast two impartial physicians, one of whom shallbe a physician specializing in psychiatry, selectedby the judicial authority who have personallyexamined the child within ten days of the hearing,stating that in their opinion the child’s mental con-dition necessitates placement in a designatedhospital for mental illness. If, after such hearing,the judicial authority finds by clear and convincingevidence that the child suffers from a mental disor-der, as defined in General Statutes § 17a-75, isin need of hospitalization for treatment and suchtreatment is available as the least restrictive alter-native, the judicial authority shall make an orderfor commitment for a definite period not to exceedsix months to a designated hospital for mentalillness of children. No child or youth shall be com-mitted as mentally deficient pursuant to GeneralStatutes § 46b-140 except in accordance withprocedures of General Statutes § 17a-274 (b), (g),and (h).


Sec. 31a-16. Discovery(a) The child or youth or the juvenile prosecutor

shall be permitted pretrial discovery in accordancewith subsections (b), (c) and (d) of this section byinterrogatory, production, inspection or depositionof a person in delinquency or family with serviceneeds matters if the information or material soughtis not otherwise obtainable and upon a findingthat proceedings will not be unduly delayed.

(b) Motions or requests for discovery shall befiled with the court in accordance with Section31a-1. The clerk shall calendar any such motionor request for a hearing. Objections to suchmotions or requests may be filed with the courtand served in accordance with Sections 10-12through 10-17 not later than ten days of the filingof the motion or request unless the judicial author-ity, for good cause shown, allows a later filing.Upon its own motion or upon the request or motionof a party, the judicial authority may, after a hear-ing, order discovery. The judicial authority shall fixthe times for filing and for responding to discoverymotions and requests and, when appropriate,shall fix the hour, place, manner, terms and condi-tions of responses to the motions and requests,provided that the party seeking discovery shall beallowed a reasonable opportunity to obtain infor-mation needed for the preparation of the case.

(c) Motions or requests for discovery should notbe filed unless the moving party has attemptedunsuccessfully to obtain an agreement to disclose

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from the party or person from whom informationis being sought.

(d) The provisions of Sections 40-2 through 40-6, inclusive, 40-7 (b), 40-8 through 40-16, inclu-sive, and 40-26 through 40-58, inclusive, of therules of procedure in criminal matters shall beapplied by the judicial authority in determiningwhether to grant, limit or set conditions on therequested discovery, issue any protective orders,or order appropriate sanctions for any clear mis-use of discovery or arbitrary delay or refusal tocomply with a discovery request.


Sec. 31a-17. Disclosure of Defenses inDelinquency ProceedingsThe child in a delinquency case shall disclose

defenses to the charged offenses in accordancewith Sections 40-17 through 40-25 of the rulesof criminal procedure. Such disclosures shall bemade not later than ten days after the matter isscheduled for trial except with the permission ofthe judicial authority.


Sec. 31a-18. Modification of Probation andSupervisionAt any time during the period of probation,

supervision or suspended commitment, afterhearing and for good cause shown, the judicialauthority may modify or enlarge the conditions,whether originally imposed by the judicial author-ity under this section or otherwise. The judicialauthority may extend the period of probation asdeemed appropriate by the judicial authority. Thejudicial authority shall cause a copy of any suchorder to be delivered to the child or youth and tosuch child’s or youth’s parent, guardian or otherperson having control over such child or youth,and the child’s or youth’s probation officer.

(b) The child, attorney, juvenile prosecutor orparent may, in the event of disagreement, in writ-ing request the judicial authority not later than fivedays of the receipt thereof for a hearing on thepropriety of the modification. In the absence of anyrequest, the modification of the terms of probationmay be effected by the probation officer with theapproval of the supervisor and the judicialauthority.


Sec. 31a-19. Motion for Extension of Delin-quency Commitment; Motion for Review ofPermanency Plan(a) The commissioner of the department of chil-

dren and families may file a motion for an exten-sion of a delinquency commitment beyond the


eighteen month or four year period on the groundsthat such extension is for the best interests of thechild or the community. The clerk shall give noticeto the child, the child’s parent or guardian, counselof record for the parent or guardian and child atthe time of disposition and, if applicable, theguardian ad litem not later than fourteen daysprior to the hearing upon such motion. The judicialauthority may, after hearing and upon finding suchextension is in the best interests of the child orthe community, continue the commitment for anadditional period of not more than eighteenmonths.

(b) Not later than twelve months after a child iscommitted as a delinquent to the commissionerof the department of children and families, thejudicial authority shall hold a permanency hearing.Such a hearing will be held every twelve monthsthereafter if the child remains committed. Suchhearing may include the submission of a motionto the judicial authority by the commissioner toeither modify or extend the commitment.

(c) At least sixty days prior to each permanencyhearing required under subsection (b) of this sec-tion, the commissioner of the department of chil-dren and families shall file a permanency planwith the judicial authority. At each permanencyhearing, the judicial authority shall review andapprove a permanency plan that is in the bestinterests of the child and takes into considerationthe child’s need for permanency. The judicialauthority shall also determine whether the com-missioner of the department of children and fami-lies has made reasonable efforts to achieve thepermanency plan.

(Adopted June 24, 2002, to take effect, Jan. 1, 2003;amended June 30, 2008, to take effect Jan. 1, 2009; amendedJune 22, 2009, to take effect Jan. 1, 2010.)

Sec. 31a-19A. Motion for Extension or Revo-cation of Family with Service NeedsCommitment; Motion for Review of Perma-nency Plan(a) The commissioner of the department of chil-

dren and families may file a motion for an exten-sion of a commitment of a child who has beenadjudicated as a child from a family with serviceneeds on the grounds that an extension would bein the best interests of the child. The clerk shallgive notice to the child, the child’s parent or guard-ian, all counsel of record at the time of dispositionand, if applicable, the guardian ad litem not laterthan fourteen days prior to the hearing upon suchmotion. The judicial authority may, after hearingand upon finding that such extension is in the bestinterests of the child and that there is no suitableless restrictive alternative, continue the commit-ment for an additional indefinite period of not morethan eighteen months.

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(b) The commissioner of the department of chil-dren and families may at any time file a motionto revoke a commitment of a child who has beenadjudicated as a child from a family with serviceneeds, or the parent or guardian of such childmay at any time but not more often than onceevery six months file a motion with the judicialauthority which committed the child to revoke suchcommitment. The clerk shall notify the child, thechild’s parent or guardian, all counsel of recordat the time of disposition, if applicable, the guard-ian ad litem, and the commissioner of the depart-ment of children and families of any motion filedto revoke a commitment under this subsection,and of the time when a hearing on such motionwill be held.

(c) Not later than twelve months after the com-mitment of a child who has been adjudicated asa child from a family with service needs to thecommissioner of the department of children andfamilies, the judicial authority shall hold a perma-nency hearing. Such a hearing will be held everytwelve months thereafter if the child remains com-mitted. Such a hearing also may include the sub-mission of a motion to the judicial authority by thecommissioner of the department of children andfamilies, the child’s parent or guardian to eitherextend or revoke the commitment.

(d) At least sixty days prior to each permanencyhearing required under subsection (c) of this sec-tion, the commissioner of the department of chil-dren and families shall file a permanency planwith the judicial authority. At each permanencyhearing, the judicial authority shall review andapprove a permanency plan that is in the bestinterests of the child and takes into considerationthe child’s need for permanency. That judicialauthority shall also determine whether the com-missioner of the department of children and fami-lies has made reasonable efforts to achieve thepermanency plan.


Sec. 31a-20. Petition for Violation of Familywith Service Needs Post-AdjudicatoryOrders(a) When a child who has been adjudicated as

a child from a family with service needs violatesany valid order which regulates future conduct ofthe child made by the judicial authority followingsuch an adjudication, a probation officer, onreceipt of a complaint setting forth the factsalleged to be a violation, or on the probation offi-cer’s own motion on the basis of his or her knowl-edge of such a violation, may file a petition withthe court alleging that the child has violated a valid


court order and setting forth the facts claimed toconstitute such a violation.

(b) The judicial authority will ensure that thechild is provided an evidentiary hearing on theallegations contained in the petition and that coun-sel is assigned for the child or youth pursuant toSection 30a-1 of these rules or that counsel ofrecord is notified of the evidentiary hearing.

(c) Upon a finding by the judicial authority byclear and convincing evidence that the child hasviolated a valid court order, the judicial authoritymay (1) order the child to remain in such child’shome or in the custody of a relative or any othersuitable person, subject to the supervision of aprobation officer, (2) upon a finding that there isno less restrictive alternative appropriate to theneeds of the child and the community, enter anorder that directs or authorizes a peace officer orother appropriate person to place the child in astaff-secure facility under the auspices of the courtsupport services division of the judicial branch fora period not to exceed forty-five days, with reviewby the judicial authority every fifteen days to con-sider whether continued placement is appropriate,at the end of which period the child shall bereturned to the community and may be subject tothe supervision of a probation officer, or (3) orderthat the child be committed to the care and cus-tody of the commissioner of the department ofchildren and families for a period not to exceedeighteen months and that the child cooperate insuch care and custody.


Sec. 31a-21. Petition for Child from a Familywith Service Needs at Imminent Risk(a) When a child who has been adjudicated as

a child from a family with service needs is underan order of supervision or an order of commitmentto the commissioner of the department of childrenand families and is believed to be in imminent riskof physical harm from the child’s surroundingsor other circumstances, a probation officer, onreceipt of a complaint setting forth facts allegingsuch risk, or on the probation officer’s own motionon the basis of his or her knowledge of such risk,may file a petition alleging that the child is in immi-nent risk of physical harm and setting forth factsclaimed to constitute such risk. Service shall be

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made in accordance with subsection (d) of Gen-eral Statutes § 46b-149.

(b) If it appears from the specific allegations ofthe petition and other verified affirmations of factaccompanying the petition, or made subsequentthereto, that there is probable cause to believethat (1) the child is in imminent risk of physicalharm from the child’s surroundings, (2) as a resultof such condition, the child’s safety is endangeredand immediate removal from such surroundingsis necessary to ensure the child’s safety, and (3)there is no less restrictive alternative available, thejudicial authority shall enter an order that directs orauthorizes a peace officer or other appropriateperson to place the child in a staff-secure facilityunder the auspices of the court support servicesdivision of the judicial branch for a period not toexceed forty-five days, subject to subsection (e)of this section, with review by the judicial authorityevery fifteen days to consider whether continuedplacement is appropriate.

(c) The judicial authority will ensure that thechild is provided an evidentiary hearing on theallegations contained in the petition and that coun-sel is assigned for the child pursuant to Section30a-1 of these rules or that counsel of record isnotified of the filing of the imminent risk petition.

(d) Not later than the end of such forty-five dayperiod, the child shall either be (1) returned to thecommunity for appropriate services subject to thesupervision of a probation officer or an existingcommitment to the commissioner of the depart-ment of children and families; or (2) committed tothe commissioner of the department of childrenand families for a period not to exceed eighteenmonths if a hearing has been held and the judicialauthority has found, based on clear and convinc-ing evidence, that (i) the child is in imminent riskof physical harm from the child’s surroundings,(ii) as a result of such condition, the child’s safetyis endangered and removal from such surround-ings is necessary to ensure the child’s safety, and(iii) there is no less restrictive alternative available.Any such child shall be entitled to the same proce-dural protections as are afforded to a delin-quent child.

(e) No child shall be held prior to a hearing ona petition under this section for more than twenty-four hours, excluding Saturdays, Sundays andholidays.



CHAPTER 32

NEGLECTED, UNCARED FOR AND DEPENDENT CHILDREN ANDTERMINATION OF PARENTAL RIGHTS


Sec. Sec.32-1. Initiation of Judicial Proceeding; Contents of Petitions

and Summary of Facts [Repealed]32-2. —Summons Accompanying Petitions [Repealed]32-3. —Venue [Repealed]32-4. —Identity or Location of Parent Unknown [Repealed]32-5. —Address of Person Entitled to Personal Service

Unknown [Repealed]


Sec. 32-1. Initiation of Judicial Proceeding;Contents of Petitions and Summary of Facts[Repealed as of Jan. 1, 2003.]

Sec. 32-2. —Summons Accompanying Peti-tions[Repealed as of Jan. 1, 2003.]

Sec. 32-3. —Venue[Repealed as of Jan. 1, 2003.]

Sec. 32-4. —Identity or Location of ParentUnknown[Repealed as of Jan. 1, 2003.]

Sec. 32-5. —Address of Person Entitled toPersonal Service Unknown[Repealed as of Jan. 1, 2003.]

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32-6. Order of Temporary Custody; Application and SwornStatement [Repealed]

32-7. —Statement in Temporary Custody Order of Respon-dent’s Rights and of Subsequent Hearing[Repealed]

32-8. —Authority of Temporary Custodian [Repealed]32-9. —Emergency, Life-Threatening Medical Situations—

Procedures [Repealed]

Sec. 32-6. Order of Temporary Custody;Application and Sworn Statement[Repealed as of Jan. 1, 2003.]

Sec. 32-7. —Statement in Temporary Cus-tody Order of Respondent’s Rights and ofSubsequent Hearing[Repealed as of Jan. 1, 2003.]

Sec. 32-8. —Authority of Temporary Cus-todian[Repealed as of Jan. 1, 2003.]

Sec. 32-9. —Emergency, Life-ThreateningMedical Situations—Procedures[Repealed as of Jan. 1, 2003.]


CHAPTER 32a

RIGHTS OF PARTIESNEGLECTED, ABUSED AND UNCARED FOR CHILDREN AND

TERMINATION OF PARENTAL RIGHTS


Sec. Sec.32a-1. Right to Counsel and to Remain Silent32a-2. Hearing Procedure; Subpoenas32a-3. Standards of Proof32a-4. Child or Youth Witness32a-5. Consultation with Child or Youth


Sec. 32a-1. Right to Counsel and toRemain Silent

(a) At the first hearing in which the parents orguardian appear, the judicial authority shall adviseand explain to the parents or guardian of a childor youth their right to silence and to counsel.

(b) The child or youth has the rights of confron-tation and cross-examination and shall be repre-sented by counsel in each and every phase of anyand all proceedings in child protection matters,including appeals. The judicial authority beforewhom a juvenile matter is pending shall notify thechief public defender who shall assign an attorneyto represent the child or youth.

(c) The judicial authority on its own motion orupon the motion of any party, may appoint a sepa-rate guardian ad litem for the child or youth upona finding that such appointment is necessary toprotect the best interest of the child or youth. Anattorney guardian ad litem shall be appointed fora child or youth who is a parent in a terminationof parental rights proceeding or any parent whois found to be incompetent by the judicial authority.

(d) The parents or guardian of the child or youthhave the rights of confrontation and cross-exami-nation and may be represented by counsel in eachand every phase of any and all proceedings inchild protection matters, including appeals. Thejudicial authority shall determine if the parentsor guardian of the child or youth are eligible forcounsel. Upon a finding that such parents orguardian of the child or youth are unable to affordcounsel, the judicial authority shall notify the chiefpublic defender of such finding, and the chief pub-lic defender shall assign an attorney to providerepresentation.

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32a-6. Interpreter32a-7. Records32a-8. Use of Confidential Alcohol or Drug Abuse Treat-

ment Records as Evidence32a-9. Competency of Parent

(e) If the judicial authority, even in the absenceof a request for appointment of counsel, deter-mines that the interests of justice require the provi-sion of an attorney to represent the child’s oryouth’s parent or parents or guardian, or otherparty, the judicial authority may appoint an attor-ney to represent any such party and shall notifythe chief public defender, who shall assign anattorney to represent any such party. For the pur-poses of determining eligibility for appointmentof counsel, the judicial authority shall cause theparents or guardian of a child or youth to completea written statement under oath or affirmation set-ting forth the parents’ or guardian’s liabilities andassets, income and sources thereof, and suchother information as the Public Defender ServicesCommission shall designate and require on formsadopted by said commission.

(f) Where under the provisions of this section,the judicial authority so appoints counsel for anysuch party who is found able to pay, in whole orin part, the cost thereof, the judicial authority shallassess as costs on the appropriate form againstsuch parents, guardian or custodian, includingany agency vested with the legal custody of thechild or youth, the expense so incurred and paidfor by the chief public defender in providing suchcounsel, to the extent of their financial ability todo so, in accordance with the rates establishedby the Public Defender Services Commission forcompensation of counsel. Reimbursement to theappointed attorney of unrecovered costs shall bemade to that attorney by the chief public defenderupon the attorney’s certification of his or her unre-covered expenses to the chief public defender.

(g) Notices of initial hearings on petitions shallcontain a statement of the respondent’s right tocounsel and that if the respondent is unable to


afford counsel, counsel will be appointed to repre-sent the respondent, that the respondent has aright to refuse to make any statement and thatany statement the respondent makes may beintroduced in evidence against him or her.

(h) Any confession, admission or statement,written or oral, made by the parent or parents orguardian of the child or youth after the filing of apetition alleging such child or youth to beneglected, abused or uncared for, shall be inad-missible in any proceeding held upon such petitionagainst the person making such admission orstatement unless such person shall have beenadvised of the right to retain counsel, and that ifsuch person is unable to afford counsel, counselwill be assigned to provide representation, thatsuch person has a right to refuse to make anystatement and that any statements such personmakes may be introduced in evidence againstsuch person.


Sec. 32a-2. Hearing Procedure; Subpoenas(a) All hearings are essentially civil proceedings

except where otherwise provided by statute. Tes-timony may be given in narrative form and theproceedings shall at all times be as informal as therequirements of due process and fairness permit.

(b) Issuance, service, and compliance with sub-poenas are governed by General Statutes § 52-143 et seq.

(c) Any self-represented party may request theclerk of the court to issue subpoenas for personsto testify before the judicial authority. Self-repre-sented parties shall obtain prior approval fromthe judicial authority to issue subpoenas and, ifindigent, may seek reimbursement for the coststhereof.


Sec. 32a-3. Standards of Proof(a) The standard of proof applied in a neglect,

uncared for or dependency proceeding is a fairpreponderance of the evidence.

(b) The standard of proof applied in a decisionto terminate parental rights or a finding that effortsto reunify a parent with a child or youth are nolonger appropriate, is clear and convincingevidence.

(c) Any Indian child or youth custody proceed-ings, except delinquency, involving removal of anIndian child or youth from a parent or Indian custo-dian for placement shall, in addition, comply with

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the Indian Child Welfare Act (ICWA), 25 U.S.C.§ 1901 et seq.


Sec. 32a-4. Child or Youth Witness(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) All oral testimony shall be given under oath.

For child or youth witnesses, the oath may be ‘‘youpromise that you will tell the truth.’’ The judicialauthority may, however, admit the testimony of achild or youth without the imposition of a formaloath if the judicial authority finds that the oathwould be meaningless to the particular child oryouth, or would otherwise inhibit the child or youthfrom testifying freely and fully.

(b) Any party who intends to call a child or youthas a witness shall first file a motion seeking per-mission of the judicial authority.

(c) In any proceeding when testimony of a childor youth is taken, an adult who is known to thechild or youth and with whom the child or youthfeels comfortable shall be permitted to sit in closeproximity to the child or youth during the child’sor youth’s testimony without obscuring the childor youth from view and the attorneys shall askquestions and pose objections while seated andin a manner which is not intimidating to the childor youth. The judicial authority shall minimize anydistress to a child or youth in court.

(d) The judicial authority with the consent of allparties may privately interview the child or youth.Counsel may submit questions and areas of con-cern for examination. The knowledge gained insuch a conference shall be shared on the recordwith counsel and, if there is no legal representa-tive, with the parent.

(e) When the witness is the child or youth ofthe respondent, the respondent may be excludedfrom the hearing room upon a showing by clearand convincing evidence that the child or youthwitness would be so intimidated or inhibited thattrustworthiness of the child or youth witness isseriously called into question. In such an instance,if the respondent is without counsel, the judicialauthority shall summarize for the respondent thenature of the child’s or youth’s testimony.


Sec. 32a-5. Consultation with Child or Youth(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) In any permanency hearing held with

respect to the child or youth, including, but notlimited to, any hearing regarding the transition ofthe child or youth from foster care to independentliving, the judicial authority shall assure that there


is consultation with the child or youth in an age-appropriate manner regarding the proposed per-manency or transition plan for the child or youth.

(b) For good cause shown, the child or youthwho is the subject of a hearing may be excludedfrom the courtroom.


Sec. 32a-6. InterpreterThe judicial authority shall provide an official

interpreter to the parties as necessary to ensuretheir understanding of, and participation in, theproceedings.


Sec. 32a-7. Records(a) Except as otherwise provided by statute, all

records maintained in juvenile matters broughtbefore the judicial authority, either current orclosed, including the transcripts of hearings, shallbe kept confidential.

(b) Except as otherwise provided by statute, nomaterial contained in the court record, includingthe social study, medical or clinical reports, schoolreports, police reports and the reports of socialagencies, may be copied or otherwise reproducedin written form in whole or in part by the partieswithout the express consent of the judicialauthority.

(c) Each counsel and self-represented party ina child protection matter shall have access to andbe entitled to copies, at his or her expense, ofthe entire court record, including transcripts of allproceedings, without the express consent of thejudicial authority.


Sec. 32a-8. Use of Confidential Alcohol orDrug Abuse Treatment Records as Evidence(a) Upon a determination by the judicial author-

ity that good cause exists pursuant to federal lawand regulations, the judicial authority may admitevidence of any party’s alcohol or drug treatmentby a facility subject to said regulations.

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(b) A party seeking to introduce substanceabuse treatment records shall submit a motionto the judicial authority requesting permission tosubpoena such records and explaining the needfor them, and shall also file a motion to disclosesuch confidential records and permit testimonyregarding them. The motion for permission to sub-poena such records may be signed ex parte bythe judicial authority. If the judicial authorityapproves the motion, such records may be sub-poenaed and submitted to the court under seal,and the judicial authority shall set a date for theparties and service providers to be heard on themotion to disclose confidential alcohol or drugabuse treatment records.


Sec. 32a-9. Competency of Parent(a) In any proceeding for the termination of

parental rights, either upon its own motion or amotion of any party alleging specific factual allega-tions of mental impairment that raise a reasonabledoubt about the parent’s competency, the judicialauthority shall appoint an evaluator who is anexpert in mental illness to assess such parent’scompetency; the judicial authority shall thereafterconduct a competency hearing within ten days ofreceipt of the evaluator’s report.

(b) At a competency hearing held under subsec-tion (a), the judicial authority shall determinewhether the parent is incompetent and if so,whether competency may be restored within areasonable time, considering the age and needsof the child or youth, including the possibleadverse impact of delay in the proceedings. Ifcompetency may be restored within a reasonabletime, the judicial authority shall stay proceedingsand shall issue specific steps the parent shall taketo have competency restored. If competency maynot be restored within a reasonable time, the judi-cial authority may make reasonable accommoda-tions to assist the parent and his or her attorneyin the defense of the case, including the appoint-ment of a guardian ad litem if one has not alreadybeen provided.



CHAPTER 33

HEARINGS CONCERNING NEGLECTED, UNCARED FOR ANDDEPENDENT CHILDREN AND TERMINATION OF PARENTAL RIGHTS


Sec. Sec.33-1. Adjudicatory Hearing; Actions by Judicial Author-

ity [Repealed]33-2. —Continuance for Case Status Conference

[Repealed]33-3. —Evidence [Repealed]33-4. —Burden of Proceeding [Repealed]33-5. Dispositional Hearing; Evidence and Social Study

[Repealed]33-6. —Availability of Social Study to Counsel and Par-

ties [Repealed]


Sec. 33-1. Adjudicatory Hearing; Actions byJudicial Authority[Repealed as of Jan. 1, 2003.]

Sec. 33-2. —Continuance for Case StatusConference[Repealed as of Jan. 1, 2003.]

Sec. 33-3. —Evidence[Repealed as of Jan. 1, 2003.]

Sec. 33-4. —Burden of Proceeding[Repealed as of Jan. 1, 2003.]

Sec. 33-5. Dispositional Hearing; Evidenceand Social Study[Repealed as of Jan. 1, 2003.]

Sec. 33-6. —Availability of Social Study toCounsel and Parties[Repealed as of Jan. 1, 2003.]

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33-7. —Dispositional Plan Offered by Respondents[Repealed]

33-8. Protective Supervision—Conditions and Modifica-tion [Repealed]

33-9. Extension Petitions [Repealed]33-10. Revocation of Commitments [Repealed]33-11. Modifications [Repealed]33-12. Coterminous Petitions [Repealed]33-13. Transfer from Probate Court of Petitions for

Removal of Parent as Guardian [Repealed]

Sec. 33-7. —Dispositional Plan Offered byRespondents[Repealed as of Jan. 1, 2003.]

Sec. 33-8. Protective Supervision—Condi-tions and Modification[Repealed as of Jan. 1, 2003.]

Sec. 33-9. Extension Petitions[Repealed as of Jan. 1, 2003.]

Sec. 33-10. Revocation of Commitments[Repealed as of Jan. 1, 2003.]

Sec. 33-11. Modifications[Repealed as of Jan. 1, 2003.]

Sec. 33-12. Coterminous Petitions[Repealed as of Jan. 1, 2003.]

Sec. 33-13. Transfer from Probate Court ofPetitions for Removal of Parent as Guardian[Repealed as of Jan. 1, 2003.]


CHAPTER 33a

PETITIONS FOR NEGLECT, UNCARED FOR,DEPENDENCY AND TERMINATION OF PARENTAL RIGHTS:

INITIATION OF PROCEEDINGS, ORDERS OF TEMPORARY CUSTODYAND PRELIMINARY HEARINGS

Sec. Sec.33a-1. Initiation of Judicial Proceeding; Contents of Peti-

tions and Summary of Facts33a-2. Service of Summons, Petitions and Ex Parte Orders33a-3. Venue33a-4. Identity or Location of Respondent Unknown


Sec. 33a-1. Initiation of Judicial Proceeding;Contents of Petitions and Summary of Facts(a) The petitioner shall set forth with reasonable

particularity, including statutory references, thespecific conditions which have resulted in the situ-ation which is the subject of the petition.

(b) A summary of the facts substantiating theallegations of the petition shall be attached theretoand shall be incorporated by reference.


Sec. 33a-2. Service of Summons, Petitionsand Ex Parte Orders(a) A summons accompanying a petition alleg-

ing that a child or youth is neglected, abused oruncared for, along with the summary of facts, shallbe served by the petitioner on the respondentsand provided to the office of the attorney generalat least fourteen days before the date of the initialplea hearing on the petition, which shall be heldnot more than forty-five days from the date of filingthe petition.

(b) A summons accompanying a petition fortermination of parental rights, along with the sum-mary of facts, shall be served by the petitioner onthe respondents and provided to the office of theattorney general at least ten days prior to the dateof the initial plea hearing on the petition, whichshall be held not more than thirty days after thefiling of the petition, except in the case of a petitionfor termination of parental rights based on con-sent, which shall be held not more than twentydays after the filing of the petition.

(c) A summons accompanying simultaneouslyfiled coterminous petitions, along with the sum-mary of facts, shall be served by the petitioner onthe respondents and provided to the office of the

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33a-5. Address of Person Entitled to Personal ServiceUnknown

33a-6. Order of Temporary Custody; Ex Parte Orders andOrders to Appear

33a-7. Preliminary Order of Temporary Custody or FirstHearing; Actions by Judicial Authority

33a-8. Emergency, Life-Threatening Medical Situa-tions—Procedures

attorney general at least ten days prior to the dateof the initial plea hearing on the petition, whichshall be held not more than thirty days after thefiling of the petitions, except in the case of a peti-tion for termination of parental rights based onconsent, which shall be held not more than twentydays after the filing of the petition.

(d) A summons accompanying any petition filedwith an application for order of temporary custodyshall be served by the petitioner on the respon-dents and provided to the office of the attorneygeneral as soon as practicable after the issuanceof any ex parte order or order to appear, alongwith such order, any sworn statements supportingthe order, the summary of facts, the specific stepsprovided by the judicial authority, and the noticerequired by Section 33a-6.

(e) Whenever the commissioner of the depart-ment of children and families obtains an ex parteorder of temporary custody or an order to appearand show cause from the judicial authority, he orshe shall provide the clerk with a sealed envelopemarked ‘‘Attention: Counsel for Child(ren)’’ con-taining the following information: the name, phonenumber and e-mail of the investigation socialworker; the name, phone number and e-mail ofthe treatment supervisor or social worker, ifknown; and the child(ren)’s placement or homeaddress and phone number, and name of a place-ment contact person. The clerk shall ensure thatcounsel assigned to the child is provided with saidenvelope at the time his or her appearance isfiled. In the event the placement informationchanges prior to the preliminary hearing, the com-missioner of the department of children and fami-lies shall notify counsel for the child immediately.



Sec. 33a-3. VenueAll child protection petitions shall be filed within

the juvenile matters district where the child oryouth resided at the time of the filing of the petition,but any child or youth born in any hospital orinstitution where the mother is confined at the timeof birth shall be deemed to have residence in thedistrict wherein such child’s or youth’s mother wasliving at the time of her admission to such hospitalor institution. When placement of a child or youthhas been effected prior to filing of a petition, venueshall be in the district wherein the custodial parentis living at the time of the filing of the petition.


Sec. 33a-4. Identity or Location of Respon-dent Unknown(a) If the identity or present location of a respon-

dent is unknown when a petition is filed, an affida-vit shall be attached reciting the efforts to identifyand locate that respondent. Notice by publicationto unidentified persons shall be required in anypetition for termination of parental rights.

(b) Subject to Section 32a-1 of these rules, thejudicial authority may notify the chief publicdefender to assign counsel for an unidentified par-ent or an absent parent who has received onlyconstructive notice of termination of parentalrights proceedings, for the limited purposes ofconducting a reasonable search for the unidenti-fied or absent parents and reporting to the judicialauthority before any adjudication.


Sec. 33a-5. Address of Person Entitled toPersonal Service UnknownIf the address of any person entitled to personal

service is unknown, service may be by publicationas ordered by the judicial authority.


Sec. 33a-6. Order of Temporary Custody; ExParte Orders and Orders to Appear(a) If the judicial authority finds, based upon

the specific allegations of the petition and otherverified affirmations of fact provided by the appli-cant, that there is reasonable cause to believethat: (1) the child or youth is suffering from seriousphysical illness or serious physical injury or is inimmediate physical danger from his or her sur-roundings and (2) that as a result of said condi-tions, the child’s or youth’s safety is endangeredand immediate removal from such surroundingsis necessary to ensure the child’s or youth’ssafety, the judicial authority shall, upon properapplication at the time of filing of the petition or

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at any time subsequent thereto, either (A) issue anorder to the respondents or other persons havingresponsibility for the care of the child or youth toappear at such time as the judicial authority maydesignate to determine whether the judicialauthority should vest in some suitable agency orperson the child’s or youth’s temporary care andcustody pending disposition of the petition, or (B)issue an order ex parte vesting in some suitableagency or person the child’s or youth’s temporarycare and custody.

(b) A preliminary hearing on any ex parte cus-tody order or order to appear issued by the judicialauthority shall be held as soon as practicable butnot later than ten days after the issuance ofsuch order.

(c) If the application is filed subsequent to thefiling of the petition, a motion to amend the petitionor to modify protective supervision shall be filedno later than the next business date before suchpreliminary hearing.

(d) Upon issuance of an ex parte order or orderto appear, the judicial authority shall provide tothe commissioner of the department of childrenand families and the respondents specific stepsnecessary for each to take for the respondents toretain or regain custody of the child or youth.

(e) An ex parte order or order to appear shallbe accompanied by a conspicuous notice to therespondents written in clear and simple languagecontaining at least the following information: (i)That the order contains allegations that conditionsin the home have endangered the safety and wel-fare of the child or youth; (ii) that a hearing willbe held on the date on the form; (iii) that thehearing is the opportunity to present the respon-dents’ position concerning the alleged facts; (iv)that the respondent has the right to remain silent;(v) that an attorney will be appointed for respon-dents who cannot afford an attorney by the chiefpublic defender; (vi) that such respondents mayapply for state paid representation by going inperson to the court address on the form and areadvised to go as soon as possible in order for theattorney to prepare for the hearing; (vii) if suchrespondents have any questions concerning thecase or appointment of counsel, any such respon-dent is advised to go to the court, or contact theclerk’s office, or contact the chief public defenderas soon as possible, and (viii) that such parents,or a person having responsibility for the care andcustody of the child or youth, may request thecommissioner of children and families to investi-gate placing the child or youth with a personrelated to the child or youth by blood or marriagewho might serve as a licensed foster parent ortemporary custodian for such child or youth.


(f) Upon application for state paid representa-tion, the judicial authority shall promptly determineeligibility and, if the respondent is eligible,promptly notify the chief public defender, whoshall assign an attorney to provide representation.In the absence of such a request prior to the pre-liminary hearing, the chief public defender shallensure that standby counsel is available at suchhearing to assist and/or represent therespondents.


Sec. 33a-7. Preliminary Order of TemporaryCustody or First Hearing; Actions by Judi-cial Authority(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) At the preliminary hearing on the order of

temporary custody or order to appear, or at thefirst hearing on a petition for neglect, uncared for,dependency, or termination of parental rights, thejudicial authority shall:

(1) first determine whether the necessary par-ties are present and that the rules governing ser-vice on or notice to nonappearing parties, andnotice to grandparents, foster parents, relativecaregivers and pre-adoptive parents, as applica-ble, have been complied with, and should notethese facts for the record, and may proceed withrespect to the parties who (i) are present and havebeen properly served; (ii) are present and waiveany defects in service; and (iii) are not present,but have been properly served. As to any partywho has not been properly served, the judicialauthority may continue the proceedings withrespect to such party for a reasonable period oftime for service to be made and confirmed;

(2) inform the respondents of the allegationscontained in all petitions and applications that arethe subject of the hearing;

(3) inform the respondents of their right toremain silent;

(4) ensure that an attorney, and where appro-priate, a separate guardian ad litem, has beenassigned to represent the child or youth by thechief public defender, in accordance with GeneralStatutes §§ 46b-129a (2), 46b-136, 51-296a andSection 32a-1 of these rules;

(5) advise the respondents of their right to coun-sel and their right to have counsel assigned if theyare unable to afford representation, determine eli-gibility for state paid representation and notify thechief public defender to assign an attorney to rep-resent any respondent who is unable to affordrepresentation, as determined by the judicialauthority;

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(6) advise the respondents of the right to a hear-ing on the petitions and applications, to be held notlater than ten days after the date of the preliminaryhearing if the hearing is pursuant to an ex parteorder of temporary custody or an order to appear;

(7) notwithstanding any prior statementsacknowledging responsibility, inquire of the custo-dial respondent in neglect, uncared for anddependency matters, and of all respondents intermination matters, whether the allegations of thepetition are presently admitted or denied;

(8) make any interim orders, including visitation,that the judicial authority determines are in thebest interests of the child or youth, and order spe-cific steps the commissioner and the respondentsshall take for the respondents to regain or to retaincustody of the child or youth;

(9) take steps to determine the identity of thefather of the child or youth, including, if necessary,inquiring of the mother of the child or youth, underoath, as to the identity and address of any personwho might be the father of the child or youth andordering genetic testing, if necessary and appro-priate, and order service of the amended petitionciting in the putative father and notice of the hear-ing date, if any, to be made upon him;

(10) if the person named as the putative fatherappears, and admits that he is the biologicalfather, provide him and the mother with the noticeswhich comply with General Statutes § 17b-27 andprovide them with the opportunity to sign a pater-nity acknowledgment and affirmation on formswhich comply with General Statutes § 17b-27,which documents shall be executed and filed inaccordance with General Statutes § 46b-172 anda copy delivered to the clerk of the superior courtfor juvenile matters;

(11) in the event that the person named as aputative father appears and denies that he is thebiological father of the child or youth, advise himthat he may have no further standing in any pro-ceeding concerning the child or youth, and eitherorder genetic testing to determine paternity ordirect him to execute a written denial of paternityon a form promulgated by the office of the chiefcourt administrator. Upon execution of such aform by the putative father, the judicial authoritymay remove him from the case and afford him nofurther standing in the case or in any subsequentproceeding regarding the child or youth until suchtime as paternity is established by formal acknowl-edgment or adjudication in a court of competentjurisdiction; and

(12) identify any person or persons related tothe child or youth by blood or marriage residingin this state or out of state who might serve aslicensed foster parents or temporary custodians,


and order the commissioner of the department ofchildren and families to investigate and determinethe appropriateness of placement of the child oryouth with such relative or relatives pursuant toGeneral Statutes § 46b-129 (c) and provide a writ-ten report to the court no later than thirty daysfrom the date of the preliminary hearing and notifyall counsel of record or set a reasonable date forsuch a report if a relative lives outside the state.

(b) At the preliminary hearing on the order oftemporary custody or order to appear, the judicialauthority may provide parties an opportunity topresent argument with regard to the sufficiencyof the sworn statements.

(c) If any respondent fails, after proper service,to appear at the preliminary hearing, the judicialauthority may enter or sustain an order of tempo-rary custody.

(d) Upon request, or upon its own motion, thejudicial authority shall schedule a hearing on theorder for temporary custody or the order to appearto be held as soon as practicable but not laterthan ten days after the date of the preliminaryhearing. Such hearing shall be held on consecu-tive days except for compelling circumstances orat the request of the respondents.

(e) Subject to the requirements of Section 33a-7 (a) (6), upon motion of any party or on its ownmotion, the judicial authority may consolidate thehearing, on the order of temporary custody ororder to appear with the adjudicatory phase of thetrial on the underlying petition. At a consolidatedorder of temporary custody and neglect adjudica-tion hearing, the judicial authority shall determinethe outcome of the order of temporary custodybased upon whether or not continued removal isnecessary to ensure the child’s or youth’s safety,irrespective of its findings on whether there is suffi-cient evidence to support an adjudication ofneglect or uncared for. Nothing in this subsectionprohibits the judicial authority from proceeding todisposition of the underlying petition immediately

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after such consolidated hearing if the social studyhas been filed and the parties had previouslyagreed to sustain the order of temporary custodyand waived the ten day hearing or the partiesshould reasonably be ready to proceed.

(Adopted June 24, 2002, to take effect Jan. 1, 2003;amended June 30, 2008, to take effect Jan. 1, 2009; amendedJune 21, 2010, to take effect Jan. 1, 2011; amended June 20,2011, to take effect Jan. 1, 2012; amended June 15, 2012,to take effect Jan. 1, 2013.)

TECHNICAL CHANGE: In subsection (a) (4), the referenceto General Statutes § 51-296a replaced the reference to PublicActs 2011, No. 11-51.

Sec. 33a-8. Emergency, Life-ThreateningMedical Situations—ProceduresWhen an emergency medical situation exists

which requires the immediate assumption of tem-porary custody of a child or youth by the commis-sioner of the department of children and familiesin order to save the child’s or youth’s life, twophysicians under oath must attest to the need forsuch medical treatment. Oral permission by thejudicial authority may be given after receivingsworn oral testimony of two physicians that thespecific surgical or medical intervention is abso-lutely necessary to preserve the child’s or youth’slife. The judicial authority may grant the temporarycustody order ex parte or may schedule an imme-diate hearing prior to issuing said order. At anyimmediate hearing the two physicians shall beavailable for testifying, and the judicial authorityshall appoint counsel for the child or youth andnotify the chief public defender as soon as practi-cable that said counsel has been appointed. Ifthe judicial authority grants the temporary custodyorder ex parte by oral permission, based on thesworn oral testimony from the physicians, thecommissioner of the department of children andfamilies shall file the application for a temporarycustody order together with a neglect or uncaredfor petition on the next business day following thegranting of such order.



CHAPTER 34

RIGHTS OF PARTIES[Repealed as of Jan. 1, 2003.]

Sec. Sec.34-1. Right to Counsel and to Remain Silent [Repealed]34-2. Hearing Procedure; Subpoenas [Repealed]


Sec. 34-1. Right to Counsel and to RemainSilent[Repealed as of Jan. 1, 2003.]

Sec. 34-2. Hearing Procedure; Subpoenas[Repealed as of Jan. 1, 2003.]

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34-3. Standards of Proof [Repealed]34-4. Child Witness [Repealed]

Sec. 34-3. Standards of Proof[Repealed as of Jan. 1, 2003.]

Sec. 34-4. Child Witness[Repealed as of Jan. 1, 2003.]


CHAPTER 34a

PLEADINGS, MOTIONS AND DISCOVERYNEGLECTED, ABUSED AND UNCARED FOR CHILDREN

AND TERMINATION OF PARENTAL RIGHTS


Sec. Sec.34a-1. Motions, Requests and Amendments34a-2. Short Calendar—Frequency34a-3. Short Calendar—Assignments Automatic34a-4. Short Calendar—Continuances When Counsel’s

Presence or Oral Argument Required34a-5. Continuances and Advancements34a-6. Pleadings Allowed and Their Order34a-7. Waiving Right to Plead34a-8. Time to Plead34a-9. Motion to Dismiss34a-10. Grounds of Motion to Dismiss34a-11. Waiver Based on Certain Grounds


Sec. 34a-1. Motions, Requests andAmendments(a) Except as otherwise provided, the sections

in chapters 1 through 7 shall apply to juvenilematters in the superior court as defined by Gen-eral Statutes § 46b-121.

(b) The provisions of Sections 8-2, 9-5, 9-22,10-12 (a) and (c), 10-13, 10-14, 10-17, 10-18, 10-29, 10-62, 11-4, 11-5, 11-6, 11-7, 11-8, 11-10,11-11, 11-12, 11-13, 12-1, 12-2, 12-3, 13-1through 13-11 inclusive, 13-14, 13-16, 13-21through 13-32 inclusive, subject to Section 34a-20, 15-3, 15-8, 17-4, and 17-21 of the rules ofpractice shall apply to juvenile matters in the civilsession as defined by General Statutes § 46b-121.

(c) A motion or request, other than a motionmade orally during a hearing, shall be in writing.An objection to a request shall also be in writing.A motion, request or objection to a request shallhave annexed to it a proper order and whereappropriate shall be in the form called for by Sec-tion 4-1. The form and manner of notice shalladequately inform the interested parties of thetime, place and nature of the hearing. A motion,request, or objection to a request whose form isnot therein prescribed shall state in paragraphssuccessively numbered the specific grounds uponwhich it is made. A copy of all written motions,requests, or objections to requests shall be servedon the opposing party or counsel pursuant to Sec-tions 10-12 (a) and (c), 10-13, 10-14 and 10-17.

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34a-12. Waiver and Subject Matter Jurisdiction34a-13. Further Pleading by Respondent or Child34a-14. Response to Summary of Facts34a-15. Motion to Strike34a-16. Reasons in Motion to Strike34a-17. Memorandum of Law—Motion and Objection34a-18. When Memorandum of Decision Required on

Motion to Strike34a-19. Substitute Pleading; Judgment34a-20. Discovery34a-21. Court-Ordered Evaluations34a-22. Motion for Contempt34a-23. Motion for Emergency Relief

All motions or objections to requests shall be givenan initial hearing by the judicial authority withinfifteen days after filing provided reasonable noticeis given to parties in interest, or notices arewaived; any motion in a case on trial or assignedfor trial may be disposed of by the judicial authorityat its discretion or ordered upon the docket.

(d) A petition may be amended at any timeby the judicial authority on its own motion or inresponse to a motion prior to any final adjudica-tion. When an amendment has been so ordered,a continuance shall be granted whenever the judi-cial authority finds that the new allegations in thepetition justify the need for additional time to per-mit the parties to respond adequately to the addi-tional or changed facts and circumstances.

(e) If the moving party determines and reportsthat all counsel and self-represented parties agreeto the granting of a motion or agree that the motionmay be considered without the need for oral argu-ment or testimony and the motion states on itsface that there is such an agreement, the judicialauthority may consider and rule on the motionwithout a hearing.


Sec. 34a-2. Short Calendar—FrequencyShort calendar sessions shall be held in each

juvenile matters court location at least once every


two weeks, the date, hour and place to be fixed bythe presiding judge upon due notice to the clerk.


Sec. 34a-3. Short Calendar—AssignmentsAutomaticMatters to be placed on the short calendar shall

be assigned automatically by the clerk. No suchmatters shall be so assigned unless filed at leastfive days before the opening of court on the shortcalendar day, unless for good cause shown.


Sec. 34a-4. Short Calendar—ContinuancesWhen Counsel’s Presence or Oral Argu-ment RequiredMatters on the short calendar docket requiring

oral argument or counsel’s presence shall not becontinued except for good cause shown; and nosuch matter in which adverse parties are inter-ested shall be continued unless the parties shallagree thereto before the day of the short calendarsession and notify the clerk, subject to theapproval of the judicial authority. In the absenceof such an agreement, unless the judicial authorityshall otherwise order, any counsel appearing mayargue the matter and submit it for decision, orrequest that it be denied.


Sec. 34a-5. Continuances and Advance-ments(a) Motions for continuances or changes in

scheduled court dates must be submitted in writ-ing in compliance with Section 34a-1 (c) and filedno later than seven days prior to the scheduleddate. Such motions must state the precise reasonfor the request, the name of the judge scheduledto hear the case, and whether or not all otherparties consent to the request. After consultingwith the presiding judge, a court services officeror clerk will handle bona fide emergency requestssubmitted less than seven days prior to scheduledcourt dates.

(b) Trials that are not completed within the allot-ted prescheduled time will be subject to continua-tion at the next available court date.


Sec. 34a-6. Pleadings Allowed and TheirOrderThe order of pleadings shall be as follows:(1) The petition.(2) The respondent’s or child’s motion to

dismiss.(3) The respondent’s or child’s motion to strike.(Adopted June 24, 2002, to take effect Jan. 1, 2003.)

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Sec. 34a-7. Waiving Right to PleadIn all cases, when the judicial authority does

not otherwise order, the filing of any pleading pro-vided for by the preceding section will waive theright to file any pleading which might have beenfiled in due order and which precedes it in theorder of pleading provided in that section.


Sec. 34a-8. Time to PleadCommencing on the plea date stated on the

petition, pleadings shall first advance within fifteendays from the plea date stated on the petition, andany subsequent pleadings, motions and requestsshall advance at least one step within each suc-cessive period of fifteen days from the precedingpleading or the filing of the decision of the judicialauthority thereon if one is required.

If the respondent enters a pro forma denialbefore the plea date stated on the petition, therespondent is not precluded from filing any plead-ings within the time frame specified.


Sec. 34a-9. Motion to DismissAny respondent or child, wishing to contest the

court’s jurisdiction, may do so even after havingentered a general appearance, but must do so byfiling a motion to dismiss within fifteen days of theplea date stated on the petition.


Sec. 34a-10. Grounds of Motion to Dismiss(a) The motion to dismiss shall be used to

assert: (1) lack of jurisdiction over the subject mat-ter; (2) lack of jurisdiction over the person; (3)improper venue; (4) insufficiency of process; and(5) insufficiency of service of process. A motionto dismiss shall always be filed with a supportingmemorandum of law, and where appropriate, withsupporting affidavits as to facts not apparent onthe record.

(b) Any adverse party who objects to a motionto dismiss shall, at least five days before themotion is to be considered on the short calendar,file and serve in accordance with Sections 10-12(a) and (c), 10-13, 10-14 and 10-17 a memoran-dum of law and, where appropriate, supportingaffidavits as to facts not apparent on the record.


Sec. 34a-11. Waiver Based on CertainGroundsAny claim of lack of jurisdiction over the person,

improper venue, insufficiency of process, or insuf-ficiency of service of process is waived if notraised by a motion to dismiss filed in the sequence


provided in Sections 34a-6 and 34a-7 and withinthe time provided by Section 34a-9.


Sec. 34a-12. Waiver and Subject MatterJurisdictionAny claim of lack of jurisdiction over the subject

matter cannot be waived; and whenever it is foundafter suggestion of the parties or otherwise thatthe judicial authority lacks jurisdiction of the sub-ject matter, the judicial authority shall dismissthe action.


Sec. 34a-13. Further Pleading by Respon-dent or ChildIf a motion to dismiss is denied with respect to

any jurisdictional issue, the respondent or childmay plead further without waiving the right to con-test jurisdiction further.


Sec. 34a-14. Response to Summary of FactsIn addition to the entry of a pro forma plea of

denial, a parent, legal guardian or child may,within thirty days of the plea date, file a writtenresponse to the summary of facts attached to thepetition specifying that certain allegations in saidsummary of facts are irrelevant, immaterial, falseor otherwise improper.


Sec. 34a-15. Motion to Strike(a) Whenever any party wishes to contest: (1)

the legal sufficiency of the allegations of any peti-tion, or of any one or more counts thereof, to statea claim upon which relief can be granted; or (2)the legal sufficiency of any prayer for relief in anysuch petition; or (3) the legal sufficiency of anysuch petition, or any count thereof, because ofthe absence of any necessary party; or (4) thejoining of two or more causes of action whichcannot properly be united in one petition whetherthe same be stated in one or more counts, thatparty may do so by filing a motion to strike thecontested petition or part thereof.

(b) A motion to strike on the ground of the non-joinder of a necessary party must give the nameand residence of the missing party or such infor-mation as the moving party has as to the identityand residence of the missing party and must statethe missing party’s interest in the cause of action


Sec. 34a-16. Reasons in Motion to StrikeEach motion to strike raising any of the claims

of legal insufficiency enumerated in the precedingsections shall separately set forth each such claim

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of insufficiency and shall distinctly specify the rea-son or reasons for each such claimed insuffi-ciency.


Sec. 34a-17. Memorandum of Law—Motionand Objection(a) Each motion to strike must be accompanied

by an appropriate memorandum of law citing thelegal authorities upon which the motion relies.

(b) Any adverse party who objects to this motionshall, at least five days before the date the motionis to be considered on the short calendar, file andserve in accordance with Sections 10-12 (a) and(c), 10-13, 10-14 and 10-17 a memorandum oflaw.


Sec. 34a-18. When Memorandum of Deci-sion Required on Motion to StrikeWhenever a motion to strike is filed and more

than one ground of decision is set forth therein,the judicial authority, in rendering the decisionthereon, shall specify in writing the grounds uponwhich that decision is based.


Sec. 34a-19. Substitute Pleading; JudgmentWithin fifteen days after the granting of any

motion to strike, the petitioner may file a new peti-tion; provided that in those instances where anentire petition has been stricken, and the peti-tioner fails to file a new petition within that fifteen-day period, the judicial authority may, uponmotion, enter judgment against said party on saidstricken petition.


Sec. 34a-20. Discovery(a) Access to the records of the department of

children and families shall be permitted in accord-ance with General Statutes § 17a-28 and otherapplicable provisions of the law.

(b) Pretrial discovery by interrogatory, produc-tion, inspection or deposition of a person may beallowed with the permission of the judicial author-ity only if the information or material sought isnot otherwise obtainable and upon a finding thatproceedings will not be unduly delayed.

(c) Upon its own motion or upon the request ofa party, the judicial authority may limit discoverymethods, and specify overall timing andsequence, provided that the parties shall beallowed a reasonable opportunity to obtain infor-mation needed for the preparation of their case.The judicial authority may grant the requesteddiscovery, order reciprocal discovery, orderappropriate sanctions permitted under Section


13-14 for any clear misuse of discovery or arbi-trary delay or refusal to comply with a discoveryrequest, and deny, limit, or set conditions on therequested discovery, including any protectiveorders under Section 13-5.

(d) If the judicial authority permits discovery,the provisions of Sections 13-1 through 13-11inclusive, 13-14, 13-16, 13-21 through 13-32inclusive may be incorporated in the discoveryorder in the discretion of the judicial authority.Motions for discovery or disclosure of confidentialrecords should not be filed unless the movingparty has attempted unsuccessfully to obtain anappropriate release or agreement to disclose fromthe party or person whose records are beingsought.

(e) If, subsequent to compliance with any filedrequest or order for discovery and prior to or dur-ing trial, a party discovers additional or new mate-rial or information previously requested andordered subject to discovery or inspection, or dis-covers that the prior compliance was totally orpartially incorrect or, though correct when made,is no longer true and the circumstances are suchthat a failure to amend the compliance is in sub-stance a knowing concealment, that party shallpromptly notify the other party, or the other party’sattorney and file and serve in accordance withSections 10-12 through 10-17 a supplemental orcorrected compliance.


Sec. 34a-21. Court-Ordered Evaluations(a) The judicial authority, after hearing on a

motion for a court-ordered evaluation or after anagreement has been reached to conduct suchan evaluation, may order a mental or physicalexamination of a child or youth. The judicialauthority after hearing or after an agreement hasbeen reached may also order a thorough physicalor mental examination of a parent or guardianwhose competency or ability to care for a child oryouth is at issue.

(b) The judicial authority shall select andappoint an evaluator qualified to conduct suchassessments, with the input of the parties. Allexpenses related to the court-ordered evaluationsshall be the responsibility of the petitioner; how-ever the party calling the evaluator to testify willbear the expenses of the evaluator related to tes-tifying.

(c) At the time of appointment of any courtappointed evaluator, counsel and the court ser-vices officer shall complete the evaluation formand agree upon appropriate questions to beaddressed by the evaluator and materials to bereviewed by the evaluator. If the parties cannot

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agree, the judicial authority shall decide the issueof appropriate questions to be addressed andmaterials to be reviewed by the evaluator. A repre-sentative of the court shall contact the evaluatorand arrange for scheduling and for delivery of thereferral package.

(d) Any party who wishes to alter, to update, toamend or to modify the initial terms of referralshall seek prior permission of the judicial authority.There shall be no ex parte communication withthe evaluator by counsel prior to completion ofthe evaluation.

(e) After the evaluation has been completedand filed with the court, counsel may communi-cate with the evaluator subject to the followingterms and conditions:

(1) Counsel shall identify themselves as anattorney and the party she or he represents;

(2) Counsel shall advise the evaluator that withrespect to any substantive inquiry into the evalua-tion or opinions contained therein, the evaluatorhas the right to have the interview take place inthe presence of counsel of his/her choice, or inthe presence of all counsel of record;

(3) Counsel shall have a duty to disclose toother counsel the nature of any ex parte communi-cation with the evaluator and whether it was sub-stantive or procedural. The disclosure shall occurwithin a reasonable time after the communicationand prior to the time of the evaluator’s testimony;

(4) All counsel shall have the right to contactthe evaluator and discuss procedural mattersrelating to the time and place of court hearings orevaluation sessions, the evaluator’s willingness tovoluntarily attend without subpoena, what recordsare requested, and the parameters of the pro-posed examination of the evaluator as a witness.

(f) Counsel for children, youths, parents orguardians may move the judicial authority for per-mission to disclose court records for an indepen-dent evaluation of their own client. Suchevaluations shall be paid for by the moving partyand shall not be required to be disclosed to thejudicial authority or other parties, unless therequesting party, upon receipt of the evaluationreport, declares an intention to introduce the eval-uation report or call the evaluator as a witnessat trial.


Sec. 34a-22. Motion for ContemptAll motions for contempt must state: (1) the date

and specific language of the order of the judicialauthority on which the motion is based; (2) thespecific acts alleged to constitute the contempt ofthat order, including the amount of any arrears


claimed due as of the date of the motion or adate specifically identified in the motion; (3) themovant’s claims for relief for the contempt.


Sec. 34a-23. Motion for Emergency Relief(a) Notwithstanding the above provisions, any

party may file a motion for emergency relief, seek-ing an order directed to the parents, includingany person who acknowledged before a judicialauthority paternity of a child born out of wedlock,guardians, custodians or other adult personsowing some legal duty to the child, as deemednecessary or appropriate to secure the welfare,protection, proper care and suitable support of achild or youth before this court for the protectionof the child. Such orders include, but are not lim-ited to, an order for access to the family home,an order seeking medical exam or mental healthexam or treatment of the child, an order to remedya dangerous condition in the family or foster home,an order to provide or to accept and cooperatewith certain services, or an order prohibiting the

357


removal of the child from the state or the home.Such motions may be heard at the next shortcalendar; however, if the exigencies of the situa-tion demand, the judicial authority may orderimmediate ex parte relief, pending an expedi-tious hearing.

(b) No motion for emergency relief shall begranted without notice to each party unless theapplicant certifies one of the following to the courtin writing:

(1) facts showing that within a reasonable timeprior to presenting the motion the moving partygave notice to all other parties of the time whenand the place where the motion would be pre-sented and provided a copy of the motion; or

(2) the moving party in good faith attempted butwas unable to give notice to the other parties,specifying the efforts made to contact such par-ties; or

(3) facts establishing good cause why the mov-ing party should not be required to give notice toother parties.



CHAPTER 35

GENERAL PROVISIONS


Sec. Sec.35-1. Petitions, Motions and Amendments [Repealed]35-2. Continuances and Advancements [Repealed]35-3. Discovery [Repealed]


Sec. 35-1. Petitions, Motions and Amend-ments[Repealed as of Jan. 1, 2003.]

Sec. 35-2. Continuances and Advance-ments[Repealed as of Jan. 1, 2003.]

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35-4. Appeal [Repealed]35-5. Recording of Testimony; Records [Repealed]

Sec. 35-3. Discovery[Repealed as of Jan. 1, 2003.]

Sec. 35-4. Appeal[Repealed as of Jan. 1, 2003.]

Sec. 35-5. Recording of Testimony; Records[Repealed as of Jan. 1, 2003.]


CHAPTER 35a

HEARINGS CONCERNING NEGLECTED, ABUSED AND UNCARED FOR CHILDREN ANDTERMINATION OF PARENTAL RIGHTS


Sec. Sec.35a-1. Adjudication upon Acceptance of Admission or

Written Plea of Nolo Contendere35a-1A. Record of the Case35a-1B. Exclusion of Unnecessary Persons from

Courtroom35a-2. Case Status Conference or Judicial Pretrial35a-3. Coterminous Petitions35a-4. Motions to Intervene35a-5. Notice and Right to Be Heard35a-6. Post-Disposition Role of Former Guardian35a-6A. Consolidation35a-7. Evidence35a-7A. Adverse Inference35a-8. Burden of Proceeding35a-9. Dispositional Hearing; Evidence and Social Study35a-10. Availability of Social Study to Counsel and Parties35a-11. Dispositional Plan Offered by Respondents35a-12. Protective Supervision—Conditions and Modifi-

cation


Sec. 35a-1. Adjudication upon Acceptanceof Admission or Written Plea of Nolo Con-tendere(Amended June 30, 2008, to take effect Jan. 1, 2009.)

(a) Notwithstanding any prior statementsacknowledging responsibility, the judicial author-ity shall inquire whether the allegations of the peti-tion are presently admitted or denied. This inquiryshall be made of the parent(s) or guardian inneglect, abuse or uncared for matters, and of theparents in termination matters.

(b) An admission to allegations or a written pleaof nolo contendere signed by the respondent maybe accepted by the judicial authority. Beforeaccepting an admission or plea of nolo conten-dere, the judicial authority shall determinewhether the right to trial has been waived, andthat the parties understand the content and con-sequences of their admission or plea. If the allega-tions are admitted or the plea accepted, thejudicial authority shall make its adjudicatory find-ing as to the validity of the facts alleged in thepetition and may proceed to a dispositional hear-ing. Where appropriate, the judicial authority maypermit a noncustodial parent or guardian to stand

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35a-12A. Motions for Transfer of Guardianship35a-13. Findings as to Continuation in the Home, Efforts

to Prevent Removal35a-14. Motions for Review of Permanency Plan35a-14A. Revocation of Commitment35a-15. Reunification Efforts—Aggravating Factors35a-16. Modifications35a-17. Motions to Review Plan for Child Whose Parents’

Rights Have Been Terminated [Repealed]35a-18. Opening Default35a-19. Transfer from Probate Court of Petitions for

Removal of Parent as Guardian or Terminationof Parental Rights

35a-20. Motions for Reinstatement of Parent or FormerLegal Guardian as Guardian or Modification ofGuardianship Post-Disposition

35a-21. Appeals in Child Protection Matters35a-22. Where Presence of Person May Be by Means of

an Interactive Audiovisual Device35a-23. Child’s Hearsay Statement; Residual Exception

silent as to the entry of an adjudication. The judi-cial authority shall determine whether a noncusto-dial parent or guardian standing silentunderstands the consequences of standing silent.

(Adopted June 24, 2002, to take effect Jan. 1, 2003;amended June 30, 2008, to take effect Jan. 1, 2009; amendedJune 20, 2011, to take effect Jan. 1, 2012; amended June 15,2012, to take effect Jan. 1, 2013; amended June 13, 2014,to take effect Jan. 1, 2015.)

Sec. 35a-1A. Record of the CaseA verbatim stenographic or electronic recording

of all hearings shall be kept, any transcript ofwhich shall be part of the record of the case.


Sec. 35a-1B. Exclusion of Unnecessary Per-sons from CourtroomAny judicial authority hearing a child protection

matter may, during such hearing, exclude fromthe room in which such hearing is held any personwhose presence is, in the opinion of the judicialauthority, not necessary.


Sec. 35a-2. Case Status Conference or Judi-cial Pretrial(a) When the allegations of the petition are

denied, necessitating testimony in support of the


petitioner’s allegations, the case shall be contin-ued for a case status conference and/or a judicialpretrial. The case status conference or judicialpretrial may be waived by the judicial authorityupon request of all the parties.

(b) Parties with decision-making authority tosettle must be present or immediately accessibleduring a case status conference or judicial pretrial.Continuances will be granted only in accordancewith Section 34a-5.

(c) At the case status conference and/or judicialpretrial, all attorneys and self-represented partieswill be prepared to discuss the following matters:

(1) Settlement;(2) Simplification and narrowing of the issues;(3) Amendments to the pleadings;(4) The setting of firm trial dates;(5) Preliminary witness lists;(6) Identification of necessary arrangements for

trial including, but not limited to, application for awrit of habeas corpus for incarcerated parties,transportation, interpreters, and specialequipment;

(7) Such other actions as may aid in the disposi-tion of the case.

(d) When necessary, the judicial authority mayissue a trial management order including, but notlimited to, an order fixing a date prior to trial bywhich all parties are to exchange proposed wit-ness and exhibit lists and copies of proposedexhibits not previously exchanged. Failure to com-ply with this order may result in the imposition ofsanctions as the ends of justice may require.


Sec. 35a-3. Coterminous PetitionsWhen coterminous petitions are filed, the judi-

cial authority first determines by a fair preponder-ance of the evidence whether the child or youthis neglected, abused or uncared for; if so, thenthe judicial authority determines whether statutorygrounds exist to terminate parental rights by clearand convincing evidence; if so, then the judicialauthority determines whether termination ofparental rights is in the best interests of the childor youth by clear and convincing evidence. If thejudicial authority determines that terminationgrounds do not exist or termination of parentalrights is not in the best interests of the child oryouth, then the judicial authority may consider bya fair preponderance of the evidence any of thedispositional alternatives available under theneglect, abuse or uncared for petition.


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Sec. 35a-4. Motions to Intervene(Amended June 20, 2011, to take effect Jan. 1, 2012.)(a) Interventions by any person related to the

child or youth by blood or marriage for temporarycustody or guardianship shall be governed byGeneral Statutes § 46b-129 (c) or (d). All motionsfor intervention shall state with specificity the mov-ant’s interest and relief requested.

(b) Upon motion of any sibling of any child com-mitted to the commissioner of the department ofchildren and families pursuant to General Statutes§ 46b-129, such sibling shall have the right to beheard concerning visitation with, and placementof, any such child. In awarding any visitation ormodifying any placement, the judicial authorityshall be guided by the best interests of all siblingsaffected by such determination.

(c) Other persons unrelated to the child or youthby blood or marriage, or persons related to thechild or youth by blood or marriage who are notseeking to serve as a placement, temporary cus-todian or guardian of the child may move to inter-vene in the dispositional phase of the case, andthe judicial authority may grant said motion if itdetermines that such intervention is in the bestinterest of the child or youth or in the interestsof justice.

(d) In making a determination upon a motion tointervene, the judicial authority may consider: thetimeliness of the motion as judged by the circum-stances of the case; whether the movant has adirect and immediate interest in the case; whetherthe movant’s interest is not adequately repre-sented by existing parties; whether the interven-tion may cause delay in the proceedings or otherprejudice to the existing parties; the necessity foror value of the intervention in terms of resolvingthe controversy before the judicial authority; andthe best interests of the child.

(e) Any intervenor shall appear in person, withor without counsel, and shall not be entitled tocourt-appointed counsel or the assignment ofcounsel by the chief public defender except asprovided in General Statutes § 46b-136.

(f) The judicial authority, may, on motion of anyparty or on its own motion, after notice and ahearing, terminate any person’s intervenor statusif such person’s participation in the case is nolonger warranted or necessary. The judicialauthority may determine if good cause exists topermit the intervenor to continue to participate infuture proceedings as a party and what, if anyfurther actions, the intervenor is required to take.



Sec. 35a-5. Notice and Right to Be Heard(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) Any foster parent, prospective adoptive par-

ent or relative caregiver shall be notified of andhave a right to be heard in any proceeding heldconcerning a child or youth living with such fosterparent, prospective adoptive parent or relativecaregiver. The commissioner of the departmentof children and families shall provide written noticeof all court proceedings concerning any child oryouth to any such foster parent, prospective adop-tive parent or relative caregiver of such child oryouth. Records of such notice shall be kept bythe commissioner of the department of childrenand families and information about notice givenin each case provided to the court.

(b) Upon motion of any sibling of any child oryouth committed to the commissioner of thedepartment of children and families pursuant toGeneral Statutes § 46b-129, the sibling shall havethe right to be heard concerning visitation withand placement of any such child or youth.


Sec. 35a-6. Post-Disposition Role of For-mer GuardianWhen a court of competent jurisdiction has

ordered legal guardianship of a child or youth toa person other than the biological parents of thechild or youth prior to the juvenile court proceed-ing, the juvenile court shall determine at the timeof the commitment of the child or youth to thecommissioner of the department of children andfamilies whether good cause exists to allow saidlegal guardian to participate in future proceedingsas a party and what, if any further actions thecommissioner of the department of children andfamilies and the guardian are required to take.


Sec. 35a-6A. ConsolidationUpon motion of any party or on its own motion,

the judicial authority may consolidate separatepetitions for trial. In determining whether to con-solidate, the judicial authority shall considerwhether consolidation will expedite the businessof the court without causing delay or injustice.


Sec. 35a-7. Evidence(a) In the adjudicatory phase, the judicial

authority is limited to evidence of events preced-ing the filing of the petition or the latest amend-ment, except where the judicial authority must

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consider subsequent events as part of its determi-nation as to the existence of a ground for termina-tion of parental rights.

(b) In the discretion of the judicial authority,evidence on adjudication and disposition may beheard in a nonbifurcated hearing, provided dispo-sition may not be considered until the adjudicatoryphase has concluded.


Sec. 35a-7A. Adverse InferenceIf a party requests that the judicial authority

draw an adverse inference from a parent’s orguardian’s failure to testify or the judicial authorityintends to draw an adverse inference, either at thestart of any trial or after the close of the petitioner’scase-in-chief, the judicial authority shall notify theparents or guardian that an adverse inferencemay be drawn from their failure to testify.


Sec. 35a-8. Burden of Proceeding(a) The petitioner shall be prepared to substan-

tiate the allegations of the petition. All partiesexcept the child or youth shall be present at trialunless excused for good cause shown. Failure ofany party to appear in person or by their statutorilypermitted designee may result in a default or non-suit for failure to appear for trial, as the case maybe, and evidence may be introduced and judg-ment rendered.

(b) If a parent fails to appear at the initial hearingand no military affidavit has been filed, the judicialauthority shall continue the proceedings prior toentering a default for failure to appear until suchtime as the military affidavit is filed, provided if theidentity of the parent, after reasonable search,cannot be determined, then default may enter andno military affidavit is required.

(c) The clerk shall give notice by mail to thedefaulted party and the party’s attorney of thedefault and of any action taken by the judicialauthority. The clerk shall note the date that suchnotice is given or mailed.


Sec. 35a-9. Dispositional Hearing; Evidenceand Social StudyThe judicial authority may admit into evidence

any testimony relevant and material to the issueof the disposition, including events occurringthrough the close of the evidentiary hearing, butno disposition may be made by the judicial author-ity until any mandated social study has been sub-mitted to the judicial authority. Said study shall bemarked as an exhibit subject to the right of any


party to be heard on a motion in limine requestingredactions and to require that the author, if avail-able, appear for cross-examination.


Sec. 35a-10. Availability of Social Study toCounsel and PartiesThe mandated social study, addendums

thereto, case status reports or other writtenreports made available to the judicial authorityshall be reproduced and provided to all counselof record and any self-represented party by thecommissioner of the department of children andfamilies before any scheduled case status confer-ence, pretrial or hearing date. All persons whohave access to such materials shall be responsi-ble for preserving the confidentiality thereof inaccordance with Section 32a-7.


Sec. 35a-11. Dispositional Plan Offered byRespondentsThe respondents shall have the right to produce

witnesses on behalf of any dispositional plan theymay wish to offer.


Sec. 35a-12. Protective Supervision—Con-ditions and Modification(a) When protective supervision is ordered, the

judicial authority will set forth any conditions ofsaid supervision including duration, specific stepsand review dates.

(b) A protective supervision order shall bescheduled for an in court review and reviewed bythe judicial authority at least thirty days prior toits expiration. At said review, an updated socialstudy shall be provided to the judicial authority.

(c) If an extension of protective supervision isbeing sought by the commissioner of the depart-ment of children and families or any other partyin interest, including counsel for the minor childor youth, then a written motion for the same shallbe filed not less than thirty days prior to suchexpiration. Such motion shall be heard either atthe in court review of protective supervision if itis held within thirty days of such expiration or ata hearing to be held within ten days after the filingof such motion. For good cause shown and underextenuating circumstances, such written motionmay be filed in a period of less than thirty daysprior to the expiration of the protective supervisionand the same shall be docketed accordingly. Themotion shall set forth the reason(s) for the exten-sion of the protective supervision and the period ofthe extension being sought. If the judicial authority

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orders such extension of protective supervision,the extension order shall be reviewed by the judi-cial authority at least thirty days prior to its expi-ration.

(d) Parental or guardian noncompliance withthe order of protective supervision shall be aground for a motion to modify the disposition.Upon finding that the best interests of the childso warrant, the judicial authority, on its own motionor acting on a motion of any party and after noticeis given and hearing has been held, may modifya previously entered disposition of protectivesupervision in accordance with the applicableGeneral Statutes.


Sec. 35a-12A. Motions for Transfer ofGuardianship(a) Motions to transfer guardianship are disposi-

tional in nature, based on the prior adjudication.(b) In cases in which a motion for transfer of

guardianship seeks to vest guardianship of a childor youth in any relative who is the licensed fosterparent for such child or youth, or who is, pursuantto an order of the court, the temporary custodianof the child or youth at the time of the motion, themoving party has the burden of proof that theproposed guardian is suitable and worthy and thattransfer of guardianship is in the best interests ofthe child. In such cases, there shall be a rebuttablepresumption that the award of legal guardianshipto that relative shall be in the best interests of thechild or youth and that such relative is a suitableand worthy person to assume legal guardianship.The presumption may be rebutted by a prepon-derance of the evidence that an award of legalguardianship to such relative would not be in thechild’s or youth’s best interests and such relativeis not a suitable and worthy person.

(c) In cases in which a motion for transfer ofguardianship, if granted, would require theremoval of a child or youth from any relative whois the licensed foster parent for such child or youth,or who is, pursuant to an order of the court, thetemporary custodian of the child or youth at thetime of the motion, the moving party has the initialburden of proof that an award of legal guardian-ship to, or an adoption by, such relative would notbe in the child’s or youth’s best interest and thatsuch relative is not a suitable and worthy person.If this burden is met, the moving party then hasthe burden of proof that the movant’s proposedguardian is suitable and worthy and that transferof guardianship to that proposed guardian is inthe best interests of the child.


(d) In all other cases, the moving party hasthe burden of proof that the proposed guardian issuitable and worthy and that transfer of guardian-ship is in the best interests of the child.


Sec. 35a-13. Findings as to Continuation inthe Home, Efforts to Prevent RemovalWhenever the judicial authority orders a child

or youth to be removed from the home, the judicialauthority shall make written findings: (1) at thetime of the order that continuation in the home iscontrary to the welfare of the child or youth; and(2) at the time of the order or within sixty daysafter the child or youth has been removed fromthe home, whether the commissioner of thedepartment of children and families has made rea-sonable efforts to prevent removal or whethersuch efforts were not possible.


Sec. 35a-14. Motions for Review of Perma-nency Plan(Amended June 30, 2008, to take effect Jan. 1, 2009.)(a) Motions for review of the permanency plan

shall be filed nine months after the placement ofthe child or youth in the custody of the commis-sioner of the department of children and familiespursuant to a voluntary placement agreement, orremoval of a child or youth pursuant to GeneralStatutes § 17a-101g or an order of a court of com-petent jurisdiction, whichever is earlier. At the datecustody is vested by order of a court of competentjurisdiction, or if no order of temporary custody isissued, at the date when commitment is ordered,the judicial authority shall set a date by which thesubsequent motion for review of the permanencyplan shall be filed. The commissioner of thedepartment of children and families shall proposea permanency plan that conforms to the statutoryrequirements and shall provide a social study tosupport said plan. Nothing in this section shallpreclude any party from filing a motion for revoca-tion of commitment separate from a motion forreview of permanency plan pursuant to GeneralStatutes § 46b-129 (m) and subject to Section35a-14A.

(b) At the time of the filing of a motion for reviewof permanency plan pursuant to subsection (a),the commissioner of the department of childrenand families shall also request a finding that it hasmade reasonable efforts to achieve the goal ofthe existing plan. The social study filed pursuant tosubsection (a) shall include information indicatingwhat efforts the commissioner has taken toachieve the goal of the existing plan.

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(c) Once a motion for review of the permanencyplan and requested findings regarding efforts toachieve the goal of the existing plan have beenfiled, the clerk of the court shall set a hearingnot later than ninety days thereafter. The judicialauthority shall provide notice to the child or youth,and the parent or guardian of such child or youthand any other party found entitled to such noticeof the time and place of the court hearing on anysuch motion not less than fourteen days prior tosuch hearing. Any party who is in opposition toany such motion shall file a written objection andstate with specificity the reasons therefor withinthirty days after the filing of the commissioner ofthe department of children and families’ motionfor review of permanency plan and the objectionshall be considered at the hearing. The judicialauthority shall hold an evidentiary hearing in con-nection with any contested motion for review ofthe permanency plan. If there is no objection ormotion for revocation filed, then the motion maybe granted by the judicial authority at the date ofsaid hearing.

(d) Whether to approve the permanency planand to find that reasonable efforts to achieve thegoal of the existing plan have been made aredispositional questions, based on the prior adjudi-cation, and the judicial authority shall determinewhether it is in the best interests of the child oryouth to approve the permanency plan and to findthat reasonable efforts to achieve the goal of theexisting plan have been made upon a fair prepon-derance of the evidence. The commissioner ofthe department of children and families shall havethe burden of proving that the proposed perma-nency plan is in the best interests of the child oryouth and that it has made reasonable efforts toachieve the goal of the existing plan.

(e) At each hearing on a motion for review ofpermanency plan, the judicial authority shall (1)ask the child or youth about his or her desiredpermanency outcome, or if the child or youth isunavailable to appear at such hearing require theattorney for the child or youth to consult with thechild or youth regarding the child’s or youth’sdesired permanency outcome and report thesame to the court, (2) review the status of thechild or youth, (3) review the progress being madeto implement the permanency plan, (4) determinea timetable for attaining the permanency plan, (5)determine the services to be provided to the par-ent if the court approves a permanency plan ofreunification and the timetable for such services,and (6) determine whether the commissioner ofthe department of children and families has madereasonable efforts to achieve the goal of theexisting permanency plan. The judicial authority


shall also determine whether the proposed goalof the permanency plan as set forth in GeneralStatutes § 46b-129 (k) (2) is in the best interestsof the child or youth by a fair preponderance ofthe evidence, taking into consideration the child’sor youth’s need for permanency. The child’s oryouth’s health and safety shall be of paramountconcern in formulating such plan. If a permanencyplan is not approved by the judicial authority, itshall order the filing of a revised plan and set ahearing to review said revised plan within sixtydays.

(f) As long as a child or youth remains in thecustody of the commissioner of the departmentof children and families, the commissioner shallfile a motion for review of permanency plan andfor a finding regarding reasonable efforts toachieve the goal of the existing plan nine monthsafter the prior permanency plan hearing. No laterthan twelve months after the prior permanencyplan hearing, the judicial authority shall hold asubsequent permanency review hearing inaccordance with this section.

(g) Whenever an approved permanency planneeds revision, the commissioner of the depart-ment of children and families shall file a motionfor review of the revised permanency plan. Thecommissioner shall not be precluded from initiat-ing a proceeding in the best interests of the childor youth considering the needs for safety and per-manency.

(h) Where a petition for termination of parentalrights is granted, the guardian or statutory parentof the child or youth shall report to the judicialauthority not later than thirty days after the datethe judgment is entered on a permanency planand on the status of the child or youth. At leastevery three months thereafter, such guardian orstatutory parent shall make a report to the judicialauthority on the implementation of the plan, orearlier if the plan changes before the elapse ofthree months. The judicial authority may convenea hearing upon the filing of a report and shallconvene and conduct a permanency hearing forthe purpose of reviewing the permanency plan forthe child no more than twelve months from thedate judgment is entered or from the date of thelast permanency hearing held in accordance withGeneral Statutes § 46b-129 (k), whichever is ear-lier, and at least once a year thereafter while thechild or youth remains in the custody of the com-missioner of the department of children and fami-lies. At each court hearing, the judicial authorityshall make factual findings whether or not reason-able efforts to achieve the permanency plan orpromote adoption have been made.

(Adopted June 24, 2002, to take effect Jan. 1, 2003;amended June 30, 2008, to take effect Jan. 1, 2009; amended

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June 20, 2011, to take effect Jan. 1, 2012; amended June 24,2016, to take effect Jan. 1, 2017.)

HISTORY—2017: Prior to 2017, the first sentence of sub-section (e) read: ‘‘At each hearing on a motion for review ofpermanency plan, the judicial authority shall review the statusof the child, the progress being made to implement the perma-nency plan, determine a timetable for attaining the perma-nency plan, determine the services to be provided to the parentif the court approves a permanency plan of reunification andthe timetable for such services, and determine whether thecommissioner of the department of children and families hasmade reasonable efforts to achieve the goal of the existingpermanency plan.’’

COMMENTARY—2017: The revisions are consistent withNo. 15-199, § 3, of the 2015 Public Acts, which amendedGeneral Statutes § 46b-129 (k).

Sec. 35a-14A. Revocation of Commitment(Amended June 20, 2011, to take effect Jan. 1, 2012.)Where a child or youth is committed to the cus-

tody of the commissioner of the department ofchildren and families, the commissioner, a parentor the child’s attorney may file a motion seekingrevocation of commitment. The judicial authoritymay revoke commitment if a cause for commit-ment no longer exists and it is in the best interestsof the child or youth. Whether to revoke the com-mitment is a dispositional question, based on theprior adjudication, and the judicial authority shalldetermine whether to revoke the commitmentupon a fair preponderance of the evidence. Theparty seeking revocation of commitment has theburden of proof that no cause for commitmentexists. If the burden is met, the party opposing therevocation has the burden of proof that revocationwould not be in the best interests of the child. Ifa motion for revocation is denied, a new motionshall not be filed by the movant until at least sixmonths have elapsed from the date of the filingof the prior motion unless waived by the judicialauthority.


Sec. 35a-15. Reunification Efforts—Aggra-vating FactorsWhenever any party seeks a finding of the exis-

tence of an aggravating factor negating therequirement that reasonable efforts be made toreunify a child or youth with a parent, the movantshall, file a motion requesting such finding andthe judicial authority shall proceed in accordancewith General Statutes § 17a-111b (b).


Sec. 35a-16. ModificationsMotions to modify dispositions are dispositional

in nature based on the prior adjudication, andthe judicial authority shall determine whether amodification is in the best interests of the child or


youth upon a fair preponderance of the evidence.Unless filed by the commissioner of the depart-ment of children and families, any modificationmotion to return a child or youth to the custodyof the parent without protective supervision shallbe treated as a motion for revocation of com-mitment.


Sec. 35a-17. Motions to Review Plan forChild Whose Parents’ Rights Have Been Ter-minated[Repealed as of Jan. 1, 2009.]

Sec. 35a-18. Opening DefaultAny order or decree entered through a default

may be set aside within four months succeedingthe date of such entry of the order or decree uponthe written motion of any party or person preju-diced thereby, showing reasonable cause, or thata defense in whole or in part existed at the timeof the rendition of such order or of such decree,and that the party so defaulted was prevented bymistake, accident or other reasonable cause fromprosecuting or appearing to make the same,except that no such order or decree shall be setaside if a final decree of adoption regarding thechild has been issued prior to the filing of anysuch motion. Such written motion shall be verifiedby the oath of the complainant and shall state ingeneral terms the nature of the claim or defenseand shall particularly set forth the reason why theparty failed to appear. The judicial authority shallorder reasonable notice of the pendency of suchmotion to be given to all parties to the action andalso, in the case of a motion to set aside a judg-ment terminating parental rights, to any personwho has legal custody of the child or who hasphysical custody of the child pursuant to anagreement, including an agreement with thedepartment of children and families or a licensedchild-placing agency. The judicial authority mayenjoin enforcement of such order or decree untilthe decision upon such written motion, unless saidaction shall prejudice or place the child’s oryouth’s health, safety or welfare in jeopardy. Theinitial hearing on said motion shall be held as apriority matter but no later than fifteen days afterthe same has been filed with the clerk, unlessotherwise agreed to by the parties and sanctionedby the judicial authority. All hearings on motionsto set aside a judgment terminating parental rightsshall be conducted in accordance with the provi-sions of General Statutes § 45a-719. In the eventthat any motion is granted, the matter shall bescheduled for an immediate pretrial or case status

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conference within fourteen days thereof, and fail-ing a resolution at that time, then the matter shallbe scheduled for a trial as expeditiously aspossible.


Sec. 35a-19. Transfer from Probate Court ofPetitions for Removal of Parent as Guardianor Termination of Parental Rights(a) When a contested application for removal

of parent as guardian or petition for terminationof parental rights or application to commit a childor youth to a hospital for the mentally ill has beentransferred from the court of probate to the supe-rior court, the superior court clerk shall transmitto the probate court from which the transfer wasmade a copy of any orders or decrees thereafterrendered, including orders regarding reinstate-ment pursuant to General Statutes § 45a-611 andvisitation pursuant to General Statutes § 45a-612,and a copy of any appeal of a superior court deci-sion in the matter.

(b) The date of receipt by the superior court ofa transferred petition shall be the filing date fordetermining initial hearing dates in the superiorcourt. The date of receipt by the superior courtof any court of probate issued ex parte order oftemporary custody not heard by that court shallbe the issuance date in the superior court.

(c) Any appearance filed for any party in theprobate court shall continue in the superior courtfor juvenile matters unless (1) a motion to with-draw is filed in the probate court within five daysof the filing of the motion to transfer, and themotion to withdraw is granted by the probate court,(2) a motion to withdraw is filed by such party’scounsel and granted by the superior court for juve-nile matters, or (3) another counsel files an ‘‘inplace of’’ appearance on behalf of the party. If theparty represented is indigent or is the child subjectto the proceedings, new counsel shall be assignedfrom the list of public defender services assignedcounsel and shall be paid by the public defenderservices commission. The superior court for juve-nile matters may request that the division of publicdefender services contract with probate counselfor representation if continued representationwould be in the best interest of the client. Counselfor indigent parties or minor children appointedby the probate court who remain on the case insuperior court for juvenile matters shall be paidby the public defender services commissionaccording to its policies at the rate of pay estab-lished by the commission.

(d) (1) The superior court clerk shall notifyappearing parties in applications for removal of


guardian by mail of the date of the initial hearingwhich shall be held not more than thirty days fromthe date of receipt of the transferred application.Not less than ten days before the initial hearing,the superior court clerk shall cause a copy of thetransfer order and probate petition for removal ofguardian and an advisement of rights notice to beserved on any nonappearing party or any partynot served within the last twelve months with anaccompanying order of notice and summons toappear at an initial hearing.

(2) Not less than ten days before the date ofthe initial hearing, the superior court clerk shallcause a copy of the transfer order and probatepetition for termination of parental rights and anadvisement of rights notice to be served on allparties, regardless of prior service, with an accom-panying order of notice and summons to appearat an initial hearing which shall be held not morethan thirty days from the date of receipt of thepetition except in the case of a petition for termina-tion of parental rights based on consent whichshall be held not more than twenty days after thefiling of the petition.

(3) The superior court clerk shall mail notice ofthe initial hearing date for all transferred petitionsto all counsel of record and to the commissionerof the department of children and families or toany other agency which has been ordered by theprobate court to conduct an investigation pursuantto General Statutes § 45a-619. The commissionerof the department of children and families or anyother investigating agency will be notified of theneed to have a representative present at the ini-tial hearing.


HISTORY—2017: Prior to 2017, subsection (c) read: ‘‘Anyappearance filed for any party in the court of probate shallcontinue in the superior court until a motion to withdraw isfiled by counsel and granted by the court of probate or thesuperior court or another counsel files an ‘‘in lieu of’’ appear-ance on behalf of the party. Counsel previously appointed bythe court of probate for indigent parties or for the minor chil-d(ren) and paid by probate court administration who remain onthe case in superior court shall be paid by the Public DefenderServices Commission at the rate of pay established by thecommission. If a motion to withdraw is filed and granted andthe party represented is indigent or is the child subject to theproceedings, new counsel shall be assigned and paid by thePublic Defender Services Commission.’’

COMMENTARY—2017: The revision is consistent with No.15-199, § 20, of the 2015 Public Acts.

Sec. 35a-20. Motions for Reinstatement ofParent or Former Legal Guardian as Guard-ian or Modification of Guardianship Post-Disposition(Amended June 30, 2008, to take effect Jan. 1, 2009;


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(a) Whenever a parent or former legal guardianwhose guardianship rights to a child or youth wereremoved and transferred to another person or anagency other than the department of children andfamilies by the superior court for juvenile mattersseeks reinstatement as that child’s or youth’sguardian, the parent or former legal guardian mayfile a motion for reinstatement of guardianshipwith the court that ordered the transfer of guard-ianship. In other post-dispositional cases con-cerning a child or youth whose legal guardianshipwas transferred to a person other than a parentor former legal guardian, or to an agency otherthan the department of children and families, anyperson permitted to intervene may move the courtto modify the award of guardianship.

(b) The clerk shall assign such motion a hearingdate and issue a summons to the current guardianand the nonmoving parent or parents. The movingparty shall cause a copy of such motion and sum-mons to be served on the child’s or youth’s currentlegal guardian(s) and the nonmoving parent orparents.

(c) Before acting on such motion, the judicialauthority shall determine if the court still has cus-tody jurisdiction and shall request, if necessary,that the commissioner of the department of chil-dren and families conduct an investigation andsubmit a home study that sets forth written find-ings and recommendations before rendering adecision.

(d) The hearing on a motion for reinstatement ofguardianship is dispositional in nature. The partyseeking reinstatement of guardianship has theburden of proof to establish that cause for transferof guardianship to another person or agency nolonger exists. The judicial authority shall thendetermine if reinstatement of guardianship is inthe child’s or youth’s best interest.

(e) The hearing on a motion for post-disposi-tional modification of a guardianship order is dis-positional in nature. The party seeking to modifythe existing guardianship order has the burdenof proof to establish that the movant’s proposedguardian is suitable and worthy. The judicialauthority shall then determine if transfer of guard-ianship to that proposed guardian is in the child’sor youth’s best interest.


Sec. 35a-21. Appeals in Child ProtectionMatters(Amended June 15, 2012, to take effect Jan. 1, 2013.)(a) Unless a different period is provided by stat-

ute, appeals from final judgments or decisions ofthe superior court in child protection matters shall


be taken within twenty days from the issuance ofnotice of the rendition of the judgment or decisionfrom which the appeal is taken or within twentydays from the granting of any extension to appealpursuant to Section 79a-2.

(b) If an indigent party, child or youth wishes toappeal a final decision, the trial attorney shall filean appeal or seek review by an appellate reviewattorney in accordance with the rules for appealsin child protection matters in Chapter 79a. Thereviewing attorney determining whether there isa nonfrivolous ground for appeal shall file a limited‘‘in addition to’’ appearance with the trial court forpurposes of reviewing the merits of an appeal. Ifthe reviewing attorney determines there is meritto an appeal, such attorney shall file a limited ‘‘inaddition to’’ appearance for the appeal with theappellate court. The trial attorney shall remain inthe underlying juvenile matters case in order tohandle ongoing procedures before the local orregional juvenile court. Any attorney who files anappeal or files an appearance in the appellatecourt after an appeal has been filed shall bedeemed to have appeared in the trial court forthe limited purpose of prosecuting or defendingthe appeal.

(c) Unless a new appeal period is created pur-suant to Section 79a-2 (a), the time to take anappeal shall not be extended past forty days, (theoriginal twenty days plus one twenty day exten-sion for appellate review), from the date of theissuance of notice of the rendition of the judgmentor decision.


Sec. 35a-22. Where Presence of Person MayBe by Means of an Interactive AudiovisualDevice(a) The appearance of a person for any pro-

ceeding set forth in subsection (b) of this sectionmay, in the discretion of the judicial authority onmotion of a party or on its own motion, be madeby means of an interactive audiovisual device.Such audiovisual device must operate so thatsuch person and his or her attorney, if any, andthe judicial authority if the proceeding is in court,can see and communicate with each other simul-taneously. In addition, a procedure by which suchperson and his or her attorney can confer in pri-vate must be provided. Nothing contained in thissection shall be construed to establish a right forany person to be heard or to appear by meansof an interactive audiovisual device or to requirethe judicial branch to pay for such person’s

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appearance by means of an interactive audiovi-sual device.

(b) A person may appear by means of an inter-active audiovisual device in juvenile matters inthe civil session, as defined by General Statutes§ 46b-121 (a), in the following proceedings orunder the following circumstances:

(1) A party or a party’s representative in casestatus and case management conferences;

(2) If a parent or guardian is incarcerated in thisstate, he or she may participate in plea hearings,judicial pretrials, order of temporary custody andtermination of parental rights (TPR) case manage-ment conferences, reviews of protective supervi-sion, permanency plan hearings, case statusconferences, preliminary order of temporary cus-tody hearings, neglect plea and disposition byagreement, neglect trials, TPR plea hearings,canvass of consents to TPR, contested transferof guardianship hearings, motions to revoke com-mitment, emancipation petitions, and motions toreinstate guardian;

(3) If a parent or guardian is incarcerated ina federal correctional facility or another state’scorrectional facility, he or she may participate inall matters set forth in subdivision (2) above andin contested hearings including, but not limited to,temporary custody hearings, neglect or uncaredfor proceedings or TPR trials;

(4) A foster parent, prospective adoptive parentor relative caregiver may appear and be heard onthe best interests of the child or youth pursuantto General Statutes § 46b-129 (o);

(5) A sibling of any child committed to thedepartment of children and families, upon motion,may appear and be heard concerning visitationwith, and placement of, any such child pursuantto General Statutes § 46b-129 (p);

(6) A witness may testify in any proceeding inthe discretion of the judicial authority.

(c) Unless otherwise required by law or unlessotherwise ordered by the judicial authority, priorto any proceeding in which a person appears bymeans of an interactive audiovisual device, copiesof all documents which may be offered at theproceeding shall be provided to all counsel andself-represented parties in advance of the pro-ceeding.


Sec. 35a-23. Child’s Hearsay Statement;Residual Exception(a) A party who seeks the admission of a hear-

say statement of a child pursuant to the residualexception to the hearsay rule, based upon psy-chological unavailability, shall provide a writtennotice within a reasonable time before the trial.


(b) A notice pursuant to subsection (a) shall befiled with the court and shall be served on allcounsel of record and self-represented partieswhen appropriate, in accordance with Section 10-13. The notice shall identify the proffered state-ment, the basis for the psychological unavailabilityclaim and shall be filed within a reasonable timebefore the trial.

(c) A party who objects to the introduction ofthe child’s hearsay statement and challenges therepresentations contained in the notice filed pur-suant to subsection (b) of this section, shall file a

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written objection with the court within a reasonabletime before the trial, stating the reasons therefor.

(d) The judicial authority shall hold an eviden-tiary hearing to determine the admissibility of thechild’s hearsay statement in a manner that doesnot unduly delay resolution of the proceedings.The party seeking to introduce the statement shallhave the burden of proving the child’s psychologi-cal unavailability; specifically, that the child willsuffer serious emotional or mental harm if requiredto testify.


SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS Sec. 36-3

SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERS

CHAPTER 36

PROCEDURE PRIOR TO APPEARANCE

Sec. Sec.36-1. Arrest by Warrant; Issuance36-2. —Affidavit in Support of Application, Filing, Dis-

closure36-3. —Contents of Warrant36-4. —Direction by Judicial Authority for Use of

Summons36-5. —Execution and Return of Warrant36-6. —Cancellation of Warrant36-7. Summons; Form of Summons and Complaint36-8. —Issuance of Summons by Prosecuting Authority

in Lieu of Arrest Warrant36-9. —Service of Summons36-10. —Failure to Respond to Summons


Sec. 36-1. Arrest by Warrant; IssuanceUpon the submission of an application for an

arrest warrant by a prosecuting authority, a judicialauthority may issue a warrant for the arrest of anaccused person if the judicial authority determinesthat the affidavit accompanying the applicationshows that there is probable cause to believe thatan offense has been committed and that theaccused committed it.

(P.B. 1978-1997, Sec. 593.)

Sec. 36-2. —Affidavit in Support of Applica-tion, Filing, Disclosure(a) All affidavits submitted to the judicial author-

ity in support of the application for an arrest war-rant and from which a determination of probablecause for the issuance of an arrest warrant hasbeen made shall be filed with the clerk of thecourt together with the return of the arrest warrantpursuant to Section 44-11 and thereafter remaina part of the court file.

(b) At the time the arrest warrant is issued, uponwritten request of the prosecuting authority andfor good cause shown, the judicial authority mayorder that the supporting affidavits be sealed frompublic inspection or that disclosure be limitedunder such terms and conditions as it finds rea-sonable, subject to the further order of any judicialauthority thereafter having jurisdiction of the mat-ter. No such order shall limit their disclosure to theattorney for the accused, but the judicial authoritymay place reasonable restrictions on the attor-ney’s further disclosure of the contents of the affi-davits.

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36-11. Information and Complaint; Use36-12. —Issuance of Information36-13. —Form of Information36-14. —Former Conviction in Information36-15. —Filing and Availability of Information36-16. Amendments; Minor Defects36-17. —Substantive Amendment before Trial36-18. —Substantive Amendment after Commencement

of Trial36-19. —Request by Defendant for Essential Facts36-20. —Continuance Necessitated by Amendment36-21. Joinder of Offenses in Information36-22. Joinder of Defendants

(c) Any order sealing such affidavits from publicinspection or limiting their disclosure shall be fora specific period of time, not to exceed two weeksfrom the date of arrest, and within that time periodthe prosecuting authority may by written motionseek an extension of the period. The original orderof the court sealing the affidavit or limiting its dis-closure shall remain in effect until the court issuesan order on the motion. The motion to extend theperiod and the court’s order thereon shall be madein accordance with the provisions of Section 42-49A. Affidavits which are the subject of such anorder shall remain in the custody of the clerk’soffice but shall be kept in a secure location apartfrom the remainder of the court file as long as theorder is in effect.

(d) Unless the judicial authority issuing an arrestwarrant has, upon written request of the prosecut-ing authority, entered an order limiting disclosureof the supporting affidavits, all affidavits filed pur-suant to this section shall be open to publicinspection and copying and the clerk shall providecopies to any person upon receipt of any applica-ble fee.

(P.B. 1978-1997, Sec. 593A.) (Amended May 14, 2003, totake effect July 1, 2003; amended June 21, 2004, to takeeffect Jan. 1, 2005; amended June 22, 2009, to take effectJan. 1, 2010.)

Sec. 36-3. —Contents of WarrantThe warrant shall be signed by the judicial

authority and shall contain the name of theaccused person, or if such name is unknown, anyname or description by which the accused can

SUPERIOR COURT—PROCEDURE IN CRIMINAL MATTERSSec. 36-3

be identified with reasonable certainty, and theconditions of release fixed, if any. It shall statethe offense charged and direct any officer author-ized to execute it to arrest the accused personand to bring him or her before a judicial authoritywithout undue delay.

(P.B. 1978-1997, Sec. 594.)

Sec. 36-4. —Direction by Judicial Authorityfor Use of Summons(a) Instead of issuing an arrest warrant, even

where probable cause has been found, the judicialauthority may direct that a summons and com-plaint be issued to an accused person pursuantto Sections 36-7 through 36-10, unless the judicialauthority determines that it is necessary to takethe accused into custody for any of the follow-ing reasons:

(1) The criminal offense involved is a felony;(2) There are facts indicating a substantial likeli-

hood that such person will not appear in court atthe specified time and place unless taken intocustody;

(3) Such person is likely to cause injury to him-self or herself or to others, or is likely to causeserious damage to property;

(4) The offense is likely to continue if such per-son is not taken into custody;

(5) Custody is necessary for the protection ofsuch person or to provide that person with neededmedical or other aid;

(6) The person fails satisfactorily to identify him-self or herself; or

(7) The person has previously failed to appearin court when required to do so.

(b) The failure to comply with this section shallnot be a ground for dismissal of an information,but shall entitle the accused to be released upona written promise to appear where none of theforegoing reasons shall be found to exist.

(P.B. 1978-1997, Sec. 595.)

Sec. 36-5. —Execution and Return ofWarrantThe officer executing an arrest warrant may do

so anywhere within the state upon apprehensionof the accused. The officer shall take the accusedinto custody, serve a copy of the warrant uponhim or her and follow the procedure specified inSections 38-1 or 38-2, whichever is applicable.

(P.B. 1978-1997, Sec. 596.)

Sec. 36-6. —Cancellation of WarrantAt the request of the prosecuting authority, any

unserved arrest warrant shall be returned to a

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judicial authority for cancellation. A judicial author-ity also may direct that any unserved arrest war-rant be returned for cancellation.

(P.B. 1978-1997, Sec. 597.)

Sec. 36-7. Summons; Form of Summonsand ComplaintA summons and complaint issued by a prose-

cuting authority or law enforcement officer shall:(1) Be in writing;(2) Be signed by the person issuing it with the

title of such person’s office;(3) State the date of issuance and the munici-

pality where issued;(4) Specify the name of the accused person;(5) Designate a time for appearance not more

than fourteen days after issuance;(6) State the offense charged against the

accused person;(7) State that if the accused does not appear

at a specified time and place, an application maybe made for the issuance of a warrant for arrest;

(8) Inform the accused that he or she is entitledto be represented by an attorney;

(9) Inform any accused charged with an offensepunishable by incarceration who is unable toafford an attorney that he or she may be entitledto the services of a public defender.

(P.B. 1978-1997, Sec. 599.)

Sec. 36-8. —Issuance of Summons by Pros-ecuting Authority in Lieu of Arrest WarrantWhen a prosecuting authority receives a com-

plaint that a misdemeanor has been committed,in lieu of applying for an arrest warrant, the prose-cuting authority may summon the person or per-sons against whom the complaint is made toappear before the court at the date and time speci-fied in the summons. The prosecuting authorityalso may issue a summons when directed to doso by the judicial authority pursuant to Section36-4.

(P.B. 1978-1997, Sec. 601.)

Sec. 36-9. —Service of SummonsThe summons and complaint shall be served

upon the accused by any law enforcement officerby delivering a copy to the accused personally,or by leaving it at the accused’s usual place ofabode with a person of suitable age and discretionthen residing therein, or by mailing it by registeredor certified mail to the last known address ofthe accused.

(P.B. 1978-1997, Sec. 602.)

Sec. 36-10. —Failure to Respond to Sum-monsUpon the failure of the officer to make due return

of a summons within two weeks of its issuance,


or upon the failure of the accused to respond to thesummons, the prosecuting authority may apply forthe arrest of the accused.

(P.B. 1978-1997, Sec. 603.)

Sec. 36-11. Information and Complaint; UseAll felonies shall be prosecuted by information.

All misdemeanors, violations, and infractions shallbe prosecuted by information or complaint. In alljury cases, and in all other cases on writtenrequest of the defendant, the prosecuting author-ity as of course shall issue an information in placeof the uniform summons and complaint.

(P.B. 1978-1997, Sec. 616.)

Sec. 36-12. —Issuance of InformationAn information shall be signed by the prosecut-

ing authority. When any person is arrested withouta warrant or is issued a summons, the prosecutingauthority shall, without unnecessary delay, reviewthe acts complained of and determine whether itappears that there is reasonable cause to believethat an offense has been committed within thejurisdiction of the court and that the personarrested or the person to whom the summons wasissued committed the offense. If the prosecutingauthority determines that reasonable causeexists, it shall, in cases where an information isrequired, present an information to the court, pur-suant to Section 36-11. If the prosecuting authoritydetermines that reasonable cause does not exist,it shall not present the matter to the court, but anentry shall be made on the case papers indicatingthat prosecution was declined upon authority ofthis section, and a brief statement shall be madein open court. For purposes of erasure pursuantto the General Statutes, that action shall bedeemed a dismissal.

(P.B. 1978-1997, Sec. 617.)

Sec. 36-13. —Form of InformationThe information shall be a plain, concise and

definite written statement of the offense charged.The information need not contain a formal com-mencement, a formal conclusion or any other mat-ter not necessary to such statement. Allegationsmade in one count may be incorporated by refer-ence in another count. It may be alleged in a singlecount that the means by which the defendant com-mitted the offense are unknown or that the defend-ant committed the offense by one or morespecified means. The information shall state foreach count the official or customary citation of thestatute, rule, regulation, or other provision of lawwhich the defendant is alleged to have violated.The information shall also contain:

(1) The name of the court in which it is filed;(2) The title of the action;

371


(3) The name of the defendant;(4) A statement that such crime was committed

in a particular judicial district or geographical area,or at a particular place within such judicial districtor geographical area; and

(5) A statement that such crime was committedon, or on or about, a particular date or periodof time.

(P.B. 1978-1997, Sec. 618.)

Sec. 36-14. —Former Conviction in Infor-mationWhere the information alleges, in addition to

the principal offense charged, a former convictionor convictions, such information shall be in twoseparate parts, each signed by the prosecutingauthority. In the first part, the particular offensewith which the accused is charged shall be setout, and in the other part the former conviction orconvictions shall be alleged. In alleging the formerconviction, it is sufficient that the informationallege the date when, the town or city where, andthe court wherein such conviction was obtainedand the crime of which the defendant was con-victed, all of which may be stated in accordancewith the provisions of Section 36-13.

(P.B. 1978-1997, Sec. 619.)

Sec. 36-15. —Filing and Availability of Infor-mationThe information or complaint shall be filed with

the clerk and be available for inspection by thedefendant or counsel for the defendant. Upon writ-ten request, a copy thereof shall be furnished with-out charge to the defendant or counsel for thedefendant.

(P.B. 1978-1997, Sec. 620.)

Sec. 36-16. Amendments; Minor DefectsThe judicial authority may order at any time

such relief as is required to remedy any defect,imperfection or omission in the information orcomplaint, including the following:

(1) Any matter of form;(2) Any miswriting, misspelling, or improper

English;(3) Any misuse of a sign, symbol, figure, or

abbreviation; or(4) Any omission of the true name or any mis-

spelling of the name of the defendant.(P.B. 1978-1997, Sec. 622.)

Sec. 36-17. —Substantive Amendment beforeTrialIf the trial has not commenced, the prosecuting

authority may amend the information, or add addi-tional counts, or file a substitute information. Uponmotion of the defendant, the judicial authority, in


its discretion, may strike the amendment or addedcounts or substitute information, if the trial or thecause would be unduly delayed or the substantiverights of the defendant would be prejudiced.

(P.B. 1978-1997, Sec. 623.)

Sec. 36-18. —Substantive Amendment afterCommencement of TrialAfter commencement of the trial for good cause

shown, the judicial authority may permit the prose-cuting authority to amend the information at anytime before a verdict or finding if no additional ordifferent offense is charged and no substantiverights of the defendant would be prejudiced. Anamendment may charge an additional or differentoffense with the express consent of the defendant.

(P.B. 1978-1997, Sec. 624.)

Sec. 36-19. —Request by Defendant forEssential FactsWhenever the information charges the offense

only by referring to the statute which is allegedto have been violated, the prosecuting authority,upon written request of the defendant, shall asof course amend the information by adding or

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annexing thereto a statement of the essential factsclaimed to constitute the offense charged. Suchrequest shall be made not later than ten daysafter the first pretrial conference unless otherwisedirected by the judicial authority for good causeshown.

(P.B. 1978-1997, Sec. 625.)

Sec. 36-20. —Continuance Necessitated byAmendmentWithin the judicial authority’s discretion, an

extension of time, an adjournment, or a continu-ance reasonably necessitated by an amendmentmay be granted.

(P.B. 1978-1997, Sec. 626.)

Sec. 36-21. Joinder of Offenses in Infor-mationTwo or more offenses may be charged in the

same information in a separate count for eachoffense for any defendant.

(P.B. 1978-1997, Sec. 627.)

Sec. 36-22. Joinder of DefendantsEach defendant shall be charged in a sepa-

rate information.(P.B. 1978-1997, Sec. 628.)


CHAPTER 37

ARRAIGNMENT

Sec. Sec.37-1. Arraignment; Timing37-2. —Information and Materials to Be Provided to the

Defendant Prior to Arraignment37-3. —Advisement of Constitutional Rights37-4. —Collective Statement Advising of Constitutional

Rights37-5. —Reference to Public Defender; Investigation of

Indigency


Sec. 37-1. Arraignment; TimingA defendant who is not released from custody

sooner shall be brought before a judicial authorityno later than the first court day following arrest.Any defendant who is hospitalized, has escaped,or is otherwise incapacitated shall be presentedno later than the next court day following suchdefendant’s medical discharge or return to policecustody. A defendant not in custody shall appearfor arraignment in person at the time and placespecified in the summons or the terms of release,or at such other date or place fixed by the judi-cial authority.

(P.B. 1978-1997, Sec. 635.)

Sec. 37-2. —Information and Materials to BeProvided to the Defendant Prior to Ar-raignmentPrior to the arraignment of the defendant before

the judicial authority to determine the existence ofprobable cause to believe such person committedthe offense charged or to determine the conditionsof such person’s release pursuant to Section 38-4, the prosecuting authority shall provide thedefendant or counsel with a copy of any affidavitor report submitted to the court for the purposeof making such determination; except that the judi-cial authority may, upon motion of the prosecutingauthority and for good cause shown, limit the dis-closure of any such affidavit or report, or por-tion thereof.

(P.B. 1978-1997, Sec. 635A.)

Sec. 37-3. —Advisement of ConstitutionalRightsThe judicial authority shall personally, at the

opening of the court session, in open court, advisethe defendant, or the defendants, unless pre-viously so advised by a clerk pursuant to General

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37-6. —Appointment of Public Defender37-7. Pleas; In General37-8. —Plea of Guilty or Nolo Contendere37-9. —Plea of Not Guilty37-10. —Taking of Plea when Information in Two Parts37-11. —Notice to Defendant when Information in Two

Parts37-12. Defendant in Custody; Determination of Probable

Cause

Statutes § 54-64b or by a judicial authority pursu-ant to General Statutes § 54-1b, either individuallyor collectively of the following:

(1) That the defendant is not obligated to sayanything and that anything the defendant saysmay be used against him or her;

(2) That the defendant is entitled to the servicesof an attorney;

(3) If the defendant is unable to pay for one,what the procedures are through which the ser-vices of an attorney will be provided for him orher; and

(4) That the defendant will not be questionedunless he or she consents, that the defendantmay consult with an attorney before being ques-tioned and that the defendant may have an attor-ney present during any questioning.

(P.B. 1978-1997, Sec. 637.)

Sec. 37-4. —Collective Statement Advisingof Constitutional RightsIf the judicial authority shall have collectively

informed all defendants of their rights at the open-ing of court, it shall preface the individual arraign-ment of each by asking whether he or she heardand understood the collective statement.

(P.B. 1978-1997, Sec. 638.)

Sec. 37-5. —Reference to Public Defender;Investigation of IndigencyThe judicial authority shall refer the defendant

to the public defender for an investigation of indi-gency unless the judicial authority:

(1) Accepts the defendant’s waiver of counselin accordance with Section 44-3;

(2) Is informed by the defendant, and con-cludes, that the defendant has retained or willretain private counsel within a reasonable time;

(3) Decides to dispose of the case in accord-ance with Section 44-1 (2); or


(4) Learns that the public defender has alreadyconferred with the defendant at some time follow-ing arrest and that the investigation of indigencyhas been made.

(P.B. 1978-1997, Sec. 640.)

Sec. 37-6. —Appointment of Public De-fender(a) If the judicial authority determines after

investigation by the public defender that thedefendant is indigent, the judicial authority maydesignate the public defender or a special publicdefender to represent the defendant unless, in amisdemeanor case, at the time of the applicationfor appointment of counsel, the judicial authoritydecides or believes that disposition of the pendingcase will not result in a sentence involving incar-ceration or a suspended sentence of incarcerationwith a period of probation or conditional discharge,and makes a statement to that effect on therecord. If the public defender or his or her officedetermines that a defendant is not eligible toreceive the services of a public defender, thedefendant may appeal the public defender’s deci-sion to the judicial authority in accordance withGeneral Statutes § 51-297 (g). The judicial author-ity may not appoint the public defender unlessthe judicial authority finds the defendant indigentfollowing such appeal. If a conflict of interest orother circumstance exists which prevents the pub-lic defender from representing the defendant, thejudicial authority, upon recommendation of thepublic defender or upon its own motion, mayappoint a special public defender to representthe defendant.

(b) The fact that the judicial authority, in a mis-demeanor case, decides or believes that disposi-tion of the pending case will not result in asentence involving incarceration or a suspendedsentence of incarceration with a period of proba-tion or conditional discharge, shall not precludethe judicial authority from appointing, in its discre-tion, a public defender or a special public defenderto represent an indigent defendant.

(P.B. 1978-1997, Sec. 641.)

Sec. 37-7. Pleas; In GeneralUpon being read the charges against him or

her contained in the information or complaint, thedefendant shall enter a plea of not guilty, guilty,or nolo contendere.

(P.B. 1978-1997, Sec. 643.)

Sec. 37-8. —Plea of Guilty or Nolo Con-tendereA plea of guilty or nolo contendere shall be

entered in accordance with Sections 39-1 and 39-18. If the case is to be continued for sentencing,

374


the judicial authority shall set a date for the sen-tencing hearing and, if necessary, order a presen-tence investigation.

(P.B. 1978-1997, Sec. 644.)

Sec. 37-9. —Plea of Not GuiltyAny defendant who pleads not guilty shall be

asked whether he or she desires a trial either bythe court or by a jury. Pursuant to these rules,including Sections 44-11 through 44-17, the caseshall be placed on the trial list and, where possibleor necessary, assigned dates for a dispositionconference, a probable cause hearing, and/or atrial.

(P.B. 1978-1997, Sec. 645.)

Sec. 37-10. —Taking of Plea when Informa-tion in Two PartsWhere the information is in two parts pursuant

to Section 36-14 and alleges, in addition to theprincipal offense charged, a former conviction orconvictions, the plea and the election of a methodof trial shall first be taken only on the first part ofthe information.

(P.B. 1978-1997, Sec. 647.)

Sec. 37-11. —Notice to Defendant whenInformation in Two Parts(Amended June 15, 2012, to take effect Jan. 1, 2013.)Prior to the time the defendant enters a guilty

plea, or, if the defendant pleads not guilty, priorto the commencement of trial, the court shall notifythe defendant of the contents of the second partof the information. The clerk shall enter on thedocket the time and place of the giving of suchnotification and, where necessary, shall includeentry thereof in the judgment file.


Sec. 37-12. Defendant in Custody; Determi-nation of Probable Cause(a) If a defendant has been arrested without a

warrant and has not been released from custodyby the time of the arraignment or is not releasedat the arraignment pursuant to Section 38-4, thejudicial authority shall, unless waived by thedefendant, make an independent determinationas to whether there is probable cause for believingthat the offense charged has been committed bythe defendant. Unless such a defendant isreleased sooner, such probable cause determina-tion shall be made no later than forty-eight hoursfollowing the defendant’s arrest. Such determina-tion shall be made in a nonadversary proceeding,which may be ex parte based on affidavits. If nosuch probable cause is found, the judicial author-ity shall release the defendant from custody.


(b) At the time the judicial authority makes itsprobable cause determination pursuant to sub-section (a), the judicial authority may, on its ownmotion or upon written request of any party andfor good cause shown, order that any affidavitssubmitted in support of a finding of probablecause, including any police reports, be sealedfrom public inspection or that disclosure be limitedunder such terms and conditions as it finds rea-sonable, subject to the further order of any judicialauthority thereafter having jurisdiction of the mat-ter. If such a request has been granted, the mov-ing party may have up to seven days to make arecommendation as to the details of the sealingorder. If no such recommendation is made withinthat time period, the supporting affidavits shallbe made public. No such order shall limit theirdisclosure to the attorney for the accused, but thejudicial authority may place reasonable restric-tions on the further disclosure of the contents ofthe affidavits by the attorney for the accused andthe prosecuting authority.

(c) Any order sealing such affidavits from publicinspection or limiting their disclosure shall be for

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a specific period of time, not to exceed two weeksfrom the date of the court’s probable cause deter-mination, and within that time period the party whoobtained the order may, by written motion, seekan extension of the period. The original order ofthe court sealing such affidavits or limiting theirdisclosure shall remain in effect until the courtissues an order on the motion. Affidavits whichare the subject of such an order shall remain inthe custody of the clerk’s office but shall be keptin a secure location apart from the remainder ofthe file as long as the order is in effect.

(d) Unless the judicial authority entered an orderlimiting disclosure of the affidavits submitted to thejudicial authority in support of a finding of probablecause, whether or not probable cause has beenfound, all such affidavits, including any policereports, shall be made part of the court file andbe open to public inspection and copying, andthe clerk shall provide copies to any person uponreceipt of any applicable fee.



CHAPTER 38

PRETRIAL RELEASE

Sec. Sec.38-1. Release from Custody; Superior Court Arrest War-

rant where Appearance before Clerk Required38-2. Release Following Any Other Arrest; Release by

Law Enforcement Officers38-3. —Release by Bail Commissioner38-4. —Release by Judicial Authority38-5. —Release by Correctional Officials38-6. Appearance after Release38-7. Cash Bail38-8. Ten Percent Cash Bail38-9. Real Estate Bond38-10. Factors to Be Considered by the Judicial Authority

in Release Decision [Repealed]38-11. Request for Judicial Determination of Release


Sec. 38-1. Release from Custody; SuperiorCourt Arrest Warrant where Appearancebefore Clerk RequiredWhen any person is arrested on a warrant pur-

suant to General Statutes § 54-2a in which thejudicial authority issuing such warrant has indi-cated that bail should be denied, or has orderedthat the arrested person be brought before a clerkor assistant clerk of the superior court, thearresting officer shall, without undue delay, bringsuch person before the clerk or assistant clerk ofthe superior court for the geographical area wheresuch offense is alleged to have been committed,during the office hours of such clerk, and if suchclerk’s office is not open, the arresting officer shall,without undue delay, bring such person to a hold-ing facility within the geographical area wheresuch offense is alleged to have been committedor, if there is no such facility available within suchgeographical area, to the nearest available facility.Such clerk or assistant clerk or such person desig-nated by the commissioner of correction shalladvise the defendant of the warnings containedin Section 37-3 and shall release the defendantupon his or her meeting the conditions of releasefixed in the warrant. If the defendant was broughtto such a facility he or she shall be given theopportunity to contact private counsel or the publicdefender. If the defendant is not released becauseof his or her failure to enter into the conditions ofrelease fixed by the judicial authority the defend-ant shall be presented before a judicial authoritypursuant to Sections 37-1 and 37-4. If the defend-ant is not released because he or she has been

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38-12. Attorneys Not Allowed to Give Bonds38-13. Bail Modification; In General38-14. —Motion of Parties for Bail Modification38-15. —Application of Bail Commissioner38-16. —Application of Surety38-17. —Hearing on Motion or Application for Modification

of Bail38-18. —Review of Detention Prior to Arraignment, Trial

or Sentencing38-19. Violation of Conditions of Bail; Order to Appear38-20. —Sanctions for Violation of Conditions of Release38-21. —Forfeiture of Bail and Rearrest Warrant38-22. Rebate of Forfeited Bonds38-23. Discharge of Surety’s Obligation

arrested for an offense which is not bailable, thedefendant shall be presented before a judicialauthority pursuant to Section 37-1.

(P.B. 1978-1997, Sec. 654.)

Sec. 38-2. Release Following Any OtherArrest; Release by Law EnforcementOfficersExcept in cases of arrest pursuant to a warrant

in which the judicial authority has indicated thatbail should be denied or has ordered that thearrested person be brought before a clerk or assis-tant clerk of the superior court, when any personis taken into custody for a bailable offense thatperson shall be brought promptly to a police sta-tion or other lawful place of detention, where, asquickly as possible under the circumstances, heor she shall be informed or warned in writing ofhis or her rights under Section 37-3 and of his orher right to be interviewed concerning the termsand conditions of release. Unless the defendantwaives or refuses such interview, a law enforce-ment officer shall promptly interview that personto obtain information relevant to the terms andconditions of his or her release from custody andshall seek independent verification of such infor-mation where necessary. At the request of thedefendant, his or her counsel may be presentduring such interview. After such a waiver, refusalor interview, the law enforcement officer shallpromptly order release of the defendant upon hisor her execution of a written promise to appearor his or her posting of a bond with or withoutsurety in such amount as may be set by suchofficer, except that no condition of release set by


the court or a judge thereof may be modified bysuch officer. If the defendant has not posted bail,the officer shall immediately notify a bail commis-sioner. The officer may administer such oaths asare necessary in the taking of promises or bonds.

(P.B. 1978-1997, Sec. 656.)

Sec. 38-3. —Release by Bail Commissioner(a) Upon notification by a law enforcement offi-

cer that a defendant has not posted bail, a bailcommissioner shall promptly conduct an interviewand investigation and, based upon release criteriaestablished by the chief bail commissioner, shallpromptly order the release of the defendant uponthe first of the following conditions of release foundsufficient to ensure the defendant’s appearancein court and to reasonably ensure that the safetyof any other person will not be endangered:

(1) The defendant’s execution of a written prom-ise to appear without special conditions;

(2) The defendant’s execution of a written prom-ise to appear with any of the nonfinancial condi-tions specified in subsection (b) of this section;

(3) The defendant’s execution of a bond withoutsurety in no greater amount than necessary;

(4) The defendant’s execution of a bond withsurety in no greater amount than necessary.

(b) In addition to or in conjunction with any ofthe conditions enumerated in subdivisions (1) to(4), inclusive, of subsection (a) of this section,the bail commissioner may impose nonfinancialconditions of release, which may require that thedefendant do any of the following:

(1) Remain under the supervision of a desig-nated person or organization;

(2) Comply with specified restrictions on his orher travel, association or place of abode;

(3) Not engage in specified activities, includingthe use or possession of a dangerous weapon,an intoxicant or a controlled substance;

(4) Avoid all contact with an alleged victim ofthe crime and with a potential witness who maytestify concerning the offense; or

(5) Satisfy any other condition that is reasonablynecessary to ensure the appearance of thedefendant in court and that the safety of any otherperson will not be endangered.

Any of the conditions imposed under subsection(a) of this section and this subsection by the bailcommissioner shall be effective until the appear-ance of such person in court.

(c) The bail commissioner shall prepare forreview by the judicial authority an interview recordand a written report for each person interviewed.The written report shall contain the information

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obtained during the interview and verification pro-cess, the defendant’s prior criminal record, if pos-sible, the determination or recommendation of thebail commissioner concerning terms and condi-tions of release, and, where applicable, a state-ment that the defendant was unable to meetconditions of release ordered by the bail commis-sioner.


Sec. 38-4. —Release by Judicial Authority(a) When any defendant is presented before a

judicial authority, such authority shall, in bailableoffenses, promptly order the release of such per-son upon the first of the following conditions ofrelease found sufficient reasonably to assure theperson’s appearance in court and, when thecrimes charged or the facts and circumstancesbrought to the attention of the judicial authoritysuggest that the defendant may pose a risk to thephysical safety of any person, that the safety ofany person will not be endangered:

(1) The defendant’s execution of a written prom-ise to appear without special conditions;

(2) The defendant’s execution of a written prom-ise to appear with nonfinancial conditions;


(4) The defendant’s deposit with the clerk of thecourt of an amount of cash equal to 10 percentof the amount of the surety bond set, pursuant toSection 38-8;

(5) The defendant’s execution of a bond withsurety in no greater amount than necessary;

(6) The defendant’s execution of a cash bondand his or her deposit with the clerk of the courtof cash in the amount of the bond set by thejudicial authority in no greater amount than nec-essary.

In addition to or in conjunction with any of theconditions of release enumerated in this subsec-tion, the judicial authority may impose one or morenonfinancial conditions of release pursuant tosubsection (d).

(b) The judicial authority may, in determiningwhat conditions of release will reasonably assurethe appearance of the defendant in court, considerfactors (1) through (7) below, and, when thecrimes charged or the facts and circumstancesbrought to the attention of the judicial authoritysuggest that the defendant may pose a risk to thephysical safety of any person, the judicial authoritymay also consider factors (8) through (10) below:

(1) The nature and circumstances of theoffense, including the weight of the evidenceagainst the defendant;


(2) The defendant’s record of previous con-victions;

(3) The defendant’s past record of appearancein court after being admitted to bail;

(4) The defendant’s family ties;(5) The defendant’s employment record;(6) The defendant’s financial resources, char-

acter, and mental condition;(7) The defendant’s community ties;(8) The defendant’s history of violence;(9) Whether the defendant has previously been

convicted of similar offenses while released onbond; and

(10) The likelihood based upon the expressedintention of the defendant that he or she will com-mit another crime while released.

(c) In addition to or in conjunction with any ofthe conditions enumerated in subdivisions (1) to(6) of subsection (a), the judicial authority may,when it has reason to believe that the defendantis drug-dependent and where necessary, reason-able and appropriate, order the person to submitto a urinalysis drug test and to participate in aprogram of periodic drug testing and treatment.The results of any such drug test shall not beadmissible in any criminal proceeding concerningsuch defendant.

(d) If the judicial authority determines that anonfinancial condition of release should beimposed in addition to or in conjunction with anyof the conditions enumerated in subdivisions (1)to (6) of subsection (a) of this section, the judicialauthority shall order the pretrial release of thedefendant subject to the least restrictive conditionor combination of conditions that the judicialauthority determines will reasonably assure theappearance of the defendant in court and, whenthe crimes charged or the facts and circumstancesbrought to the attention of the judicial authoritysuggest that the defendant may pose a risk to thephysical safety of any person, that the safety ofany person will not be endangered, which condi-tions may include an order that he or she do oneor more of the following:

(1) Remain under the supervision of a desig-nated person or organization;

(2) Comply with specified restrictions on his orher travel, association or place of abode;

(3) Not engage in specified activities, includingthe use or possession of a dangerous weapon,an intoxicant or a controlled substance;

(4) Provide sureties of the peace pursuant toGeneral Statutes § 54-56f under supervision of adesignated bail commissioner;

(5) Avoid all contact with an alleged victim ofthe crime and with a potential witness who maytestify concerning the offense;

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(6) Maintain employment or, if unemployed,actively seek employment;

(7) Maintain or commence an educationalprogram;

(8) Be subject to electronic monitoring; or(9) Satisfy any other condition that is reasonably

necessary to assure the appearance of thedefendant in court and that the safety of any otherperson will not be endangered.

(e) The judicial authority shall state on therecord its reasons for imposing any such nonfi-nancial condition.

(f) The judicial authority may require that thedefendant subject to electronic monitoring pursu-ant to subsection (d) of this section pay directlyto the electronic monitoring service provider a feefor the cost of such electronic monitoring services.If the judicial authority finds that the defendantsubject to electronic monitoring is indigent andunable to pay the costs of electronic monitoringservices, it shall waive such costs.


Sec. 38-5. —Release by Correctional Offi-cialsAny person who has not made bail shall be

detained in a correctional facility and shall bereleased from such institution upon entering intoa recognizance, with sufficient surety, or uponposting cash bail as provided in Sections 38-7and 38-9 for his or her appearance before thecourt having cognizance of the offense, which areto be taken by any person designated by the com-missioner of correction at such institution wheresuch person is detained. Such person so desig-nated shall deliver the recognizance or cash bailto the clerk of the appropriate court before theopening of such court on the first court daythereafter.

(P.B. 1978-1997, Sec. 659.)

Sec. 38-6. Appearance after ReleaseThe person taking any promise or bond shall

give the defendant released thereunder a copyof such promise or bond, which shall notify thedefendant of the time when and the place wherehe or she is next to appear and of the penalty forfailure to appear. The initial appearance date shallnot be more than fourteen days after the date ofarrest, unless the defendant has been arrestedfor a crime of family violence, in which case thedefendant shall be promptly presented before the


superior court sitting next regularly for the geo-graphical area where the offense is alleged tohave been committed.

(P.B. 1978-1997, Sec. 661.)

Sec. 38-7. Cash BailIn any criminal case in which a bond is allowed

or required and the amount thereof has beendetermined, the defendant, or any person in hisor her behalf, may deposit with the clerk of thecourt having jurisdiction of the offense with whichthe defendant stands charged, or any assistantclerk of such court who is bonded in the samemanner as the clerk, or any person or officerauthorized to accept bail, a sum of money equalto the amount called for by such bond, and suchdefendant shall thereupon be admitted to bail.When cash bail is offered, such bond shall beexecuted and the money shall be received in lieuof a surety or sureties upon such bond. Such cashbail shall be retained by the clerk of such courtuntil a final order of the judicial authority disposingof the case is entered, provided that if such bondis forfeited, the clerk of such court shall pay themoney to the obligee named therein, accordingto the terms and conditions of the bond. Upondischarge of the bond the cash deposit made withthe clerk shall be returned to the person depositingthe same.

(P.B. 1978-1997, Sec. 663.)

Sec. 38-8. Ten Percent Cash BailWhen 10 percent cash bail is granted, upon the

depositing in cash, by the defendant or any personin his or her behalf other than a paid surety, of10 percent of the surety bond set, the defendantshall thereupon be admitted to bail in the samemanner as a defendant who has executed a bondfor the full amount. If such bond is forfeited, thedefendant shall be liable for the full amount of thebond. Upon discharge of the bond, the 10 percentcash deposit made with the clerk shall be returnedto the person depositing the same, less any feethat may be required by statute.

(P.B. 1978-1997, Sec. 664.)

Sec. 38-9. Real Estate Bond(a) In lieu of a cash bond, the defendant, or

any person in the defendant’s behalf, may pledgeequity in real property located within the state ofConnecticut as bond.

(b) Unless otherwise ordered by the judicialauthority, the pledge shall be accepted and thedefendant shall be admitted to bail upon receiptof the following: (1) proof that a notice of liencontaining the terms of the bond has been prop-erly filed, pursuant to the provisions of GeneralStatutes § 54-66, on a form prescribed by the

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office of the chief court administrator in the officeof the town clerk of the town in which the propertyis located; (2) a current certificate of title from anattorney containing a listing of all encumbrancesof record including the notice of lien; (3) one inde-pendent appraisal by a licensed real estateappraiser prepared within ninety days of applica-tion as to present fair market value; and (4) anaffidavit by each owner of the property settingforth (A) the location of the property, (B) the affi-ant’s ownership interest therein, (C) the amountof the affiant’s equity in the property, (D) the pre-sent fair market value as shown on the appraisal,(E) the present amount of each encumbrance ofrecord filed prior to the notice of lien required bythis subsection, and the present amount of anytax liabilities, and (F) whether the same propertyis pledged as security for any other bonds underthis section or for any other purpose.

(c) All record owners of the property as wellas the accused shall enter into a bond for theappearance of the accused.

(d) The value of the owner’s equity as calculatedand verified pursuant to this section shall be notless than the amount of bail set by the judicialauthority, but shall not be required to be in anygreater amount unless the equity is pledged assecurity for other bonds under this section, inwhich case the value of the equity shall be notless than the total amount of all bonds for whichit is pledged.

(e) Upon order of forfeiture of the bond, theprocedures set forth in General Statutes § 54-66shall be followed.


Sec. 38-10. Factors to Be Considered by theJudicial Authority in Release Decision[Repealed as of Jan. 1, 2006.]

Sec. 38-11. Request for Judicial Determina-tion of ReleaseUpon written motion of the defendant or the

prosecuting authority, the judicial authority shallstate on the record its reasons for imposing theparticular conditions of release which were estab-lished.

(P.B. 1978-1997, Sec. 668.)

Sec. 38-12. Attorneys Not Allowed to GiveBondsNo attorney shall give any bond or recogni-

zance in any criminal action or proceeding inwhich he or she is interested as an attorney.

(P.B. 1978-1997, Sec. 669.)


Sec. 38-13. Bail Modification; In GeneralThe judicial authority shall have the power to

modify or revoke at any time the terms and condi-tions of release as provided for in these rules.

(P.B. 1978-1997, Sec. 673.)

Sec. 38-14. —Motion of Parties for Bail Mod-ificationWhenever the prosecuting authority or the

defendant alleges that any bond with or withoutsurety is excessive or insufficient in amount orsecurity or that the written promise of the defend-ant to appear is inadequate, that person maymake a motion to a judicial authority to modify orset terms and conditions of release. Such motionshall be served prior to the hearing date upon theopposing party, the sureties upon any bond andthe appropriate bail commissioner, unless other-wise ordered by the judicial authority.

(P.B. 1978-1997, Sec. 674.)

Sec. 38-15. —Application of Bail Commis-sionerA bail commissioner who has reason to believe

that a person released under any of the provisionsof these rules or of the General Statutes intendsnot to appear in court as required by the conditionsof release may apply to a judicial authority for thecourt before whom such person is required toappear, and verify by oath the reason for thisbelief, and request that such person be broughtbefore the judicial authority in order that the condi-tions of release be reviewed. Upon finding reason-able grounds to believe that the released personintends not to appear, such judicial authority shallforthwith issue a capias directed to a proper officeror indifferent person, commanding him or herforthwith to arrest and bring such person to thecourt for a hearing to review the conditions of hisor her release. Copies of the bail commissioner’sapplication shall be served upon the defendant,the prosecuting authority and any sureties uponany bond.

(P.B. 1978-1997, Sec. 675.)

Sec. 38-16. —Application of Surety(a) A surety upon a bail bond who believes that

his or her principal intends not to appear in courtas required by the conditions of release shall filewith a judicial authority an application, with a sum-mons and citation, setting forth the reasons forhis or her belief, verified by oath and requestingthat the judicial authority issue either a summonsand citation or a capias to compel the appearanceof the released person before the judicial authorityfor a hearing to review the conditions of suchperson’s release.

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(b) Except as provided below, in lieu of issuinga capias the judicial authority may order a copyof the surety’s application and a summons andcitation, signed by the judicial authority or the clerkor assistant clerk of the court, to be served on theprincipal by a proper officer or indifferent personsummoning him or her to appear in court at a timeand place named for a hearing upon such appli-cation.

(c) If the judicial authority determines that itis necessary to take the accused into custodybecause there are facts indicating a substantiallikelihood that such person will not appear in courtas required by the conditions of his or her releaseunless he or she is taken into custody, it shallissue a capias directed to a proper officer or indif-ferent person commanding that person forthwithto arrest and bring the released person to thecourt for a hearing to review the conditions of hisor her release. However, a capias shall not issueunless the application sets forth the particularfacts in narrative form which lead the surety tobelieve there is a substantial likelihood that suchperson will not appear in court.

(d) All expenses incurred pursuant to the issu-ance and service of the capias or summons shallbe paid by the surety.

(P.B. 1978-1997, Sec. 675A.)

Sec. 38-17. —Hearing on Motion or Applica-tion for Modification of Bail(a) Upon the filing and service of such motion

or application, the judicial authority shall, with rea-sonable promptness, conduct a hearing to deter-mine whether the terms and conditions of releaseshould be continued, modified or set. The judicialauthority shall release the defendant subject toand in accordance with the provisions of Section38-4 upon the first of the following conditions ofrelease found sufficient to provide reasonableassurance of the appearance of the defendantin court:

(1) The defendant’s execution of a written prom-ise to appear;


(3) The defendant’s deposit with the clerk of thecourt of an amount equal to 10 percent of thesurety bond set, pursuant to Section 38-8;

(4) The defendant’s execution of a bond withsurety in no greater amount than necessary.

(b) If, after such hearing, the judicial authorityrelieves a surety of his or her undertaking on abond, it may enter such order contingent uponthe return of such portion of the bond fee as itdeems equitable.

(P.B. 1978-1997, Sec. 676.)


Sec. 38-18. —Review of Detention Prior toArraignment, Trial or Sentencing(a) No person shall be detained in a correctional

facility for arraignment, sentencing or trial for anoffense not punishable by death for longer thanforty-five days, unless at the expiration of suchforty-five days such person is presented to thejudicial authority having cognizance of theoffense. On each such presentment, the judicialauthority may reduce, modify or discharge suchbail. On the expiration of each successive forty-five day period, such person may again by motionbe presented to the judicial authority for suchpurpose.

(b) If the offense is classified as a class D felonyor as a misdemeanor, the time period under thissection shall be thirty days, except with regard toa person charged with a crime in another state anddetained pursuant to chapter 964 of the GeneralStatutes or a person detained for violation of hisparole pending a parole revocation hearing.

(P.B. 1978-1997, Sec. 677.)

Sec. 38-19. Violation of Conditions of Bail;Order to AppearUpon application by the prosecuting authority

alleging that a defendant has violated the condi-tions of release, a judicial authority may, if proba-ble cause is found, order that the defendantappear in court for a hearing upon such allega-tions. Said order shall be served upon the defend-ant (1) by delivering a copy to the defendantpersonally, (2) by leaving it at his or her usualplace of abode with a person of suitable age anddiscretion then residing therein, (3) by mailing itby registered or certified mail to the defendant’slast known address, or (4) by serving the orderupon the defendant’s counsel who shall notify thedefendant of the order and the hearing date. Ifservice is made pursuant to (4) above and suchservice proves insufficient to give the defendantnotice, then service shall be made as otherwiseprovided in this section.

(P.B. 1978-1997, Sec. 682.)

Sec. 38-20. —Sanctions for Violation ofConditions of ReleaseAfter a hearing and upon a finding that the

defendant has violated reasonable conditionsimposed on release, the judicial authority mayimpose different or additional conditions upon thedefendant’s release or revoke the release.

(P.B. 1978-1997, Sec. 683.)

Sec. 38-21. —Forfeiture of Bail and Rear-rest Warrant(a) If the defendant fails to appear at the time

and place promised in any bond or written promise

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to appear, or in response to an order issued pursu-ant to Sections 38-19 and 38-20 unless otherwiseordered by the judicial authority, the bond maybe forfeited in accordance with its terms and thejudicial authority may issue a warrant to causethe arrest of the defendant and his or her appear-ance in court or may issue a capias.

(b) If the bond which has been forfeited was inan amount of $500 or more, the court shall ordera stay of execution upon the forfeiture for sixmonths. When the arrested person whose bondhas been forfeited is returned to custody withinsix months of the date such bond was orderedforfeited, the bond shall be reinstated and thesurety released. Such stay of execution shall notprevent the issuance of a rearrest warrant or acapias.

(c) Upon issuance of a rearrest warrant or acapias the judicial authority shall, pursuant to Sec-tion 38-4, set a condition of release sufficient toassure the defendant’s appearance in court.

(P.B. 1978-1997, Sec. 684.)

Sec. 38-22. Rebate of Forfeited BondsWhenever an arrested person, whose bond has

been forfeited, is returned to the jurisdiction of thecourt within one year of the date such bond wasordered forfeited, the surety on such bond shallbe entitled to a rebate in the following amount:

(1) 46 percent of the amount of the bondordered forfeited if the arrested person is returnedto the jurisdiction of the court within 210 days ofthe date such bond was ordered forfeited;





(6) 7 percent of the amount of the bond orderedforfeited if the arrested person is returned to thejurisdiction of the court within one year of the datesuch bond was ordered forfeited.

(P.B. 1998.)


Sec. 38-23. Discharge of Surety’s Obligation

Where bail has been posted by a bondsman orother surety, such bondsman or surety shall not

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be relieved of any obligation upon the bond exceptwith the permission of the judicial authority andfor good cause shown.

(P.B. 1978-1997, Sec. 685.)


CHAPTER 39

DISPOSITION WITHOUT TRIAL

Sec. Sec.39-1. Procedure for Plea Discussions; In General39-2. —Discussions with Defendant39-3. —Role of Defense Counsel39-4. —Subject Matter of Discussion39-5. Plea Agreements; Upon Plea of Guilty or Nolo Con-

tendere39-6. —Alternate Agreements39-7. —Notice of Plea Agreement39-8. —Sentencing after Acceptance of Plea Agreement39-9. —Continuance for Sentencing39-10. —Rejection of Plea Agreement39-11. Disposition Conference; Assignment of Jury Cases39-12. —Effect of Previous Plea Discussions on Disposi-

tion Conference39-13. —Attendance at Disposition Conference39-14. —Nature of Disposition Conference; In General39-15. —Inability to Reach Agreement39-16. —Notice of Agreement to Judicial Authority


Sec. 39-1. Procedure for Plea Discussions;In GeneralThe prosecuting authority and counsel for the

defendant, or the defendant when not representedby counsel, may engage in discussions at anytime with a view towards disposition. Negotiationsmay occur either prior to or after the arraignment.The prosecuting authority shall be in his or heroffice at reasonable times for the purpose of givingto counsel for the defendant, and to all others ininterest, a reasonable opportunity for consul-tation.

(P.B. 1978-1997, Sec. 687.)

Sec. 39-2. —Discussions with DefendantThe prosecuting authority shall not engage in

plea discussions at the disposition conference, orat other times, directly with a defendant who isrepresented by counsel, except with such coun-sel’s approval. If the defendant refuses to be rep-resented by counsel or waives this right underSection 44-3, the prosecuting authority may prop-erly discuss disposition of the charges directlywith the defendant.

(P.B. 1978-1997, Sec. 688.)

Sec. 39-3. —Role of Defense CounselDefense counsel shall conclude plea

agreements only with the consent of the defend-ant and shall insure that the decision to disposeof the case or to proceed to trial is ultimately madeby the defendant.

(P.B. 1978-1997, Sec. 689.)

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39-17. —Effect of Disposition Conference39-18. Plea of Guilty or Nolo Contendere; Entering39-19. —Acceptance of Plea; Advice to Defendant39-20. —Ensuring That the Plea is Voluntary39-21. —Factual Basis for Plea39-22. Pleading to Other Offenses after Guilty Finding39-23. Previous Offender; Plea to Second Part39-24. Record of Proceedings regarding Guilty Pleas39-25. Inadmissibility of Rejected Guilty Pleas39-26. Withdrawal of Plea; When Allowed39-27. —Grounds for Allowing Plea Withdrawal39-28. —Effect of Plea Withdrawal39-29. Nolle Prosequi39-30. —Objection by Defendant to Nolle Prosequi39-31. —Effect of Nolle Prosequi39-32. —Dismissal39-33. Miscellaneous Dispositions

Sec. 39-4. —Subject Matter of DiscussionDiscussion need not be limited to the entry of

a plea of guilty or nolo contendere, and mayinclude any disposition without trial permittedunder these rules or the General Statutes. Theparties may also discuss pretrial motions filed oryet to be filed which would lead to a dispositionof the case without trial.

(P.B. 1978-1997, Sec. 690.)

Sec. 39-5. Plea Agreements; Upon Plea ofGuilty or Nolo ContendereThe parties may agree that the defendant will

plead guilty or nolo contendere on one or moreof the following conditions:

(1) That the prosecuting authority will amendthe information to charge a particular offense;

(2) That the prosecuting authority will nolle, rec-ommend dismissal of, or not bring certain othercharges against the defendant; or

(3) That the sentence or other disposition willnot exceed specified terms or that the prosecutingauthority will recommend a specific sentence, notoppose a particular sentence, or make no specificrecommendation.

(P.B. 1978-1997, Sec. 692.)

Sec. 39-6. —Alternate AgreementsThe prosecuting authority may also recommend

an alternative disposition under Section 39-33.(P.B. 1978-1997, Sec. 693.)


Sec. 39-7. —Notice of Plea AgreementIf a plea agreement has been reached by the

parties, which contemplates the entry of a plea ofguilty or nolo contendere, the judicial authorityshall require the disclosure of the agreement inopen court or, on a showing of good cause, incamera at the time the plea is offered. Thereuponthe judicial authority may accept or reject theagreement, or may defer his or her decision onacceptance or rejection until there has been anopportunity to consider the presentence report, ormay defer it for other reasons.

(P.B. 1978-1997, Sec. 694.)

Sec. 39-8. —Sentencing after Acceptance ofPlea AgreementIf the judicial authority accepts the plea

agreement, it shall embody in the judgment andthe sentence the disposition provided for in theplea agreement or another disposition more favor-able to the defendant than that provided for in theplea agreement.

(P.B. 1978-1997, Sec. 696.)

Sec. 39-9. —Continuance for SentencingIf the case is continued for sentencing, the judi-

cial authority shall inform the defendant that adifferent sentence from that embodied in the pleaagreement may be imposed on the receipt of newinformation or on sentencing by another judicialauthority, but that if such a sentence is imposed,the defendant will be allowed to withdraw his orher plea in accordance with Sections 39-26through 39-28.

(P.B. 1978-1997, Sec. 697.)

Sec. 39-10. —Rejection of Plea AgreementIf the judicial authority rejects the plea

agreement, it shall inform the parties of this fact;advise the defendant personally in open court or,on a showing of good cause, in camera that thejudicial authority is not bound by the pleaagreement; afford the defendant the opportunitythen to withdraw the plea, if given; and advise thedefendant that if he or she persists in a guilty pleaor plea of nolo contendere, the disposition of thecase may be less favorable to the defendant thanthat contemplated by the plea agreement.

(P.B. 1978-1997, Sec. 698.)

Sec. 39-11. Disposition Conference; As-signment of Jury CasesAfter conferring with the clerk, the presiding

judge shall assign for disposition conferences somuch of the jury trial list as he or she shall deemnecessary for the proper conduct of the court andhe or she shall direct the clerk to print and distrib-ute a list of the cases so assigned to the appearing

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parties. The clerk shall schedule the conferencesat times which will not interfere with the orderlycalling of the court docket. Cases may also beassigned for a disposition conference at the timeof the entry of a plea pursuant to Section 44-15.

(P.B. 1978-1997, Sec. 700.)

Sec. 39-12. —Effect of Previous Plea Dis-cussions on Disposition ConferenceUnless an agreement has been reached in a

previous plea discussion, a case will be assignedfor a disposition conference. It shall be the dutyof the prosecuting authority to notify the clerk ifan agreement has been reached or if the casehas been disposed of.

(P.B. 1978-1997, Sec. 701.)

Sec. 39-13. —Attendance at DispositionConferenceThe prosecuting authority, the defense counsel,

and, in cases claimed for jury trial, the defendantshall appear at the time set for the dispositionconference unless excused by the judicial author-ity. Requests for postponements shall be madeonly to the presiding judge and shall be grantedupon good cause shown.

(P.B. 1978-1997, Sec. 702.)

Sec. 39-14. —Nature of Disposition Confer-ence; In GeneralThe prosecuting authority and counsel for the

defendant should attempt to reach a pleaagreement pursuant to the procedures of Sections39-1 through 39-10.

(P.B. 1978-1997, Sec. 704.)

Sec. 39-15. —Inability to Reach AgreementShould the parties be unable to reach an

agreement as to disposition, they shall report tothe presiding judge or to another judge assignedby him or her.

(P.B. 1978-1997, Sec. 705.)

Sec. 39-16. —Notice of Agreement to Judi-cial AuthorityIf the parties reach an agreement which con-

templates the entry of a plea of guilty or nolocontendere, they may advise the judicial authorityin advance of the plea. The judicial authority mayindicate whether it will concur in or reject the pro-posed disposition.

(P.B. 1978-1997, Sec. 706.)

Sec. 39-17. —Effect of Disposition Con-ferenceIf a case is not resolved at the disposition con-

ference or if the judicial authority rejects the pleaagreement, the case shall be assigned to a triallist. If an agreement is reached, a judicial authority


shall be available to accept guilty pleas andother dispositions.

(P.B. 1978-1997, Sec. 707.)

Sec. 39-18. Plea of Guilty or Nolo Conten-dere; EnteringIn the discretion of the judicial authority, the

defendant may enter a plea of guilty or nolo con-tendere to the information or complaint at arraign-ment. At any later time the defendant also mayenter any such plea. A plea of nolo contendereshall be in writing, shall be signed by the defend-ant, and, when accepted by the judicial authority,shall be followed by a finding of guilty.

(P.B. 1978-1997, Sec. 709.)

Sec. 39-19. —Acceptance of Plea; Adviceto DefendantThe judicial authority shall not accept the plea

without first addressing the defendant personallyand determining that he or she fully understands:

(1) The nature of the charge to which the pleais offered;

(2) The mandatory minimum sentence, if any;(3) The fact that the statute for the particular

offense does not permit the sentence to be sus-pended;

(4) The maximum possible sentence on thecharge, including, if there are several charges,the maximum sentence possible from consecutivesentences and including, when applicable, thefact that a different or additional punishment maybe authorized by reason of a previous convic-tion; and

(5) The fact that he or she has the right to pleadnot guilty or to persist in that plea if it has alreadybeen made, and the fact that he or she has theright to be tried by a jury or a judge and thatat that trial the defendant has the right to theassistance of counsel, the right to confront andcross-examine witnesses against him or her, andthe right not to be compelled to incriminate himselfor herself.

(P.B. 1978-1997, Sec. 711.)

Sec. 39-20. —Ensuring That the Plea is Vol-untaryThe judicial authority shall not accept a plea of

guilty or nolo contendere without first determining,by addressing the defendant personally in opencourt, that the plea is voluntary and is not theresult of force or threats or of promises apart froma plea agreement. The judicial authority shall alsoinquire as to whether the defendant’s willingnessto plead guilty or nolo contendere results fromprior discussions between the prosecuting author-ity and the defendant or his or her counsel.

(P.B. 1978-1997, Sec. 712.)

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Sec. 39-21. —Factual Basis for PleaThe judicial authority shall not accept a plea of

guilty unless it is satisfied that there is a factualbasis for the plea.

(P.B. 1978-1997, Sec. 713.)

Sec. 39-22. Pleading to Other Offenses afterGuilty FindingUpon entry of a finding of guilty after acceptance

of a plea of guilty or nolo contendere or after atrial, a defendant may request permission to pleadguilty or nolo contendere to any other offense forwhich the court wherein the finding of guilty wasentered has jurisdiction to impose the maximumauthorized penalty. Upon the written approval ofthe prosecuting authority who is authorized torequest imposition of the maximum authorizedpenalty in the judicial district or geographical areawherein the offense has been or could becharged, and upon the written approval of theprosecuting authority who is authorized to requestimposition of the maximum authorized penalty inthe judicial district or geographical area whereinthe court, in which the finding of guilty wasentered, is located, a defendant may enter a pleaof guilty or nolo contendere in conformity withSection 39-18. Such a plea shall operate as awaiver of venue and as a consent to the filing ofan appropriate information.

(P.B. 1978-1997, Sec. 715.)

Sec. 39-23. Previous Offender; Plea to Sec-ond PartWhere the defendant has been charged in the

second part of an information with a former convic-tion or convictions, he or she may enter a plea ofguilty to the second part upon a finding of guiltyof the particular offense he or she was chargedwith in the first part.

(P.B. 1978-1997, Sec. 716.)

Sec. 39-24. Record of Proceedings regard-ing Guilty PleasA verbatim record shall be made of the proceed-

ings at which the defendant enters a plea of guiltyor nolo contendere. This record shall include thejudicial authority’s advice to the defendant, theinquiry into the voluntariness of the plea, includingany plea agreement, and the inquiry into the fac-tual basis for the plea.

(P.B. 1978-1997, Sec. 717.)

Sec. 39-25. Inadmissibility of RejectedGuilty PleasNo evidence of the court proceedings at which

a plea of guilty or nolo contendere was entered,where such plea is not accepted by the judicial


authority or is later withdrawn pursuant to Sec-tions 39-26 through 39-28, shall be received atthe trial of the case.

(P.B. 1978-1997, Sec. 718.)

Sec. 39-26. Withdrawal of Plea; WhenAllowedA defendant may withdraw his or her plea of

guilty or nolo contendere as a matter of right untilthe plea has been accepted. After acceptance,the judicial authority shall allow the defendant towithdraw his or her plea upon proof of one of thegrounds in Section 39-27. A defendant may notwithdraw his or her plea after the conclusion of theproceeding at which the sentence was imposed.

(P.B. 1978-1997, Sec. 720.)

Sec. 39-27. —Grounds for Allowing PleaWithdrawalThe grounds for allowing the defendant to with-

draw his or her plea of guilty after acceptance areas follows:

(1) The plea was accepted without substantialcompliance with Section 39-19;

(2) The plea was involuntary, or it was enteredwithout knowledge of the nature of the chargeor without knowledge that the sentence actuallyimposed could be imposed;

(3) The sentence exceeds that specified in aplea agreement which had been previouslyaccepted, or in a plea agreement on which thejudicial authority had deferred its decision toaccept or reject the agreement at the time theplea of guilty was entered;

(4) The plea resulted from the denial of effectiveassistance of counsel;

(5) There was no factual basis for the plea; or(6) The plea either was not entered by a person

authorized to act for a corporate defendant or wasnot subsequently ratified by a corporatedefendant.

(P.B. 1978-1997, Sec. 721.)

Sec. 39-28. —Effect of Plea WithdrawalIf the defendant is permitted to withdraw his or

her plea, the original finding of guilty shall be setaside, a plea of not guilty shall be entered, andfurther proceedings shall be scheduled in accord-ance with these rules. The judicial authority per-mitting the vacating of the guilty plea shall not siton the trial of the matter, unless this is waived bythe defendant in writing.

(P.B. 1978-1997, Sec. 722.)

Sec. 39-29. Nolle ProsequiA prosecuting authority shall have the power to

enter a nolle prosequi in a case. It shall be entered

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upon the record after a brief statement by theprosecuting authority in open court of the rea-sons therefor.

(P.B. 1978-1997, Sec. 725.)

Sec. 39-30. —Objection by Defendant toNolle ProsequiWhere a prosecution is initiated by complaint

or information, the defendant may object to theentering of a nolle prosequi at the time it is offeredby the prosecuting authority and may demandeither a trial or a dismissal, except when a nolleprosequi is entered upon a representation to thejudicial authority by the prosecuting authority thata material witness has died, disappeared orbecome disabled or that material evidence hasdisappeared or has been destroyed and that afurther investigation is therefore necessary.

(P.B. 1978-1997, Sec. 726.)

Sec. 39-31. —Effect of Nolle ProsequiThe entry of a nolle prosequi terminates the

prosecution and the defendant shall be releasedfrom custody. If subsequently the prosecutingauthority decides to proceed against the defend-ant, a new prosecution must be initiated.

(P.B. 1978-1997, Sec. 727.)

Sec. 39-32. —DismissalThe judicial authority may dismiss the informa-

tion or complaint and discharge the defendant, atany time, in accordance with Sections 41-8through 41-11.

(P.B. 1978-1997, Sec. 728.)

Sec. 39-33. Miscellaneous DispositionsUpon motion by the defendant, counsel for the

defendant, or the prosecuting authority, the judi-cial authority may make any order permitted bystatute or rule that may result in the dispositionof the case without trial, including, but not limitedto, the following:

(1) Adjudication and treatment as a youthfuloffender;

(2) Accelerated pretrial rehabilitation;(3) Pretrial alcohol education and treatment;(4) Reference to the family relations division

and a hearing thereon;(5) Commitment to the commissioner of mental

health following examination and hearing;(6) Suspension of prosecution for drug-depen-

dent defendants after examination and release tothe commission on adult probation;

(7) Reference to a community service labor pro-gram; or

(8) Reference to an alternative incarcerationprogram under the auspices of the office ofadult probation.

(P.B. 1978-1997, Sec. 730.)